Advanced_Capital_Markets_-_Solicitation.pdf

Request for Proposal – Advanced Capital Markets Instructor-Led Training

RFP #CC15HQR0021

SECTION B: SUPPLIES OR SERVICES AND PRICES/COSTS

B.1 GENERAL

The Contractor shall furnish all technical, management, supervision, labor, hardware, licensing, materials, and any other support costs, except as specified herein to be furnished by the Government, necessary to perform Advanced Capital Markets training requirements described in Section C: Statement of Work.

The Government intends to award an Indefinite Quantity, Indefinite Delivery (IDIQ) contract that allows for the execution of fixed-price task orders. Orders may be placed at any time for a period of twelve months after date of contract award, which may be extended if options are exercised.

B.2 CONTRACT LINE ITEM NUMBERS (CLIN)

As detailed in Section C: Statement of Work, the requirement includes the following three (3) courses.

Utilizing a Contract Line Item Number (CLIN) structure of its own choosing, the offeror shall propose the necessary personnel, material, equipment, and services to meet the full performance objectives outlined in the SOW. The CLIN structure shall be proposed in MS Excel Spreadsheet format and be based upon the offeror’s pricing model for the subject areas included in its proposal. As appropriate, the unit price may be per training participant, per range of participants, per maximum number of participants, per unlimited number of participants, and etc. The approximate number of participants is detailed in SOW. These numbers are estimates only and may vary based on actual requirements. The offeror should consider the impact of fluctuations on its proposed pricing.

CLASSROOM COURSE REQUIREMENTS

COURSE COURSE DESCRIPTION

A TRAINING TO PROVIDE PRACTICAL TECHNIQUES AND SUMULATIONS IN ASSET AND LIABILITY

MANAGEMENT

B INTERMEDIATE LEVEL COURSE ON TRADED PRODUCTS AND RISK MANAGEMENT

C ADVANCED LEVEL COURSE ON TRADED PRODUCTS AND RISK MANAGEMENT

[End of Section B]

SECTION C: STATEMENT OF WORK

C.1 BACKGROUND

The Office of the Comptroller of the Currency (OCC) charters, regulates, and supervises national banks to ensure a safe, sound, and competitive banking system that support the citizens, communities, and economy of the United States. Headquartered in Washington, DC, the OCC is responsible for promoting and assuring the safety and soundness of the country’s system of national banks and maintaining its competitiveness, efficiency, integrity, and stability in the financial marketplace.

Continuing Education (CE), a unit of the Office of Management, is OCC’s training and development unit and is responsible for assessing the need for, analyzing, designing, developing, implementing and evaluating training and non-training solutions for all OCC departments. CE employees work with executives and managers to analyze work unit and agency issues, develop strategies for enhancing performance and effectiveness, and design programs that help the unit/agency achieve its business objectives. CE provides both technical training and training common to all departments for the OCC. CE trains bank examiners to provide effective bank supervision of national banks in a manner that is consistent with OCC policy and philosophies. The training courses to be provided by this Statement of Work are advanced capital markets courses typically taught to bank examiners with varying capital markets knowledge, skill sets and expertise.

C.2 SCOPE OF REQUIREMENT

The Office of the Comptroller of the Currency (OCC) has a continuing requirement to provide advanced capital markets training to bank examiners. OCC bank examiners require highly specialized and unique capital markets training regarding balance sheet management, fixed income securities, derivative products, sophisticated trading techniques and traded products, hedging, financial markets and related portfolio and risk management principles. The training is designed for capital markets bank examiner experts/specialists and certain fiduciary examiners who have strong knowledge in capital markets including fixed income products, portfolio management, balance sheet management trading activities, and risk management concepts. These bank examiners support the supervision of capital markets, trading, market risk and investment portfolio activities in the largest and most sophisticated national banks. This training will bring those bank examiners to the higher level of expertise needed for the OCC to fulfill its supervisory objectives particularly with the growth and complexity of the OCC large banks.

C.3 CLASSROOM COURSE REQUIREMENTS

A. TRAINING TO PROVIDE PRACTICAL TECHNIQUES AND SUMULATIONS IN ASSET AND LIABILITY

MANAGEMENT

TARGET AUDIENCE: This course shall be designed for those examiners that are serving as Examiner-In-Charge (EICs) of community banks and those examiners working with complex community, mid-size and large bank balance sheet management.

COURSE OVERVIEW: The course shall encompass approximately one-week of training. The course shall focus on a bank's asset/liability and financial management processes. The range of topics presented shall address several aspects of financial, treasury, capital, Basel, and risk management. The core topics shall be integrated with a highly interactive bank management simulation. Students will actively work in teams with a case bank and develop proposed solutions to several exercises. The exercises shall focus on balance sheet and risk management using both on and off balance sheet instruments and strategies. Following the exercises, there shall be instructor led discussions as well as presentations by the teams regarding how they managed their case bank.

COURSE TOPICS:

• Competitive and Operational Strategies

• Review Bank Financial Management Financing Policy

• Review of Asset and Liability Management

• Risk Management

• Capital Management (BASLE II)

• Profitability Policy

• Lending Policy

• Treasury Management

• Funding Policy

COURSE GOALS: Upon completion of this course, a participant will be able to:

• Develop a detailed overview of bank operations - seeing clearly how everything fits together

• Describe the interactions between different bank divisions - including how divisional objectives can conflict with overall organizational goals

• Recognize how to maximize risk-adjusted profits through the design and execution of successful strategies considering the cost of capital

• Identify and analyze a bank’s exposure to various sources of risk and how to design strategies to control risk

• Describe asset and liability management concepts and how they affect day-to-day decisions throughout the bank

COURSE OBJECTIVES: Upon completion of this course, a participant will be able to:

• Verbally provide a detailed overview of total bank operations, explaining how the various functions work together.

• Identify and analyze a bank’s exposure to various sources of risk and explain how to design strategies to control risk within acceptable limits.

• Explain the different techniques for measuring and managing interest rate exposure.

• Explain the impact of Basel III on commercial bank operations.

• Describe how the Basel III capital ratios, and the LCR and NSFR are calculated, and how they can be managed.

• Explain asset and liability management concepts and how they affect day-to-day decisions throughout the bank.

• Explain how various interactions between different bank divisions and their divisional objectives can conflict with overall bank goals.

• Describe how banks try to maximize risk-adjusted profits taking into account the cost of capital.

• Explain how securitization can help banks manage their balance sheet and make best use of bank capital.

• Explain how derivatives like interest rate swaps and credit default swaps can enable banks to manage their exposure to interest rate and credit risk.

• Apply knowledge of banking concepts and practices using banking scenarios.

• Describe significant issues affecting retail and commercial banks today.

• Explain the difficulty in simultaneously managing risk and generating acceptable profits, in a competitive financial environment.

B. AN INTERMEDIATE LEVEL COURSE ON TRADED PRODUCTS AND RISK MANAGEMENT

TARGET AUDIENCE: This course shall be designed for Examiners with a strong capital markets background and a responsibility for supervising trading activities.

COURSE OVERVIEW: The course shall encompass approximately two-weeks of training, designed to provide bank examiners with concepts and practice in working with a variety of traded products, pricing and risks. The course shall provide any necessary pre-work, interactive instructor-led lectures, in-depth workshops, team case studies, analytics, and trading simulations techniques in a highly interactive arena.

COURSE TOPICS:

• Spot and Foreign Exchange Markets

• Swaps

• Influences on exchanges and interest rates

• Review of fixed income mathematics

• US Treasury, agencies, and other government debt markets

• Mortgage backed securities and collateralized mortgage obligations

• Review of derivative markets

• Option portfolios, characteristics, pricing and trading strategies

• Characteristics and pricing of FRAs

• Interest rate and bond futures

• Portfolio management

• Risk exposure management, dealing risks, limits, and controls

COURSE LEARNING OBJECTIVES: Upon completion of this course, a participant will be able to:

• Identify and describe the variety of risks that exist within the banking environment.

• Describe how risks can be quantified and measured using a variety of techniques.

• Describe the functions and importance of the foreign exchange market, especially in spot quotations, forwards and swaps.

• Identify and describe how a variety of factors shape the yield curve.

• Describe how forward interest rates relate to the slope of the yield curve.

• Describe various yield curve strategies and risks.

• Identify and define common terms and features of FRAs, their pricing and practical use.

• Identify and define common terms and features of future markets, including the importance of clearing and margining.

• Describe the characteristics, features and typical contracts associated with interest rate futures and bond futures.

• Identify and define common terms and practices of interest rate and currency swaps.

• Describe how the Dodd Frank Act has changed the way that swaps trade, including the use of swap execution facilities and central counterparties.

• Explain how swaps can be used by banks to hedge interest rate exposure on their balance sheets.

• Explain how to value a wide range of derivative products by using yield curve mathematics, the links between zero, swap, and forward rates, and discount factors.

• Explain the LIBOR-OIS approach to swap valuation and dual-curve pricing.

• Explain the terminology of options and why options and option-based products are fundamentally different from other derivatives.

• Explain the principles of option pricing and the benefits of using models like the Black- Scholes and binomial models.

• Explain the importance and limitations of the Greeks as measures of option portfolio risk.

• Explain how options can be combined in a variety of ways to create structures that are more complex.

• Explain why interest rate options like caps, floors, collars, and swaptions are different from options on other underliers.

• Define the terminology and explain the practices of credit derivatives, especially single-name credit default swaps (CDS) and index products like the CDX series.

• Explain the variety of underlying motivations to use credit derivatives and why the credit derivatives market has grown (and shrunk) during last several years.

• Explain how VaR can be implemented, including its limits and why “the sting is in the tail.”

• Explain the difference between full valuation approaches like historical simulation and parametric approaches like Risk Metrics.

C. AN ADVANCED LEVEL COURSE ON TRADED PRODUCTS AND RISK MANAGEMENT

TARGET AUDIENCE: This course is designed for Examiners at the Band V or above with a strong capital markets background and a responsibility for supervising trading activities. Examiners will be expected to complete the intermediate level Traded Products/Risk Management course prior to attending this course.

COURSE OVERVIEW: The course shall encompass approximately two-weeks of training. The course shall build on the concepts and practice learned in the Intermediate course. The course shall address: the risks arising from dealing with the foreign exchange, swaps, futures, options, and credit derivatives markets; the inter-relationships between different derivative products and markets; major financial products behavior and how each is fairly priced; pricing and value usage of option-pricing models; value of all option types and the limitations of these models;

principles used in the active hedging and risk management of derivative instruments and portfolio; and the practical problems faced by banks in managing their books.

The course shall provide any necessary pre-work, interactive instructor-led lectures, in-depth workshops, team case studies, analytics, and trading simulations techniques in a highly interactive arena.

COURSE TOPICS:

• Describe the risks arising from dealing on the foreign exchange, swaps, futures, options, and credit derivatives markets.

• Identify the inter-relationships between different derivative products and markets.

• Review how major financial products behave and how each is fairly priced.

• Explain how option pricing models are used to price and value options.

• Demonstrate hedging and risk management principles of derivative instruments and portfolios.

• Complete a practical application through a simulated trading environment.

COURSE OBJECTIVES: Upon completion of this course, a participant will be able to:

• Determine the credit risk arising from a derivatives portfolio and the appropriate level of collateral.

• Explain the difference between current exposure, forward exposure, potential future exposure, average exposure, and peak exposure.

• Calculate expected monetary loss from exposure, default probability and recovery rate.

• Explain the terms and relationship between collateral management and derivatives pricing.

• Explain why swap pricing now uses the dual curve (LIBOR-OIS) approach.

• Explain how banks use the delta vector to measure and manage risk across their entire interest rate derivatives portfolio.

• Explain the limitations of option pricing models.

• Explain term structure models and their use for valuing interest rate options.

• Define volatility and variance swaps and explain why they are used.

• Explain the special characteristics of commodity and energy derivatives.

• Define exotic options and explain why they are difficult to manage.

• Explain the Greeks for barrier and digital options.

• Explain how banks manage their books for exotic options.

• Explain the special features of FX options.

• Define structured products and explain how they are created and why they are popular.

• Explain the principles underlying the pricing of single-name credit derivatives.

• Explain how the ISDA CDS Standard Model is derived and the various ways in which it is used.

• Explain how tranched CDX products are constructed and priced.

• Define structured credit products and explain how they are constructed.

• Describe the dangers of products that depend on credit correlation, and the limitations of base correlation and the Gaussian copula.

• Explain the impact of Dodd Frank on the custom and trading of financial products.

• Summarize the Basel I, II, and III requirements for capital and liquidity.

• Explain the Market Risk Amendment and capital adequacy for market risk.

• Describe what led to the credit crisis of 2007-2008 and the lessons learned.

• Explain the causes of other financial events like the “London Whale.”

C.4 SPECIFICATIONS/DELIVERABLES

When ordered,

• In a classroom setting, the contractor shall provide a series of highly advanced capital markets courses geared for capital markets examiners. The courses may utilize self-paced e-learning prerequisite course content.

• The material shall cover balance sheet management, trading activities, capital, risk management, treasury management, financial and traded products, Value At Risk concepts, foreign exchange, derivatives, and hedging.

• The courses shall include active computer simulation and interactive computer trading simulation to be done by the participants during the course in a team environment.

• The contractor shall provide constant feedback during the course regarding team results as well as summary feedback performance to the designated OCC point of contact (POC) at the conclusion of each course.

• The contractor shall be flexible as to the delivery of these courses based on the bank examiner needs determined by the OCC.

• It is anticipated that the OCC will order two (of the three) courses per year with up to 24 participants in each session.

• Contractor shall provide a minimum of two training faculty members to instruct the class, operate the simulations and provide reports / feedback to participants

• Contractor shall provide facilitation services to the attendees when in group sessions.

• Contractor shall provide for the installation, use, and take down of contractor’s proprietary software for the duration of the courses.

• Contractor shall provide pre-course access as needed to any necessary E-learning modules.

• The contractor shall be responsible for preparing, providing and shipping of all course materials.

• The contractor shall provide ongoing technical support, administrative, maintenance and any course and content upgrades for the life of the contract.

• Contractor upon receipt of End User information shall send access instructions to each End User for completion of E-Learning pre-course modules.

• Contractor shall provide all authorized OCC users (End Users, Project Manager, Course Administrator(s) and Point of Contact (POC), defined by OCC) access to its hosting site as well as a Help telephone number.

• Contractor shall notify OCC (Point of Contact) in advance of any content and or test material changes on a per change basis.

• Program design must take into consideration OCC bandwidth constraints.

• The End User will be able to exit from any screen. Common book-marking protocols shall be employed. The book marking will indicate to the viewer which modules/lessons have been completed or partially completed or not completed.

• Login shall match unique ID, which will be furnished in SQL (Structured Query Language) format.

• Course shall support industry standards such as AICC and SCORM 1.2 (Shareable Content Object

Reference Model).

• All e-Learning modules shall comply with Section 508 of the Rehabilitation Act including standards 1194.21, 1194.22, 1194.23, 1194.24, 1194.25, 1194.26, 1194.31 and 1194.41.

C.5 Minimum System Requirements

The e-learning shall be designed for use on OCC Network Server, and be accessible through these minimum system requirements:

• Laptop Systems specifications: Dell Latitude

• Workstation OS: Windows 7 x64 or 8.1

• Processor: i5 dual-core equivalent ≥ 2.5

• RAM: ≥ 8 GB

• HDD ≥ 128 GB SSD

• CD-ROM - yes

• Video Resolution: ≥ 14” (1366 x 768)Video Memory - 2 MB

• Net OS: Windows: Microsoft Server 2012 / 2012 R2

C.6 Configurations

E-Learning shall also be developed to run under the following configurations:

• Net Server: Microsoft Server 2012 / 2012 R2Results files compatible with SQL 2000

• Internet Explorer 11 x32

• Contractor shall inform the OCC of memory and storage requirements for program execution.

• Microsoft Outlook 2013 x32

[End of Section C]

SECTION D: PACKAGING AND MARKING

D.1 PAYMENT OF POSTAGE AND FEES

All postage and fees related to submitting information, including forms, reports, etc., to the Contracting Officer (CO) or the Contracting Officer’s Representative (COR) shall be paid by the Contractor.

D.2 MARKING

All information submitted to the CO or the COR shall be clearly marked to show the following:

1. Name of the Contractor

2. Contract Number

3. Consignee’s name and address

4. Date of Submission

D.3 REPORT COVER SHEET

Each report submitted by the Contractor shall have a cover sheet containing the following information:

1. Title of report

2. Report number or type

3. Period covered by the report

4. Contract number

5. Name and address of the Contractor

6. Name of the COR

7. Date of Submission

[End of Section D]

SECTION E: INSPECTION AND ACCEPTANCE

E.1 Inspection and Acceptance at the Task Order Level

[End of Section E]

SECTION F: DELIVERIES OR PERFORMANCE

F.1 1052.242.8002 (OCC) PERIOD OF PERFORMANCE (SEP 2012)

The base period of performance of this contract is from 10/01/2015 through 09/30/2016.

If exercised, the first option period/year will extend the contract period of performance from 10/01/2016 through 09/30/2017.

If exercised, the second option period/year will extend the contract period of performance from 10/01/2017 through 09/30/2018.

If exercised, the third option period/year will extend the contract period of performance from 10/01/2018 through 09/30/2019.

If exercised, the fourth option period/year will extend the contract period of performance from 10/01/2019 through 09/30/2020.

(End of Clause)

F.2 DELIVERABLES

Deliverables are specified in the task orders.

F.3 BUSINESS HOURS

The OCC core business hours are 8:30 AM to 5:00 PM Eastern Standard Time, Monday through Friday, excluding Federal holidays.

F.4 LEGAL HOLIDAYS

The following legal holidays are observed:

New Year’s Day* January 1 Martin L. King’s Birthday Third Monday in January President’s Day Third Monday in February Memorial Day Last Monday in May Independence Day* July 4 Labor Day First Monday in September Columbus Day Second Monday in October Veteran’s Day November 11 Thanksgiving Day Fourth Thursday in November Christmas Day* December 25

*Holidays that fall on Saturday are observed on Friday and holidays that fall on Sunday are observed on Monday.

F.5 PLACE OF PERFORMANCE

Scheduled training will be held at the Learning Center facilities locations: Washington, DC;

Chicago, IL; Dallas, TX; or New York, NY.

[End of Section F]

SECTION G: CONTRACT ADMINISTRATION DATA

G.1 TASK ORDER PROCEDURES

All task orders hereunder are subject to the terms and conditions of the IDIQ contract. The task order shall control in the event of conflict with the IDIQ contract. The Government is obligated only to the extent of authorized purchases actually made under the IDIQ contract.

G.2 1052.243-8001 (OCC) AUTHORIZED CHANGES ONLY BY THE CONTRACTING OFFICER

(SEP 2012)

(a) Except as specified in paragraph (b) below, no order, statement, or conduct of Government personnel who provide technical direction or in any other manner communicates with contractor personnel during the performance of this contract shall constitute a change under the “Changes” clause of this contract.

(b) The Contractor shall not comply with any order, direction or request of Government personnel unless it is issued in writing and signed by the Contracting Officer (CO), or is pursuant to specific authority otherwise included as a part of this contract.

(c) The CO is the only person authorized to approve changes in any of the requirements of this contract and notwithstanding provisions contained elsewhere in this contract, the said authority remains solely the CO’s. In the event the Contractor effects any change at the direction of any person other than the CO, the change will be considered to have been made without authority and no adjustment will be made in the contract price to cover any increase in charges incurred as a result thereof. The CO will be identified via separate letter to the contractor.

G.3 1052.201-8000 (OCC) CONTRACTING OFFICER'S REPRESENTATIVE (COR) DELEGATION AND

AUTHORITY (DEC 2013)

(a) The contracting officer's representative will be identified via separate letter to the contractor.

(b) Performance of work under this contract is subject to the technical direction of the COR, as delegated in writing. The term "technical direction" includes, without limitation, direction to the contractor that directs or redirects the labor effort, shifts the work between work areas or locations, fills in details and otherwise serves to ensure that tasks outlined in the work statement are accomplished satisfactorily.

(c) Technical direction must be within the scope of the specification(s)/work statement. The COR does NOT have authority to issue technical direction that:

(1) changes any of the terms, conditions, or specification(s)/work statement of the contract;

(2) in any manner causes an increase or decrease in the contract price, or the time required for contract performance;

(3) interferes with the contractor's right to perform under the terms and conditions of the contract; or,

(4) directs, supervises or otherwise controls the actions of the contractor's employees.

(d) Technical direction may be oral or in writing. The COR shall confirm oral direction in writing within five work days, with a copy to the contract administrator.

(e) The contractor shall proceed promptly with performance resulting from the technical direction issued by the COR. If, in the opinion of the contractor, any direction of the COR, falls within the limitations in (c), above, the contractor shall immediately notify the contracting officer no later than the beginning of the next Government work day.

(f) Failure of the contractor and the contracting officer to agree that technical direction is within the scope of the contract shall be subject to the terms of the clause entitled "Disputes".

G.3 INVOICING PROCEDURES

The contractor will submit invoices after the end of the month during which the services were delivered or deliverables were accepted in accordance with the task order. Invoices shall reflect the services provided.

G.3.1 1052.232-8000 (OCC) SUPPLEMENTAL INVOICING REQUIREMENTS (FEB 2014)

The contractor shall ensure all invoices adhere to the requirements as stated in either FAR 52.212-4(g) or FAR 52.232-25(a)(3), whichever is referenced in the award.

The contractor shall ensure the OCC award number (beginning with "TCC") is on the face sheet of all invoices.

The contractor shall include any Prompt Payment Discount terms on the face sheet of all invoices.

The contractor shall submit invoices in a format that replicates the contract line item number(s) (CLIN) and subCLIN structure of the contractual document.

If the contract allows for the submission of partial or periodic invoices, the contractor shall include a “Cumulative Invoiced Amount” column. In this column, the contractor shall enter the total amount that has been billed for each CLIN to date.

The contractor shall submit an electronic invoice to OCC’s Accounts Payable at OMAPVendorInvoice@occ.treas.gov , The POC or COR (email provided under separate letter), and The Contract Administrator (email provided under separate letter) mailto:OMAPVendorInvoice@occ.treas.gov

If the contractor does not have the means to submit an electronic invoice, a hardcopy invoice shall be sent to:

Comptroller of the Currency Accounts Payable, MS #5W-3 400 7th Street SW Washington, DC 20219

The OCC may deem any invoice that does not fully comply with the invoicing requirements specified in this clause as an improper invoice and return the invoice to the contractor for correction and resubmission.

G.4 1052.242-8000 (OCC) EVALUATION OF CONTRACTOR PERFORMANCE (DEC 2010)

A. The OCC will evaluate the contractor’s performance after contract award. If this contract has option periods, interim evaluations will be conducted at the end of each option period and then a final evaluation report will be prepared at the completion of the entire contract. If this contract does not have renewal options, an evaluation will be conducted upon completion of the contract.

Notwithstanding the preceding, the Contracting Officer may conduct evaluations more or less frequently, if the Contracting Officer deems appropriate.

B. Evaluations will be conducted using an electronic format as established by Contractor Performance Assessment Reporting System (CPARS), an internet-based database of contractor performance information. The OCC will enter the information, gathered from the evaluation, into the CPARS.

C. If the contractor responds to the evaluation, and the response rebuts any or all of the ratings, the Contracting Officer will attempt to reconcile the areas of disagreement with the contractor. If agreement cannot be reached, the evaluation and response shall be reviewed at a level higher than the Contracting Officer and a final evaluation will be issued by the reviewing official. If the reviewing official finds, either all or in part, against the contractor, the contractor’s response shall become part of the final evaluation. The reviewing official’s final decision shall not be subject to dispute under the terms and conditions of the Disputes clause or subject to resolution in accordance with the terms and conditions of the Alternative Dispute Resolution clause. The reviewing official will provide the contractor with a copy of the final evaluation.

D. Any government agency authorized to access the Past Performance Information Retrieval System (PPIRS) database will be able to view the performance information related to this contract. Any government agency may also receive a copy the contractor’s performance evaluation, and any associated comments, by contacting the OCC. The OCC will also, upon request, provide copies of any and all of the contractor’s evaluations to the contractor.

[End of Section G]

SECTION H: SPECIAL CONTRACT REQUIREMENTS

H.1 MINIMUM AND MAXIMUM REQUIREMENTS

This is an indefinite delivery/indefinite quantity (IDIQ) contract. The contract requires the Government to order and the Contractor to furnish at least a stated minimum quantity of services. In addition, if ordered, the Contractor must furnish any additional quantities, not to exceed the stated maximum.

The following are the guaranteed minimum and estimated maximum quantities under this contract for the entire period of performance. The OCC reserves the right to adjust these limits based on past requirements and future projections:

Guaranteed Stated Maximum Minimum Value

$2,500.00

$755,000.00

H.2 1052.210–70 (DTAR) CONTRACTOR PUBLICITY (AUG 2011)

The Contractor, or any entity or representative acting on behalf of the Contractor, shall not refer to the equipment or services furnished pursuant to the provisions of this contract in any news release or commercial advertising, or in connection with any news release or commercial advertising, without first obtaining explicit written consent to do so from the Contracting Officer. Should any reference to such equipment or services appear in any news release or commercial advertising issued by or on behalf of the Contractor without the required consent, the Government shall consider institution of all remedies available under applicable law, including 31 U.S.C. 333, and this contract. Further, any violation of this provision may be considered during the evaluation of past performance in future competitively negotiated acquisitions.

(End of clause)

H.3 POST AWARD MEETING

A post-award orientation conference will be scheduled immediately following the IDIQ award and will be coordinated by the Contracting Officer. The purpose of the conference will be to familiarize the Contractor with the contract administration procedures, contract clarifications, contract requirements, and expectations. The conference will be structured to achieve a clear and mutual understanding of all contractual administrative requirements, OCC training needs and environments, and to discuss major content areas of the Contractor’s plan to implement the desired training.

H.4 1052.245-8003 CONFIDENTIAL OR SENSITIVE INFORMATION (JAN 2014)

(a) Because of the proprietary nature of such information, the contractor understands that work performed by and information released to the contractor is sensitive in nature and shall not be disclosed to anyone other than the Office of the Comptroller of the Currency (OCC) (Government) employees assigned to the contract and other contractor personnel the Government authorizes to receive the information. The contractor agrees to protect all confidential and/or proprietary information received by or provided to the contractor pursuant to this contract from unauthorized disclosure or use for as long as the information remains proprietary or confidential and further agrees that it will not use such information for any purpose other than that relating to the performance of this contract. For purposes of the contract, all information provided to or received by the contractor is deemed confidential and proprietary.

(b) The contractor shall execute and is responsible for having all of its employees, subcontractor employees, and agents working under the contract and/or having access to sensitive information under this contract execute a “Conditional Access to Sensitive but Unclassified Information Non-Disclosure Agreement.”, hereafter referred to as an NDA, provided as Attachment [ Fill-in ] to this contract. This NDA provides that sensitive but unclassified information provided to the contractor or its employees, subcontractors, or agents, shall not, except as permitted in connection with the performance of the contract, be further disclosed or used without the prior written approval of the Government.

(c) Contractor employees processed in the Personnel and Administration Security System (PASS), will complete the NDA electronically.

(d) Contractor employees processed outside of PASS, will complete the attached hard copy NDA and submit to the Contracting Officer (CO).

(e) Executed copies of the NDA are required by each contractor employee, subcontractor employee or agent who will perform work on the contract before they can begin actual performance under the contract.

H.5 1052.239-8000 ELECTRONIC AND INFORMATION TECHNOLOGY ACCESSIBILTY (JUNE 2014)

(a) Pursuant to Section 508 of the Rehabilitation Act of 1973 (29 U.S.C. 794d), as amended by the Workforce Investment Act of 1998, all electronic and information technology (EIT) products and services developed, acquired, maintained, or used under this contract/order must comply with the “Electronic and Information Technology Accessibility Provisions” set forth by the Architectural and Transportation Barriers Compliance Board (also referred to as the “Access Board”) in 36 CFR Part 1194. Information about Section 508 is available at http://www.section508.gov/. The complete text of Section 508 Final Provisions can be accessed at http://www.access-board.gov/sec508/standards.htm.

(b) The Section 508 accessibility standards applicable to this contract/order are identified in the

Statement of Work/Specification/Performance Work Statement. If it is determined by the Government that EIT products and services provided by the Contractor do not conform to the described accessibility standards in the Product Assessment Template, remediation of the products or services to the level of conformance specified in the Contractor’s Product Assessment Template will be the responsibility of the Contractor at its own expense.

http://www.law.cornell.edu/uscode/29/794d.html http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&tpl=/ecfrbrowse/Title36/36cfr1194_main_02.tpl http://www.section508.gov/ http://www.access-board.gov/sec508/standards.htm

(c) In the event of a modification(s) to this contract/order, which adds new EIT products or services or revises the type of, or specifications for, products or services the Contractor is to provide, including EIT deliverables such as electronic documents and reports, the Contracting Officer may require that the contractor submit a completed Voluntary Product Accessibility Template found at http://www.itic.org/public-policy/accessibility, to assist the Government in determining that the EIT products or services support Section 508 accessibility standards.

☒ 1194.21 Software applications and operating systems.

☒ 1194.22 Web-based intranet and internet information and applications.

☒ 1194.23 Telecommunications products.

☒ 1194.24 Video and multimedia products (c, d, and e).

☐ 1194.25 Self contained, closed products.

☐ 1194.26 Desktop and portable computers.

☒ 1194.31 Subpart C Functional Performance Criteria.

☒ 1194.41 Subpart D Information, Documentation and Support.

☒ OCC Guidance on Web Product Accessibility Standards

The standards do not require the installation of specific accessibility-related software or the attachment of an assistive technology device, but merely require that the EIT be compatible with such software and devices so that it can be made accessible if so required by the agency in the future.

H.6 1052.245-8009 (OCC) CITIZENSHIP OR RESIDENCY REQUIREMENTS OF CONTRACTOR PERSONNEL

(JUN 2015)

The contractor shall ensure that all employees, agents, and subcontractors having unescorted access to the Office of the Comptroller of the Currency’s facilities or access to information systems, security items, or sensitive but unclassified information are United States Citizens or are lawful Permanent Resident Aliens (green card) with at least three or more years of U.S. residency from the date of legal entry in the U.S. Contractors who require privileged IT access shall be U.S. citizens and shall complete the Privileged User training prior to receiving elevated permissions.

H.7 1052.342-8000 (OCC) CONTRACTOR’S COMMITMENT TO EQUAL OPPORTUNITY IN EMPLOYMENT

AND CONTRACTING (APR 2012)

Contractor confirms its commitment to equal opportunity in employment and contracting. To implement this commitment, the Contractor shall ensure, to the maximum extent possible consistent with applicable law, the fair inclusion of minorities and women in its workforce. The Contractor shall http://www.itic.org/public-policy/accessibility insert the substance of this clause in all subcontracts under this Contract when the dollar value exceeds $150,000.

Within ten (10) business days of a written request from the OCC’s Office of Minority and Women Inclusion (OMWI), or such longer time as the OMWI determines, and without any additional consideration required from the Agency, the Contractor shall provide documentation, satisfactory to the Agency, of the actions it (and, as applicable, its subcontractors) has undertaken to demonstrate its good-faith efforts to comply with the aforementioned provisions.

For purposes of this contract, “good-faith efforts” may include actions by the contractor intended to identify and, if present, remove barriers to minority and women employment or expansion of employment opportunities for minorities and women within its workforce. Efforts to remove such barriers may include, but are not limited to, recruiting minorities and women, providing job-related training, or engaging in other activities that could lead to those results.

The documentation requested by the OMWI may include, but is not limited to, one or more of the following:

1. A written affirmative action plan or other written program designed to ensure the fair inclusion of minorities and women in the contractor’s workforce, including outreach, recruitment, and training efforts whereby the contractor sets forth specific, results-oriented policies and procedures.

2. A list of subcontract awards under the Contract categorized by dollar, date of award, and the subcontractor’s ownership status, including whether the subcontractor is minority-owned (by race and/or ethnicity) or women-owned.

3. Documentation similar to that described in paragraph 1 with respect to each subcontractor.

4. Any other actions demonstrating the contractor’s or subcontractor’s good-faith efforts to include minorities and women in its workforce.

Consistent with Section 342(c)(3) of the Dodd–Frank Wall Street Reform and Consumer Protection Act (PL 111-203) (Dodd–Frank), a failure to demonstrate to the Director of the OMWI such good-faith efforts to include minorities and women in the Contractor’s workforce (and, as applicable, the workforce of its subcontractors) may result in termination of the Contract for default, referral to the Office of Federal Contract Compliance Programs, or other appropriate action.

For purposes of this clause, the terms “minority,” “minority-owned business” and “women-owned business” shall have the meanings set forth in Section 342(g) of Dodd–Frank.

[End of Section H]

SECTION I: CONTRACT CLAUSES

I.1 FAR 52.252-2 CLAUSES INCORPORATED BY REFERENCE (FEB 1998)

This contract incorporates one or more clauses by reference, with the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available. Also, the full text of a clause may be accessed electronically at this address: http://www.acquisition.gov/far/.

FAR Clause Title Date 52.203-3 Gratuities Apr 1984 52.203-12 Limitation on Payments to Influence Certain Federal

Transactions Oct 2010

52.203-17 Contractor Employee Whistleblower Rights and Requirements to Inform Employees of Whistleblower Rights

Apr 2014

52.204-4 Printed or Copied Double-Sided on Postconsumer Fiber Content Paper

May 2011

52.212-4 Contract Terms and Conditions – Commercial Items May 2015 52.215-8 Order of Precedence – Uniform Contract Format Oct 1997 52.227-1 Authorization and Consent Dec 2007 52.232-39 Unenforceability of Unauthorized Obligations Jun 2013 52.232-40 Providing Accelerated Payments to Small Business

Subcontractors Dec 2013

52.233-4 Applicable Law for Breach of Contract Claim Oct 2004 52.242-13 Bankruptcy Jul 1995 52.242-15 Stop-Work Order Aug 1989

I.2 52.212-5 CONTRACT TERMS AND CONDITIONS REQUIRED TO IMPLEMENT STATUTES OR EXECUTIVE ORDERS—

COMMERCIAL ITEMS (MAY 2015)

(a) The Contractor shall comply with the following Federal Acquisition Regulation (FAR) clauses, which are incorporated in this contract by reference, to implement provisions of law or Executive orders applicable to acquisitions of commercial items:

(1) 52.209-10, Prohibition on Contracting with Inverted Domestic Corporations (Dec 2014)

(2) 52.233-3, Protest After Award (AUG 1996) (31 U.S.C. 3553).

(3) 52.233-4, Applicable Law for Breach of Contract Claim (OCT 2004)(Public Laws 108-77 and 108-

78 (19 U.S.C. 3805 note)).

(b) The Contractor shall comply with the FAR clauses in this paragraph (b) that the Contracting Officer has indicated as being incorporated in this contract by reference to implement provisions of law or Executive orders applicable to acquisitions of commercial items:

http://www.acquisition.gov/far/ https://www.acquisition.gov/sites/default/files/current/far/html/52_207_211.html%23wp1146366 https://www.acquisition.gov/sites/default/files/current/far/html/52_233_240.html%23wp1113329 http://uscode.house.gov/uscode-cgi/fastweb.exe?getdoc+uscview+t29t32+1665+30++%2831%29%20%20AND%20%28%2831%29%20ADJ%20USC%29%3ACITE%20%20%20%20%20%20%20%20%20 https://www.acquisition.gov/sites/default/files/current/far/html/52_233_240.html%23wp1113344 http://uscode.house.gov/

[Contracting Officer check as appropriate.]

_X_ (1) 52.203-6, Restrictions on Subcontractor Sales to the Government (Sept 2006), with Alternate I (Oct 1995) (41 U.S.C. 4704 and 10 U.S.C. 2402).

__ (2) 52.203-13, Contractor Code of Business Ethics and Conduct (Apr 2010) (41 U.S.C. 3509)).

__ (3) 52.203-15, Whistleblower Protections under the American Recovery and Reinvestment Act of 2009 (June 2010) (Section 1553 of Pub. L. 111-5). (Applies to contracts funded by the American Recovery and Reinvestment Act of 2009.)

_X_ (4) 52.204-10, Reporting Executive Compensation and First-Tier Subcontract Awards (Jul 2013) (Pub. L. 109-282) (31 U.S.C. 6101 note).

__ (5) [Reserved].

__ (6) 52.204-14, Service Contract Reporting Requirements (Jan 2014) (Pub. L. 111-117, section 743 of Div. C).

__ (7) 52.204-15, Service Contract Reporting Requirements for Indefinite-Delivery Contracts (Jan

2014) (Pub. L. 111-117, section 743 of Div. C).

_X_ (8) 52.209-6, Protecting the Government’s Interest When Subcontracting with Contractors

Debarred, Suspended, or Proposed for Debarment. (Aug 2013) (31 U.S.C. 6101 note).

_X_ (9) 52.209-9, Updates of Publicly Available Information Regarding Responsibility Matters (Jul

2013) (41 U.S.C. 2313).

__ (10) [Reserved].

__ (11)(i) 52.219-3, Notice of HUBZone Set-Aside or Sole-Source Award (Nov 2011) (15 U.S.C.

657a).

__ (ii) Alternate I (Nov 2011) of 52.219-3.

_X_ (12)(i) 52.219-4, Notice of Price Evaluation Preference for HUBZone Small Business Concerns (OCT 2014) (if the offeror elects to waive the preference, it shall so indicate in its offer) (15 U.S.C. 657a).

__ (ii) Alternate I (JAN 2011) of 52.219-4.

__ (13) [Reserved] __ (14)(i) 52.219-6, Notice of Total Small Business Set-Aside (Nov 2011) (15 U.S.C. 644).

__ (ii) Alternate I (Nov 2011).

__ (iii) Alternate II (Nov 2011).

__ (15)(i) 52.219-7, Notice of Partial Small Business Set-Aside (June 2003) (15 U.S.C. 644).

__ (ii) Alternate I (Oct 1995) of 52.219-7.

__ (iii) Alternate II (Mar 2004) of 52.219-7.

_X_ (16) 52.219-8, Utilization of Small Business Concerns (Oct 2014) (15 U.S.C. 637(d)(2) and (3)).

_X_ (17)(i) 52.219-9, Small Business Subcontracting Plan (Oct 2014) (15 U.S.C. 637(d)(4)).

__ (ii) Alternate I (Oct 2001) of 52.219-9.

__ (iii) Alternate II (Oct 2001) of 52.219-9.

__ (iv) Alternate III (Oct 2014) of 52.219-9.

__ (18) 52.219-13, Notice of Set-Aside of Orders (Nov 2011)(15 U.S.C. 644(r)).

__ (19) 52.219-14, Limitations on Subcontracting (Nov 2011) (15 U.S.C. 637(a)(14)).

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_X_ (20) 52.219-16, Liquidated Damages—Subcon-tracting Plan (Jan 1999) (15 U.S.C.

637(d)(4)(F)(i)).

__ (21) 52.219-27, Notice of Service-Disabled Veteran-Owned Small Business Set-Aside (Nov 2011) (15 U.S.C. 657 f).

_X_ (22) 52.219-28, Post Award Small Business Program Representation (Jul 2013) (15 U.S.C.

632(a)(2)).

__ (23) 52.219-29, Notice of Set-Aside for Economically Disadvantaged Women-Owned Small Business (EDWOSB) Concerns (Jul 2013) (15 U.S.C. 637(m)).

__ (24) 52.219-30, Notice of Set-Aside for Women-Owned Small Business (WOSB) Concerns Eligible Under the WOSB Program (Jul 2013) (15 U.S.C. 637(m)).

_X_ (25) 52.222-3, Convict Labor (June 2003) (E.O. 11755).

__ (26) 52.222-19, Child Labor—Cooperation with Authorities and Remedies (Jan 2014) (E.O.

13126).

_X_ (27) 52.222-21, Prohibition of Segregated Facilities (Apr 2015).

_X_ (28) 52.222-26, Equal Opportunity (Apr 2015) (E.O. 11246).

_X_ (29) 52.222-35, Equal Opportunity for Veterans (Jul 2014)(38 U.S.C. 4212).

_X_ (30) 52.222-36, Equal Opportunity for Workers with Disabilities (Jul 2014) (29 U.S.C. 793).

_X_ (31) 52.222-37, Employment Reports on…