Request_for_Proposals.pdf

RFQ Page 1 of 2

O

Comptroller of the Currency Administrator of National Banks

Washington, DC 20219

REQUEST FOR QUOTATIONS

FOR

BANK EXAMINATION SUPPORT SERVICES

1. Issue Date: April 29, 2016

2. Issued by: Comptroller of the Currency Attn: Andre Adams Acquisition Management

400 7th St SW, Suite 5W-202 Washington, DC 20219-0001

3. Questions Regarding RFQ: All questions regarding this RFQ must be submitted by email to Andre Adams at Andre.Adams@occ.treas.gov no later than May 6, 2016 at 12:00 p.m. ET.

4. Due Date and Time for Receipt of Vendor’s Quotation: The hour and date for receipt of Quotations is May 31, 2016 at 3:00 p.m. ET.

5. Evaluation Methodology: OCC requires bank examination support services in accordance with the attached RFQ. The resulting contract will be a time-and-materials type contract. The following evaluation factors, listed in descending order of importance, will be used to evaluate the quote:

Factor 1: Experience Factor 2: Past Performance Factor 3: Price

Descriptions for each factor may be found in Section M of the RFQ.

All evaluation factors other than cost or price, when combined, are more important than cost or price.

6. Attachments: The attached files provide the complete solicitation document RFQ.

7. Instructions to Vendors: Your quote must be submitted via email to Andre.Adams@occ.treas.gov, and all submitted documents shall be compatible with MS Office.

mailto:Andre.Adams@occ.treas.gov mailto:Andre.Adams@occ.treas.gov

RFQ Page 2 of 2

- - 2

Please note that facsimile is not an authorized method for submission.

Sincerely, Andre Adams Contract Specialist

CC16HQR0018

SOLICITATION, OFFER AND AWARD

4. TYPE OF SOLICITATION2. CONTRACT NUMBER 3. SOLICITATION NUMBER

7. ISSUED BY CODE 8. ADDRESS OFFER TO (If other than Item 7)

ORDER UNDER DPAS (15 CFR 700)

6. REQUISITION/PURCHASE NUMBER

NOTE: In sealed bid solicitations "offer" and "offeror" mean "bid" and "bidder".

NEGOTIATED (RFP)

SEALED BID (IFB)

5. DATE ISSUED

1. THIS CONTRACT IS A RATED RATING PAGE OF PAGES

1 88

C. E-MAIL ADDRESS

EXT.NUMBERAREA CODE

B. TELEPHONE (NO COLLECT CALLS)A. NAME

10. FOR

INFORMATION

CALL:

CAUTION: LATE Submissions, Modifications, and Withdrawals: See Section L, Provision No. 52.214-7 or 52.215-1. All offers are subject to all terms and conditions contained in this solicitation.

(Date)(Hour) local timeuntildepository located in copies for furnishing the supplies or services in the Schedule will be received at the place specified in Item 8, or if hand carried, in the

SOLICITATION

9. Sealed offers in original and

PART IV - REPRESENTATIONS AND INSTRUCTIONS

OTHER STATEMENTS OF OFFERORS

EVALUATION FACTORS FOR AWARD

INSTRS., CONDS., AND NOTICES TO OFFERORS

REPRESENTATIONS, CERTIFICATIONS AND

LIST OF ATTACHMENTS

CONTRACT CLAUSES

PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACH.

I

J

K

L

M SPECIAL CONTRACT REQUIREMENTS

CONTRACT ADMINISTRATION DATA

DELIVERIES OR PERFORMANCE

INSPECTION AND ACCEPTANCE

PACKAGING AND MARKING

DESCRIPTION/SPECS./WORK STATEMENT

SUPPLIES OR SERVICES AND PRICES/COSTS

SOLICITATION/CONTRACT FORM

PART II - CONTRACT CLAUSESPART I - THE SCHEDULE

H

G

F

E

D

C

B

A

SEC. DESCRIPTION PAGE(S) (X) DESCRIPTION SEC. (X)

11. TABLE OF CONTENTS

18. OFFER DATE17. SIGNATURE

SUCH ADDRESS IN SCHEDULE.

IS DIFFERENT FROM ABOVE - ENTER

15C. CHECK IF REMITTANCE ADDRESS

EXT.NUMBERAREA CODE

15B. TELEPHONE NUMBER

(Type or print)AND

ADDRESS

OF

OFFEROR

CODE FACILITY

16. NAME AND TITLE OF PERSON AUTHORIZED TO SIGN OFFER15A. NAME

DATEAMENDMENT NO.DATEAMENDMENT NO.

and related documents numbered and dated):

amendments to the SOLICITATION for offerors

(The offeror acknowledges receipt of

14. ACKNOWLEDGEMENT OF AMENDMENTS

CALENDAR DAYS (%)30 CALENDAR DAYS (%)20 CALENDAR DAYS (%)10 CALENDAR DAYS (%)

(See Section I, Clause No. 52.232.8)

13. DISCOUNT FOR PROMPT PAYMENT

designated point(s), within the time specified in the schedule.

by the offeror) from the date for receipt of offers specified above, to furnish any or all items upon which prices are offered at the price set opposite each item, delivered at the

12. In compliance with the above, the undersigned agrees, if this offer is accepted within ______________ calendar days (60 calendar days unless a different period is inserted

NOTE: Item 12 does not apply if the solicitation includes the provisions at 52.214-16, Minimum Bid Acceptance Period.

OFFER (Must be fully completed by offeror)

IMPORTANT - Award will be made on this Form, or on Standard Form 26, or by other authorized official written notice.

28. AWARD DATE

(Signature of Contracting Officer)

27. UNITED STATES OF AMERICA

25. PAYMENT WILL BE MADE BY

26. NAME OF CONTRACTING OFFICER (Type or print)

CODE 24. ADMINISTERED BY (If other than Item 7)

ITEM

(4 copies unless otherwise specified)

23. SUBMIT INVOICES TO ADDRESS SHOWN IN

41 U.S.C. 253 (c) ( 10 U.S.C. 2304 (c) (

22. AUTHORITY FOR USING OTHER THAN FULL AND OPEN COMPETITION:

21. ACCOUNTING AND APPROPRIATION20. AMOUNT19. ACCEPTED AS TO ITEMS NUMBERED

AWARD (To be completed by government)

CODE

04/29/2016 X

OCC

Comptroller of the Currency Acquisitions Management

400 7TH STREET SW

Washington DC 20219

N/A 1500 ET 05/31/2016

ANDRE D ADAMS

ADAMSAD@OCC.TREAS.GOV

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PAGE(S)

MARGUERITE G. RUSSELL

AUTHORIZED FOR LOCAL REPRODUCTION

Previous edition is unusable

STANDARD FORM 33 (Rev. 9-97)

Prescribed by GSA - FAR (48 CFR) 53.214(c)

Request for Proposals—Bank Examination Services Solicitation No. CC16HQR0018

SECTION B - SUPPLIES OR SERVICES/PRICES

B.1. SCOPE OF WORK:

In accordance with the contract, the Contractor shall furnish all labor, equipment, facilities and materials (except that which will be furnished by the Government), and shall do that which is necessary or incidental to the satisfactory and timely performance of the National Bank Examination related services described in Section C – Statement of Work at the fixed hourly rate shown under the Contract Line Item Number (CLIN) for each year of this contract.

B.2. CONTRACT TYPE AND CANCELLATION CEILING:

This is a Multiple Award, Multi-Year, Indefinite-Delivery Indefinite-Quantity contract. The ordering period applicable to this contract is five (5) years. Refer to FAR Clause 52.217-2, Cancellation Under Multi-Year Contracts (included in Section I of the contract). If cancellation under Clause 52.217-2 occurs, the specified cancellation ceiling is $0.

YEAR ONE: January 1, 2017 - December 31, 2017

CLIN Description Unit Estimated Quantity NTE Unit Price

Estimated Amount

1001 Bank Examination Services HR 1,000 per Key Person 1002 Travel (Not-to-Exceed) N/A $70,000

YEAR ONE TOTAL

YEAR TWO: January 1, 2018 - December 31, 2018

Estimated Amount

2001 Bank Examination Services HR 1,000 per Key Person 2002 Travel (Not-to-Exceed) N/A $70,000

YEAR TWO TOTAL

YEAR THREE: January 1, 2019 - December 31, 2019

Estimated Amount

3001 Bank Examination Services HR 1,000 per Key Person 3002 Travel (Not-to-Exceed) N/A $70,000

YEAR THREE TOTAL

YEAR FOUR: January 1, 2020 - December 31, 2020

Estimated Amount

4001 Bank Examination Services HR 1,000 per Key Person 4002 Travel (Not-to-Exceed) N/A $70,000

YEAR FOUR TOTAL

YEAR FIVE: January 1, 2021 - December 31, 2021

Estimated Amount

5001 Bank Examination Services HR 1,000 per Key Person 5002 Travel (Not-to-Exceed) N/A $70,000

YEAR FIVE TOTAL

Number of Hours per Key Personnel (Not-to-Exceed): 5,000 Travel (Not-to-Exceed): $350,000.00 Contract Ceiling (Not-to-Exceed): $_________

**Contract Ceiling is 5,000 Hours per Key Personnel (NTE) multiplied by average NTE Unit Price plus Travel (NTE)**

[END OF SECTION B]

SECTION C - Description/Specifications

BANK EXAMINATION SERVICES

STATEMENT OF WORK

C.1. BACKGROUND

The Office of the Comptroller of the Currency (OCC), a bureau of the United States Department of the Treasury, is the primary regulator of all national banks and federal savings associations. The OCC is responsible for promoting the safety and soundness of the country’s national banks and federal savings associations and maintaining its competitiveness, efficiency, integrity and stability in the financial marketplace.

C.2. OBJECTIVE

The OCC is seeking contract assistance for National Bank Examination Services and other bank examination related tasks throughout the United States.

C.3. SCOPE OF WORK

Contractors will be awarded contracts for a maximum of one thousand (1000) hours per person per year for a maximum period of five (5) years. Work will be awarded on an as-needed basis following task order award procedures. The scope, timing and location of such work will be determined on a task-by-task basis by the OCC. Access to OCC examination information, reference materials, and the like, will be determined and defined by the task and communicated to the Contractor by the OCC at the time of the task award.

C.3.l. Work will be related to the bank examination function and may involve one or more of the following - or similar - types of tasks:

• Assisting in the examination of selected banks and thrifts by evaluating or verifying functions, condition, or performance;

• Analyzing and assessing examination reports;

• Researching the causes and potential impact of financial and non-financial events and issues;

• Researching and analyzing information on emerging and systemic risks in the financial services industry;

• Identifying specific weaknesses in bank and thrift processes and recommending corrective action where warranted;

• Participating in special projects.

C.4. KNOWLEDGE AND SKILLS

In order for you to be considered, you must have at least eight years specialized experience, preferably gained in the Federal service in Federal Financial Institutions Examination Council (FFIEC) regulatory agencies, and in the practical application and administration of FFIEC and corresponding agencies’ rules, regulations, policies and procedures. This experience must be within the past five years to be considered relevant. The following is representative of the technical knowledge needed to perform these tasks. However, this list is not all-inclusive, and needs may vary depending on the specific task to be performed at the request and direction of the OCC on a case-by-case basis. Please note that C4.2 and C4.6 through C4.8 requirements are more specified and rigid in nature.

C.4.1 Credit Analysis

• Credit risk management practices and policies;

• Applicable laws and regulations covering credit activities;

• OCC handbooks, advisories, alerts, and bulletins related to credit activities;

• Examination techniques;

• Underwriting;

• Strategic factors;

• External factors;

• Credit quality factors;

• Classification and loan write-up;

• Documentation;

• File reading.

C.4.2 Operational Risk

Audit/Accounting

• Audit effectiveness and audit’s analysis of internal controls for a risk-based audit function.

• Key components of current accounting and regulatory reporting requirements and their applicability to banks.

• Sarbanes Oxley (SOX) internal controls over financial reporting.

Governance/Enterprise Risk Management

• Board oversight, committee structure, and board practices.

• Key risk culture and risk governance concepts.

• Enterprise risk management processes, including identification, measurement, control, and reporting throughout the organization.

• Heightened Standards requirements and their application at midsize and large bank institutions.

• Effectiveness of bank risk assessments and implementation of the three lines of defense framework.

• Operating and control processes involving specialized businesses, product lines, or delivery channels and the related risk monitoring.

• New product and services governance processes.

• Third party risk management programs.

• Risk data collection, aggregation and risk reporting.

• Bank strategic and capital planning and the governance requirements for stress testing in capital planning.

• Dodd-Frank Act stress testing governance and model risk management processes.

• Talent management and compensation programs.

• Payment systems and fraud risk management programs.

• Operational loss data processes and litigation risk management.

C.4.3 Retail Credit Analysis

• Retail credit products, portfolios, functional areas (e.g., underwriting, credit scoring, collections), or risk management;

• Mortgage and home equity lending;

• Credit card lending or other revolving lending products (other than home equity products);

• Other types of direct and indirect retail lending, such as auto lending;

• Brokers, dealers, or other third-party loan originators and servicers;

• Higher risk or sub-prime lending;

• Predatory lending issues and regulations;

• Unfair/deceptive practices issues;

• OCC handbooks, advisories, alerts, and bulletins related to the above areas including

Uniform Retail Credit Classification and Account Management Guidance, Interagency Guidance for Subprime Lending, Interagency Expanded Guidance for Subprime Lending Programs, and the Account Management and Loss Allowance Guidance.

C.4.4 Consumer Protection/Fair Lending/Community Reinvestment Act

• Consumer protection laws and their implementing regulations, including, but not limited to:

Equal Credit Opportunity, Fair Housing, Home Mortgage Disclosure, Community Reinvestment, Unfair or Deceptive Acts or Practices, Fair Credit Reporting, Flood Disaster Protection, Truth in Lending, Real Estate Settlement Procedures, and Consumer Privacy.

• Consumer compliance examination policies, procedures and techniques, including the Comptroller’s Handbook for Consumer Compliance Examination and related OCC bulletins, advisories and alerts.

• Compliance risk management systems, including board and management oversight, compliance organizational structure and staffing, compliance policies, procedures, and processes, compliance training programs, and compliance audit functions.

C.4.5 Bank Secrecy Act/Anti-Money Laundering/Office of Foreign Assets Control

• The Bank Secrecy Act (BSA), related Anti-Money Laundering (AML) laws and regulations, and

Office of Foreign Assets Control (OFAC) regulations.

• FFIEC BSA/AML Examination Manual, related OCC bulletins, advisories, and alerts, and

Financial Crimes Enforcement Network (FinCEN) and OFAC interpretations and guidance.

BSA/AML compliance risk management systems, including board and management oversight, organizational structure and staffing, risk assessment, customer due diligence, suspicious activity monitoring, training programs, and independent testing.

Additional specialized experience required for Consumer and BSA is experience as an auditor, Compliance Officer, or examiner of consumer compliance activities.

C.4.6 Asset Management

Specialized experience required for Asset Management is experience as an auditor, manager or examiner of fiduciary related activities in trust departments of national banks and/or thrift institutions. Asset Management is not the administration of a real estate portfolio.

C.4.7 Capital Markets

Specialized experience required for Capital Markets is experience as an auditor, manager or examiner of balance sheet management of a national bank and/or thrift institution. Essential knowledge and skills include interest rate risk (IRR) concepts, techniques, and models used to monitor IRR; and investment securities and equity markets.

C.4.8 Bank Information Technology (BIT)

Specialized experience required for BIT is experience as an auditor, specialist/analyst or examiner of information technology related activities in national banks and/or thrift institutions.

Knowledge and skills of bank operations and associated technology is essential.

C.5. DELIVERABLES

Any and/or all work prepared, produced or performed by the Contractor in the performance of Services of this contract, including but not limited to, analysis, working papers, reports, recommendations, conclusions, memoranda and proposed report comments, and any other like work products (hereinafter “Deliverables”) shall be the exclusive intellectual property of the OCC with all rights, title, interest, and/or ownership vested wholly and exclusively with the OCC.

C.6. ACCESSIBILITY

The vendor shall ensure all Electronic Information Technology (EIT) meets the applicable standards of Section 508 of the Rehabilitation Act of 1973, as amended. All documents, reports, or plans submitted shall be suitable for sharing within the OCC Intranet by meeting “Web-based Intranet” standards.

Specifically, the following standards apply:

1194.31 – Functional Performance Criteria

[END OF SECTION C]

SECTION D - Packaging and Marking

[THIS SECTION INTENTIONALLY LEFT BLANK]

[END OF SECTION D]

SECTION E - Inspection and Acceptance

E.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:

https://www.acquisition.gov/?q=browsefar.

NUMBER TITLE DATE

52.246-4 INSPECTION OF SERVICES - FIXED-PRICE AUG 1996

[END OF SECTION E]

https://www.acquisition.gov/?q=browsefar

SECTION F - Deliveries or Performance

F.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:

52.242-15 STOP-WORK ORDER AUG 1989

F.2 1052.242-8002 (OCC) PERIOD OF PERFORMANCE (SEP 2012)

The base period of performance of this contract is from 01/01/2017 through 12/31/2017.

If exercised, the first option period/year will extend the contract period of performance from 01/01/2018 through 12/31/2018.

If exercised, the second option period/year will extend the contract period of performance from 01/01/2019 through 12/31/2019.

If exercised, the third option period/year will extend the contract period of performance from 01/01/2020 through 12/31/2020.

If exercised, the fourth option period/year will extend the contract period of performance from 01/01/2021 through 12/31/2021.

(End of Clause)

[END OF SECTION F]

SECTION G - Contract Administration Data

G.1 1052.232-7003 (DTAR) ELECTRONIC SUBMISSION OF PAYMENT REQUESTS (APR

2015)

(a) Definitions. As used in this clause—

(1) “Payment request” means a bill, voucher, invoice, or request for contract financing payment with associated supporting documentation. The payment request must comply with the requirements identified in FAR 32.905(b), “Content of Invoices” and the applicable Payment clause included in this contract.

(b) Except as provided in paragraph (c) of this clause, the Contractor shall submit payment requests electronically using the Invoice Processing Platform (IPP). Information regarding IPP, including IPP Customer Support contact information, is available at www.ipp.gov or any successor site.

(c) The Contractor may submit payment requests using other than IPP only when the Contracting Officer authorizes alternate procedures in writing in accordance with Treasury procedures.

(d) If alternate payment procedures are authorized, the Contractor shall include a copy of the Contracting Officer's written authorization with each payment request.

(End of clause)

G.2 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 1052.215-8003 (OCC) KEY PERSONNEL (APR 2014)

(a) The Contractor shall assign to this contract the following key personnel: bank examiner.

(b) During the first ninety (90) days of performance, the Contractor shall make no substitutions of key personnel unless the substitution is necessitated by illness, death, or termination of employment. The Contractor shall notify the Contracting Officer within 15 calendar days after the occurrence of any of these events and provide the information required by paragraph (c) below. After the initial 90-day period, the contractor shall submit the information required by paragraph (c) to the Contracting Officer at least 15 days prior to making any permanent substitutions.

(c) The Contractor shall provide a detailed explanation of the circumstances necessitating the proposed substitutions complete résumés for the proposed substitutes, and any in additional information requested by the contracting Officer. Proposed substitutes shall have comparable qualifications to those of the persons being replaced. The Contracting Officer will notify the Contractor within 15 calendar days after receipt of all required information of the decision on substitutions. The contract will be modified to reflect any approved changes of key personnel.

G.4 1052.231-8001 (OCC) REIMBURSEMENT OF TRAVEL COSTS (MAR 2014)

(a) Area of Travel. Performance under this contract/task order may require travel by contractor personnel. If travel is required, the contractor is responsible for making all necessary arrangements for its personnel.

(b) Travel Policy. The Government will reimburse the contractor for allowable travel costs incurred by the contractor in performance of the contract in accordance with FAR Subpart 31.205-46. Travel required for tasks assigned under this contract/task order shall be governed in accordance with Federal Travel Regulations.

(c) Travel and Per Diem. Travel and subsistence are authorized for travel whenever a contract/task order requires work to be accomplished at a temporary alternate worksite. No travel or subsistence shall be charged for work performed within a fifty-mile radius of the contractor’s office or for contractor personnel who reside in the metropolitan area in which the tasks are being performed.

Travel performed for personal convenience or in conjunction with personal recreation will not be reimbursed.

1. For travel costs other than described in paragraph (c) above, the contractor shall be paid on the basis of actual amount paid to the extent that such travel is necessary for the performance of services under the contract and is authorized by the Contracting Officer in writing.

2. The contractor shall use the lowest cost mode commensurate with the requirements of the mission as set forth in the basic contract and in accordance with good traffic management principles, including use of taxis versus rental car. The contractor shall use coach, economy class, or similar accommodations to the extent consistent with the successful and economical accomplishment of the mission for which the travel is being performed.

3. Meals and Incidental Expenses (M&IE) shall be paid to the contractor only to the extent overnight stay is required for contract performance. The authorized rate shall be the same as the prevailing M&IE rate of the worksite locality.

4. The contractor’s invoices shall include all non-M&IE receipts or other evidence substantiating actual costs incurred for authorized travel. In no event will such payments exceed the rates of common carriers.

G.5 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.

G.6 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.

[END OF SECTION G]

SECTION H - Special Contract Requirements

H.1 1052.210-70 (DTAR) CONTRACTOR PUBLICITY (AUG 2015)

The Contractor, or any entity or representative acting on behalf of the Contractor, shall not refer to the supplies 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 supplies 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 clause may be considered as part of the evaluation of past performance.

(End of clause)

H.2 1052.216-8002 (OCC) FAIR OPPORTUNITY PROCEDURES (NOV 2009)

The Government will give all contractors that are parties to this contract a fair opportunity to be considered for each task order, except as otherwise provided in Federal Acquisition Regulation (FAR) 16.504(b)(2).

(a) When giving contractors a fair opportunity the Government may consider technical approach, past performance, management approach, personnel experience, and cost/price factors. However, the Government might not consider all of those factors together.

(b) The Government’s objective is to keep task order selection procedures simple and inexpensive for all parties to the contract. Thus, as a general rule, the Government will consider contractors based on (1) information already in its files, (2) price quotations, and (3) past performance under prior orders. In accordance with FAR 16.505(b)(1)(ii), the competition requirements in FAR part 6 and the policies in FAR subpart 15.3 do not apply to the ordering process. However, the Government reserves the right to use more formal procedures when it considers them to be necessary.

(c) After it selects a contractor for a task order, the Contracting Officer may discuss the details of task plans and procedures and negotiate prices with the contractor before issuing the task order. If the Contracting Officer is not satisfied with the progress or outcome of those discussions or negotiations, the Contracting Officer may reconsider the task order selection decision and select a different contractor.

H.3 1052.239-8000 (OCC) ELECTRONIC AND INFORMATION TECHNOLOGY

ACCESSIBILITY (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 http://www.law.cornell.edu/uscode/29/794d.html 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.

(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.

H.4 1052.8001 (OCC) INFORMATION TECHNOLOGY SECURITY AWARENESS TRAINING

(JAN 2014)

(a) As used in this clause—“Network (or Logical) Access” means network access to the Office of the Comptroller of the Currency’s (Government) information resources regardless of location, and “contractor personnel” includes advisors, consultants, or agents to the contractor, subcontractors or their personnel, or any other persons under the auspices of the contractor.

(b) The Contractor understands that work to be performed under this contract may require network

(logical) access to the Government’s information resources. Contractor personnel must complete initial training on their information technology (IT) security responsibilities and the Government’s established system rules of behavior to receive network access to the Government information resources.

Contractor personnel requiring network access to the Government’s information resources must also complete security awareness training annually for the duration of this contract.

(c) The contractor is responsible for its personnel who require access to the Government’s information resources. The contractor shall provide a list of names to the Contracting Officer’s Representative (COR) after award to initiate the background investigation process and identify contractor personnel who require information security awareness training. The contractor shall update this list during contract performance to add or remove contractor personnel to or from the contract.

(d) Contractor personnel shall complete the IT Security Awareness Training located on the

Personnel and Administration Security System (PASS) https://pass.occ.treas.gov/suite/apps before http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&tpl=/ecfrbrowse/Title36/36cfr1194_main_02.tpl 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 http://www.itic.org/public-policy/accessibility https://pass.occ.treas.gov/suite/apps receiving network access to the Government’s information resources. The contractor personnel must sign and date the certificate at the end of the training with their legal names, and provide electronic copies of the certificate to the Security and Compliance Services (SCS) at least two weeks prior to the need date for network access. The contractor shall contact the COR in writing to ensure timely processing of request(s) or for situations when immediate access is required due to circumstances beyond the contractor’s control.

(e) Contractor personnel shall complete the training annually according to the schedule provided by the Government each year. Failure to complete the training according to the Government schedule will result in those contractor personnel having their access to the Government’s network, IT systems, and electronic equipment revoked, until completed and reinstated.

(f) Contractor personnel will be granted access to the Treasury Learning Management System

(TLMS) to complete annual IT Security Awareness refresher training. The COR will provide instructions for completing the annual refresher training in TLMS. The contractor shall ensure all contractor personnel comply with the requirements of this clause.

H.5 1052.245-8002 SEPARATION NOTIFICATION (JAN 2014)

(a) It is anticipated that during the performance of this contract, the contractor will replace key and non-key personnel who have access to OCC’s network information resources or facilities. The contractor shall provide the COR advance notification (at least two weeks before the departure date) of departing contractor employees, subcontractor employees or agents. When advance notification is provided, the COR shall immediately access the Personnel and Administration Security System (PASS) https://pass/occ.treas.gov/suite/apps and initiate an Off-Boarding Request. The departing contractor employee, subcontractor employee, or agent shall follow the instructions provided in the email from PASS and complete the list of off-boarding activities as identified in the Contractor’s Off-Boarding Tasks, Attachment J.1 of this contract.

(b) If the contractor employee, subcontractor employee, or agent departs with less then two weeks notification, the contractor employee, subcontractor employee, or agent shall initiate their own off-boarding request in PASS to begin the off-boarding process, thereby notifying the COR of a pending departure.

(c) If a contractor employee, subcontractor employee, or agent is fired or leaves the employment of the contractor without advance notification, the contractor’s project manager (or other Key Personnel) shall advise the COR within 24 hours of the departure so that the COR can initiate the Off-Boarding Request. The contractor shall ensure that all Government property and information is obtained from the departing employee, subcontractor employee, or agent and returned to the OCC in accordance with the terms of the contract.

https://pass/occ.treas.gov/suite/apps

(d) It is the policy of OCC that all separating contractor employees complete the list of off-boarding activities as identified in the attachment in paragraph (a). A copy of each of the completed forms for departing contractor employees, subcontractor employees, or agents shall be provided to the COR. Contractors shall ensure that no government property, correspondence, or records, including classified or confidential material, are removed from the OCC.

H.6 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 J.2 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.7 1052.245-8004 GENERAL REQUIREMENTS FOR BACKGROUND INVESTIGATIONS

(JAN 2014)

All contractor personnel assigned to this contract who would have access to OCC facilities or systems, shall submit to a background investigation before beginning work under this contract.

The number and type of investigations will depend on factors including, but not limited to, the length of time the individual will work on a contract, the individual’s role, the sensitivity of information the individual will have access to, and the results of past investigations on that individual. Investigations typically conducted by the OCC include an FBI criminal check and/or a suitability investigation.

Contractor personnel must submit information for background investigations electronically through the e-QIP system (http://www.opm.gov/e-QIP/). The Office of Security (OS) will notify contractor personnel when e-QIP is ready to receive their information. After submitting their information, contractor personnel must print required security forms from e-QIP. Printed forms must be signed by the employee and provided to OS.

For background investigation purposes, contractor personnel are required to provide a set of fingerprints.

Contractor personnel must appear in-person to provide fingerprints. See OCC Clause 1052.245-8007 for requirements regarding in-person appearances for security purposes.

The results of all background investigations will be reviewed and adjudicated by OS. Based on investigation results, the OCC has the unilateral right to bar an individual from working under a contract or otherwise restrict the individual’s role under a contract.

The costs for all investigations required under this contract will be borne by the OCC.

H.8 1052.245-8005 (OCC) GENERAL REQUIREMENTS FOR OCC-ISSUED SECURITY

BADGES (JAN 2014)

(a) The Contracting Officer’s Representative (COR) shall determine whether contractor personnel must obtain an Office of the Comptroller of the Currency (OCC)-issued security badge. Generally, contractor personnel who require regular access (access lasting greater than 180 days) to an OCC (Government) facility or require access to Government information systems, either from a Government facility or remotely, will require an OCC issued HSPD-12-compliant SmartID. Contractor personnel whose access is infrequent or less than 180 days in duration are required to obtain an OCC-issued access card. These contractor personnel must provide all required data and complete all procedures necessary for physical and/or logical access to the OCC.

(b) The COR must follow procedures to onboard contractor personnel in the Personnel

Administration and Security System (PASS) at https://pass.occ.treas.gov/suite/apps

(c) Contractor personnel must complete their assigned tasks in PASS beginning with the personal identity verification (PIV) process.

(d) The contractor personnel’s background fingerprints (HSPD-12 SmartID enrollment) and personnel security questionnaire (OPM’s e-QIP system) must be reviewed and adjudicated by the Office of Security (OS) before logical or physical access is approved.

(e) Failure to complete enrollment and e-QIP in a timely fashion could prevent contractor personnel from beginning work as required under this contract. Contractor personnel shall work with the COR and OS to obtain access in a timely fashion.

(f) Contractor personnel are required to appear in person at different times to receive their access card or HSPD-12 SmartID. See OCC Clause 1052.245-8007 for additional information and requirements regarding in-person appearances for security purposes.

(g) Contractor personnel shall surrender their access card or HSPD-12 SmartID upon demand of the

Contracting Officer (CO), COR or the Personnel Security Officer. Contractor personnel shall return their access card or HSPD-12 SmartID to the COR upon completing work under the contract or at any other time if for any reason they no longer require an access to the OCC.

(h) Access cards or HSPD-12 SmartIDs are the property of the Government. Contractor personnel should safeguard access cards and HSPD-12 SmartIDs against loss, theft, and damage, and must report lost or stolen badges immediately to their CO, COR and OS.

H.9 1052.245-8006 (OCC) GENERAL REQUIREMENTS FOR HSPD-12-COMPLIANT

SECURITY BADGES- SmartID (JAN 2014)

(a) The Contracting Officer’s Representative (COR) shall determine whether or not contractor personnel must obtain a Homeland Security Presidential Directive (HSPD)-12-compliant security badge (SmartID). Generally, contractor personnel who require regular access (access lasting greater than 180 days) to an Office of the Comptroller of the Currency (OCC) (Government) facility or require access to Government information systems, either from a Government facility or remotely, will require a SmartID. Contractor personnel who are required to obtain a SmartID must provide all required data and complete all procedures necessary for issuance of a SmartID.

(b) All contractor personnel assigned to this contract, or anyone in the company who would have access to OCC facilities or information systems shall submit to a background investigation before beginning work under this contract. For contractor personnel with neither physical or logical access, a Conditional Access to Sensitive but Unclassified Information Non-Disclosure Agreement (NDA) shall be signed and submitted in lieu of this background investigation.

(c) The COR must follow procedures to onboard contractor personnel in the Personnel

Administration and Security System (PASS) as https://pass.occ.treas.gov/suite/apps

(d) Contractor personnel shall complete assigned tasks in PASS to include personal identity verification process, make and attend their enrollment appointment and complete the OPM e-QIP process for a background investigation.

(e) The contractor personnel’s background fingerprints (HSPD-12 SmartID enrollment) and personnel security questionnaire (OPM’s e-QIP system) must be reviewed and adjudicated by the Office of Security (OS) before they can receive a SmartID.

(f) Contractor personnel must appear in person twice to receive a SmartID. At the first appearance

(enrollment), contractor personnel will have their photograph taken and have their fingerprints taken. At the second appearance, contractor personnel will receive and activate their SmartID. See OCC Clause 1052.245-8007 for requirements regarding in-person appearances for security purposes.

(g) Failure to obtain a SmartID in a timely fashion could prevent contractor personnel from beginning work as required under this contract. Contractor personnel shall work with the COR and Office of Security (OS) to obtain their SmartID in a timely fashion.

(h) Contractor personnel shall surrender their SmartID upon demand of the Contracting Officer

(CO), COR or the Personnel Security Officer. Contractor personnel shall return their SmartID to the COR upon completing work under the contract or at any other time if for any reason they no longer require a SmartID.

(i) SmartIDs are the property of the Government. Contractor personnel must safeguard SmartIDs against loss, theft, and damage, and report lost or stolen SmartIDs immediately to their CO, COR and

OS.

H.10 1052.245-8007 (OCC) IN-PERSON APPEARANCES FOR SECURITY PURPOSES (JAN

2014)

Contractor personnel must appear in person to:

1. Have their fingerprints taken for a background investigation

2. Have their photograph taken for HSPD-12-compliant security badge (referred to as a SmartID) or an Office of the Comptroller of the Currency- (OCC) issued security badge.*

3. Receive and activate a SmartID or an OCC-issued security badge.*

Generally, items 1. and 2. above are normally completed during a single in-person appearance. An individual typically requires two in-person appearances to complete all tasks, but more in-person appearances may be required under some circumstances.

The location at which contractor personnel must appear depends on the contract place of performance and security badge requirements. Generally, contractor personnel performing work in the Washington, DC area will be required to appear at the OCC Headquarters, located at 400 7th Street SW, Washington, DC 20219. Contractor personnel working elsewhere will generally be required to appear at a USAccess credentialing center operated by the General Services Administration (GSA). (A list of GSA-operated credentialing centers can be found at http://www.fedidcard.gov/deployoss.aspx.)

http://www.fedidcard.gov/deployoss.aspx

Contractor personnel requiring in-person appearances at an OCC facility will schedule their appearance with the OCC Office of Security (OS). Appointments can be made by contacting OS at OCCSecurityProcessing@occ.treas.gov or calling the Help Desk at 202-649-6600.

*Contractor personnel who require regular access (access lasting greater than 180 days) to an OCC (Government) facility or require access to Government information systems, either from a Government facility or remotely, will require a SmartID. Contractor personnel whose access is infrequent or less than 180 days in duration are required to obtain an OCC-issued security badge.

(End of Clause)

H.11 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.12 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.