Att A DRAFT SOW_Claims Admin.doc

SECTION C - DESCRIPTIONS/SPECIFICATIONS/WORK STATEMENT

STATEMENT OF WORK

FOR

THE UNITED STATES DEPARTMENT OF JUSTICE

CRIMINAL DIVISION – ASSET FORFEITURE AND MONEY LAUNDERING SECTION

FEDERAL FORFEITURE CLAIMS ADMINISTRATION

DRAFT

March 29, 2011 Table of Contents

1-1C.1 General information

1-1C.1.1 Background

1-1C.1.2 Types of Claims

1-2C.1.3 Layout of the Statement of Work (SOW)

1-3C.1.4 Management and Administration

1-4C.1.5 Performance and Deliverables

2-6C.2 Acronyms and Definitions

2-6C.2.1 Acronyms

2-7C.2.2 Definitions

3-1C.3 Government-furnished Property and Services

3-1C.3.1 Government-Furnished Equipment

3-1C.3.2 Government-Furnished Materials and Supplies

3-1C.3.3 Government-Furnished Facilities

3-1C.3.4 Postage

3-1C.3.5 Travel

4-1C.4 Contractor-furnished Property and Services

4-1C.4.1 General

4-1C.4.2 Claims Information and Forms Website

4-1C.4.3 Claims Tracking System

4-1C.4.4 Interactive Voice Response (IVR) System

4-1C.4.5 Contractor-Furnished Equipment

4-2C.4.6 Contractor-Furnished Supplies and Materials

4-2C.4.7 Contractor-Furnished Facilities

5-2C.5 Specific REQUIREMENTS

5-2C.5.1 General Information and Administration Requirements

5-4C.5.2 Records and Document Management

5-5C.5.3 Task #1 – Money Management

5-6C.5.4 Task #2 – Help Services

5-8C.5.5 Task #3 – Claims Processing and Eligibility Determination

5-10C.5.6 Task #4 – Distribution of Funds

5-10C.5.7 Task #5 – Miscellaneous Services

5-11C.5.8 Task #6 – Final Accounting

6-1C.6 Publications and Forms

6-1C.6.1 Publications

6-2C.6.2 Forms

List of Technical Exhibits

C.1 General information

The purpose of this Statement of Work is to provide specified claims administration services and support to the United States (U.S.) Department of Justice’s (DOJ) Asset Forfeiture Management Staff and the Asset Forfeiture and Money Laundering Section of the Criminal Division. These services will include claims administration support for other DOJ entities, Treasury, and Homeland Security agencies involved in federal seizure and forfeiture activities. The Contractor shall service claims from all judicial districts, Puerto Rico, and other U.S. territories, with the possibility of servicing claimants world-wide.

Contractor services will be required to identify and contact potential claimants and inform them of the opportunity to file a claim, receive and evaluate the claims and make recommendations to Government officials regarding claim validity, inform potential claimants of the claims decisions, review requests for reconsideration and make recommendations regarding these requests, and, in certain cases, make final disbursements to awarded claimants.

C.1.1 Background

The DOJ Criminal Division’s Asset Forfeiture and Money Laundering Section, hereafter referred to as “the Section,” provides centralized management for the Department's asset forfeiture program to ensure its integrity and maximize its law enforcement potential, while also providing managerial direction to the Department's components in prosecuting money laundering. The Section initiates, coordinates, and reviews legislative and policy proposals impacting on the asset forfeiture program and money laundering enforcement agencies.

The Section works with the entire spectrum of law enforcement and regulatory agencies using an interagency, interdisciplinary, and international approach. The Section is mandated to: coordinate multi-district investigations and prosecutions; provide guidance, legal advice, and assistance with respect to asset forfeiture and money laundering investigations and prosecutions; develop regulatory and legislative initiatives; ensure the uniform application of forfeiture and money laundering statutes; litigate complex, sensitive, and multi-district cases; and provide litigation assistance to U.S. Attorneys' Offices and Criminal Division components.

The Section adjudicates all petitions for remission or mitigation of forfeited assets in judicial forfeiture cases, including petitions pertaining to Treasury and Homeland Security agencies as referenced above.

C.1.2 Types of Claims

DOJ is involved in four primary types of activities where claims administration support for federal forfeiture is necessary. These are: i) Petitions for Remission, ii) Restoration, iii) Parallel Forfeiture and Bankruptcy cases, and iv) Class Action Claims arising from seizures and forfeitures.

The U.S. Government has the authority to obtain judicial forfeiture of assets under specific statutes. After assets have been forfeited to the U.S., the Attorney General has authority to distribute the funds, after deduction of Government expenses and satisfaction of third-party claims, to victims of crime pursuant to the regulations governing remission at 28 Code of Federal Regulations (CFR) Part 9, Regulations Governing the Remission or Mitigation of Civil and Criminal Forfeitures. The authority to decide Petitions for Remission has been delegated from the Attorney General to the Chief of the Asset Forfeiture and Money Laundering Section pursuant to 28 CFR §9.1(b)(2). These regulations are applied to determine who is a victim and whether and to what extent distribution of forfeited property is to be made to victims.

Restoration, another form of victim/claimant relief, is used when the Attorney General, at the request of a U.S. Attorney, authorizes the use of forfeited funds to pay restitution to the victim of a criminal offense. Forfeited funds may be applied to the restitution order only if no other funds are available to fulfill the defendant’s restitution obligation. Under restoration rules, the victim/claimant generally must meet the regulatory requirements for remission.

Complex issues often arise when assets are simultaneously subjected to both federal forfeiture and bankruptcy laws. Problems arise when persons accused of criminal conduct – or involved in civil forfeiture actions – seek to use the bankruptcy system to thwart the forfeiture of assets under their control. It can be confusing when prosecutors attempt to forfeit assets that are alleged to be property of a bankruptcy estate. The legal boundaries are unclear when trustees try to wrest control over potentially forfeitable property so that they can use it to pay general unsecured creditors of a bankruptcy estate rather than the victims of the criminal activity from which the ill-gotten gains were obtained. In such cases, the court may have to decide which of the two competing interests takes precedence: crime victims’ rights to restitution or creditors’ rights to a pro rata share of the estate.

The forfeiture program may also experience class action suits filed against it in connection with seized forfeiture activity. Although the interest of claimants in these actions can be quite different from those of victims, the similarities of large number of claimants and the complexity of notification, claims processing, validation, calculation, and payment render them essentially equivalent in terms of the required support services.

C.1.3 Layout of the Statement of Work (SOW) C.1.3.1 SOW Contents

This Statement of Work (SOW) is structured as follows:

· C.1: General Information

· C.2: Acronyms and Definitions

· C.3: Government-Furnished Property and Services

· C.4: Contractor-Furnished Property and Services

· C.5: Specific Requirements

· C.6: Publications and Forms C.1.3.2 SOW Technical Exhibits

Technical Exhibits supporting the SOW are numbered to link them to a designated section; for example, Technical Exhibit 1-001 would be the first technical exhibit referenced for Section C.1. A listing of all technical exhibits is provided after the table of contents.

C.1.3.3 Pagination

Pagination for all parts of the SOW begins with the letter C, followed by the section number, followed by the page number (e.g., page 12 of Section C.1 is paginated as Page C.1-12).

C.1.3.4 Workload Data and Information The claims administration work to be performed by the Contractor is described throughout this SOW, with specific tasks identified in Section C.5. Historical workload is provided in Technical Exhibit 5-001.

C.1.4 Management and Administration

This SOW requires timely and responsive services and technical excellence. The Contractor shall perform under the direction of the Contracting Officer (CO) and the Contracting Officer’s Technical Representative (COTR). The CO may also designate specific technical representatives, henceforth designated as Designated Government Officials (DGO) to provide contract oversight and authorize work. The DGO may be the Contracting Officer’s Technical Representatives (COTR), technical experts, or the Government representative for a specific case. Each Task Order will identify the CO, COTR and DGO (if applicable).

C.1.4.1 Process

Requests for Federal Forfeiture Claims Administration services will be specified through task orders issued under the terms of the contract. The Department will provide fair opportunity for consideration of customer requirements among all Federal Forfeiture Claims Administration Contractors at the task order level. Specific task order level statement of work will be issued and proposal solicited from each Federal Forfeiture Claims Administration Contractor, when appropriate. Contractors will have an opportunity with each task order solicitation to submit questions and/or to request a pre-proposal conference for the purpose of clarifying a requirement. The Contractor(s) selected shall have certified through its task order proposal that it has the experience, capability, and willingness to commit the resources necessary to plan, organize and execute the task order. Debriefing information may be provided via email by the Administrative Contracting Officer (ACO), or in his/her stead, by the COTR, when requested. Meetings for the purpose of debriefing non-selected Offerors for task orders will not be granted.

C.1.4.2 Work Location The Contractor shall operate and provide the services and tasks outlined in Section C.5 from all judicial districts, Puerto Rico, and other U.S. territories, with the possibility of servicing claimants world-wide. Performance of services and tasks in Alaska, Hawaii, or any international locations shall be allowed only if approved or directed by the Government in individual task orders.

C.1.4.3 Organizational Contacts The Contractor shall submit, to the COTR, an organization chart as well as a list of the names, work addresses, and telephone numbers of the supervisory and management personnel with authority to represent the Contractor before the Government in all matters arising under this SOW. The list shall also identify key personnel responsible for performing the requirements contained in Section C.5. The Contractor shall keep the list current, and shall notify the COTR in writing within seven calendar days when changes are made.

C.1.4.4 Personnel Requirements

The Contractor shall provide a sufficient number of employees with the training, skills, experience, and knowledge to perform the services in this SOW in accordance with the specified performance standards. Training of personnel to perform Contract requirements shall be the responsibility of the Contractor. Specifically, the Contractor shall maintain an on-board, permanent, and security cleared Project Manager Position and other management positions the Contractor deems necessary. Additionally, the Contractor shall maintain on-board, security cleared staff representative of the identified labor categories, including Senior Claims Analysts and Records Examiners. The Government will not issue a separate task order to institute or maintain these resources. Due to the lengthy security clearance process and the anticipated need for work, the Contractor shall ensure that sufficient on-board, cleared personnel are available and ready to work and process claims within ten business days of issuance of a task order. The Contractor shall coordinate with DOJ to obtain clearances for its personnel during the Transition Period.

Language Requirements:

The Contractor shall primarily interact and communicate with potential and actual claimants in English; however, the Contractor shall provide communications in Spanish or other languages as directed by the Government.

C.1.4.5 Interfaces

The Contractor shall interface with Government employees and contractors who may be performing required services in areas associated with the requirements of this SOW. Examples include Government employees and contractors who perform asset management and custody and disposition services, as well as those who perform audit or quality assurance services for the Government. The Government will facilitate initial contact between parties. The Contractor shall provide all further required coordination for any task specified in this SOW that relates to or affects work performed by the other party.

C.1.4.6 Agency Interest

The Contractor’s Project Manager (or alternate) shall personally contact the CO or COTR within two working hours of events or occurrences within the scope of this SOW that negatively affect satisfactory performance of this SOW including any instructions about the performance of work that is not communicated through the CO or COTR. In addition, the Contractor shall follow up with a detailed written report within two work days of the discovery of the events or occurrence.

C.1.5 Performance AND DELIVERABLES C.1.5.1 Performance Standards

The Contractor shall ensure that all work meets the specifications defined in the Performance Requirements Summary (PRS) provided in Technical Exhibit 1-001 and as described herein.

C.1.5.2 Quality Control Program

The Contractor shall be responsible for the quality of products and services provided under this SOW. The Contractor shall develop and implement a proactive Quality Control Program to include procedures that the Contractor will use to ensure that the services/products being provided are meeting the internal controls for, quality, quantity, timeliness, responsiveness, customer satisfaction, and other requirements of the SOW.

The Contractor shall re-perform work that does not meet Contract requirements, unless otherwise directed by the CO. Re-performance of work shall not constitute an excusable cause to miss any timeliness standards or deadlines. The Contractor shall absorb the cost of any required rework, and such rework shall not be charged back to the Government.

C.1.5.3 Quality Assurance

C.1.5.3.1 Inspections by the Government

The COTR will inspect the Contractor’s compliance with Contract terms and conditions throughout the performance periods. Evaluation will be based on the Contractor’s compliance with the requirements set forth in the PRS (Technical Exhibit 1-001).

The Contractor shall participate in Government quality assurance by providing data and information as requested.

C.1.5.3.2 Contract Discrepancy Reports The Government will record oversight inspections and issue a Contract Discrepancy Report when the Contractor’s performance is unsatisfactory as defined by the PRS. The Contractor shall reply in writing to the COTR within ten work days from the date the Contract Discrepancy Report was received, giving the reasons for the unsatisfactory performance, corrective action(s) taken, and procedures to preclude recurrence.

C.1.5.3.3 Performance Evaluation Meetings

The Contractor’s Project Manager (or alternate) shall meet with the COTR and other applicable Government personnel to review Contract performance on a monthly basis. These meetings will be conducted via conference call. Performance evaluation meeting topics shall include, but are not limited to, review and analyses of key performance indicators, analyses of process or internal control deficiencies, problem discussion and resolution, reinforcement of quality and timely performance of Contract requirements, accountability reporting, and invoicing issues. At these meetings, the Government and the Contractor will discuss the Contractor’s performance as viewed by the Government and any problems being experienced. The Contractor shall take appropriate actions to resolve outstanding issues.

The Contractor shall take minutes during performance evaluation meetings which highlight the topics of discussion and shall provide an electronic copy to the COTR within five work days of the meeting. The COTR reserves the right to approve the minutes.

C.1.5.4 Monthly Status Reports

The Contractor shall submit monthly written status reports to the COTR. These reports shall be brief, factual, broken down by open Task Order, and shall include, but not be limited to, the following:

· The status of all ongoing work pertaining to specific tasks listed in the SOW.

· Quantitative data for the task order including the total number of claims mailed, delivered, returned (i.e., non-deliverable), processed, evaluated, denied, and granted.

· An estimate of the percent complete for each task.

· A brief description of the work performed during the reporting period just ended.

· Work to be performed during the next reporting period.

· Any problems encountered with corrective action proposed or taken and a statement about the potential impact of the problem.

· Any Government action requested.

Status reports shall be provided on or before the fifth work day after the end of the month. A sample monthly status report is provided in Technical Exhibit 1-002.

C.1.5.5 Contingency Plan and Continuity of Operations The Government must plan in advance how it will meet mission requirements in the event of mobilization, natural disaster, or labor disputes. The Government must be able to react to such events without undue delay. These sudden or unusual events could result in an impact upon the Contractor’s performance and Contract requirements. The Contractor shall establish, maintain, and implement, as necessary, plans and procedures to meet the Government’s requirements for contingencies. The Contractor shall provide contingency services as requested by the CO. If a requirement arises for the Contractor to operate on an emergency basis due to a situation defined as a contingency, an adjustment to the existing order will be negotiated.

The Contractor shall also ensure continuity of its operations in the event of a strike by Contractor personnel. In accordance with Federal Acquisition Regulation (FAR) 52.222-1, Notice to the Government of Labor Disputes, the Contractor shall notify the Government of actual or potential labor disputes which may delay timely performance of this SOW.

C.1.5.6 Distribution Plan

The Contractor shall develop a Distribution Plan template as part of its proposal that will be revised upon award of each Task Order, with additional details related directly to the requirements of the specific Task Order. The Distribution Plan shall detail the combination of services required for each assigned case (e.g., money management, claims processing and eligibility, distribution, claimant communication, final accounting, and reporting and record keeping), and provide a proposed timeline or schedule for accomplishing each service based upon expected quantity of claimants and victims. The Contractor shall submit the draft Distribution Plan to the COTR for review and approval no later than ten work days after issuance of a task order. Additional information on the Distribution Plan is provided in Section C.5.1.4. .

C.2 Acronyms and Definitions As used throughout this SOW, the following acronyms and definitions shall have the meaning set forth below.

C.2.1 Acronyms

Acronyms shown in the table below are those stated throughout this SOW, and do not necessarily reflect all acronyms related to DOJ claims administration.

C.2.2 Definitions

Definitions listed below are for terminology used throughout this SOW, and do not necessarily reflect all terms related to DOJ claims administration.

C.3 Government-furnished Property and Services

C.3.1 Government-Furnished Equipment

Generally no Government-furnished property will be provided under the Contract. In some cases, the Government may provide encryption devices.

Claimant data and information are not considered Government-Furnished Property under this section. The handling and processing of claims is discussed in Section C.5.

C.3.2 Government-Furnished Materials and Supplies

No materials or consumable supplies will be provided as Government-furnished under this SOW.

C.3.3 Government-Furnished Facilities

No facilities will be provided as Government-furnished under this SOW.

C.3.4 Postage

The Government will reimburse postage at the cost of “First Class” domestic postage with no markup.

C.3.5 Travel

As a general rule, local travel will not be reimbursed under this SOW. All long distance travel shall be approved in advance by the CO. Reimbursement for long distance travel costs incurred during the performance of support services shall be in accordance with the 41 CFR Chapter 300-304 (Federal Travel Regulation).

C.4 Contractor-furnished Property and Services

General

The Contractor shall furnish all facilities, property, equipment, materials, and services necessary to perform this SOW that are not specifically identified as Government-furnished in Section C.3 or elsewhere in this SOW. Such property includes, but is not limited to, furnishings, supplies, tools, vehicles, office automation equipment (to include computers and peripherals), and telecommunication instruments. The Government will not take responsibility for any Contractor-Furnished Property.

C.4.1 Claims Information and Forms Website The Contractor shall provide a website for potential claimants and victims to obtain information on the case, as well as the necessary forms for filing a claim. The Contractor shall understand that DOJ anticipates the website shall at a minimum provide forms, notifications, and details to potential claimants, but the Contractor is not required to accept online claims filing at this time. Although automated data collection is not a current requirement, DOJ may choose to move towards this approach in the future. Additional information on this requirement is provided in Section C.5.4.1.

C.4.2 Claims Tracking System

The Contractor shall operate and maintain a Government-approved system for tracking claims.

This system shall be used to track, at a minimum, the following:

· Case Identifier

· Unique Claim Identifier

· Date claim was opened

· Current status of claim

· Date claim was closed

· Specific claim information

The proposed system shall provide all information necessary to meet audit requirements and shall be used to record and report all aspects of claims processing. The system shall be capable of generating an export file in Microsoft Excel.

The Contractor shall ensure continuity of services during system unavailability. The Contractor shall input manually processed transactions upon availability of the system.

C.4.3 Interactive Voice Response (IVR) System

The Contractor shall establish and maintain a toll-free phone number and IVR for consumers to obtain information on the status of claims distributions. Additional information on this system is provided in Section C.5.4.2 C.4.4 Contractor-Furnished Equipment

The Contractor shall furnish equipment and material necessary to perform the requirements of the SOW. Equipment condition shall not relieve the Contractor of any responsibility to provide services as required in this SOW. Equipment acquired by the Contractor, at Contractor cost, shall remain the property of the Contractor at the expiration or termination of this Contract, or as otherwise specified in the Contract. Any costs associated with Contractor-Furnished Equipment shall be included in the appropriate Contract Line Item Numbers (CLINs).

C.4.5 Contractor-Furnished Supplies and Materials

The Contractor shall furnish all supplies and materials necessary to meet the requirements of the Contract. This shall include supplies and materials required to accept and process claimant information and to ensure safe and secure storage of all personal and sensitive information. Any failure on the part of the Contractor to provide sufficient quantities and quality of supplies and materials shall not be cause for reduction in any service or performance.

C.4.6 Contractor-Furnished Facilities

The Contractor shall provide sufficient secured work space to meet the workload and performance standards in this SOW.

C.5 Specific REQUIREMENTS

The Contractor shall provide all personnel, equipment, materials, supervision, and other items and services necessary to perform Claims Administration as defined in this SOW. The Contractor shall perform to the standards specified in this SOW.

C.5.1 General Information and Administration Requirements C.5.1.1 Scope of Work

The Contractor shall provide the services described herein to claimants and victims located both within and outside the U.S. Although the majority of communications and interactions with claimants and victims will be within the U.S., there may be claimants and victims located outside the U.S. and will be noted in individual task orders. The Contractor shall provide the same level of service to both.

C.5.1.2 Workload

The workload information provided is based on volumes from recent cases. Due to the variable nature and volume of claims, historical workload is not necessarily an accurate representation of the projected or future workload for this work. Task Orders will provide a general estimate of the number of claimants; however, additional claimants and victims may be identified after the Task Order is issued. The workload provided should be used to assist offerors in proposal preparation; however, it shall not be a limiting factor on the Contractor’s obligation to perform all services described in this SOW. The Contractor shall be held to the same performance standards and requirements regardless of whether workload increases or decreases.

C.5.1.3 Ordering of Services

All work under this SOW will be assigned via the issuance of specific Task Orders after Fair Opportunity competitions with the award decision to be based on best value. Section H, describes this process further. The Contracting Officer is the only individual authorized to issue Task Orders.

Each claims case is unique and requires a different mix of tasks and sub-tasks. When a Task Order is issued, the CO will annotate within the order which tasks/sub-tasks require performance by the Contractor. It is anticipated that the Contractor and the COTR will be in frequent communication concerning the details of the various tasks and the means of their accomplishment.

Task Orders will be competed among and awarded to a contractor based on case particulars, contractor experience, past contractor performance, and estimated administration cost.

The actual number of Task Orders awarded to all contractors during the period of contract performance is dependent on the number of cases in which the DOJ collects claims funds. Actual work volumes may be greater than or less than the historical volumes incurred to date. The DOJ will notify the Contractor of any known, or anticipated, impact to work volumes. The DOJ anticipates that the following events may have an impact on work volumes:

· Volume of telephone and email inquiries may increase as the DOJ further adjudicates larger cases netting claims funds.

· Activity required to identify claimants may increase as the DOJ and the courts become more creative with settlements.

Task Orders are subject to the terms within the order itself and to the terms and conditions of this SOW.

The DOJ will not issue Task Orders until all appropriate policies, procedures, and controls as required by the SOW (e.g., physical and personal security approvals, bonding and liability insurance coverage, employee training plan, etc.) have been implemented, verified, and approved by the COTR and CO.

C.5.1.4 Distribution Plan

Following award of a Task Order, the Contractor shall revise its Distribution Plan template (initially submitted as part of its proposal; see Sections C.1.5.6 ) that responds to the specific requirements outlined in the Task Order. As part of the Distribution Plan, the Contractor shall develop a reasonable schedule to accomplish the requirements outlined in the Task Order. As a general rule, the Government’s goal is to complete the claims collections, evaluation, and disbursement process within four months of Task Order start. The Contractor shall submit the Distribution Plan to the COTR for approval within ten business days of issuance of a Task Order. Once approved, the Distribution Plan shall be the guiding schedule for completing the Task Order.

C.5.1.5 Transition Period A Transition Period, of approximately 60 days after award of the Contract, will be required to ensure Contractor personnel complete the necessary clearance requirements and infrastructure set up to perform the claims administration work specified herein. (Specific security requirements for personnel are specified in Section H and personnel requirements are specified in Section C.1.4.3). In addition to the clearance of required personnel, the Contractor shall use the Transition Period to establish the necessary infrastructure to perform an actual case administration task order (e.g., establish web site, P.O. Box(es), and bank escrow depository agreements). At the completion of the Transition Period, the Contractor shall have the ability to accept and commence work on any Task Order.

C.5.1.6 Testimony

When requested by the CO or COTR, the Contractor shall provide written or oral testimony regarding claims processing actions performed by the Contractor.

C.5.1.7 Invoices As applicable to each Task Order, the Contractor shall prepare an invoice for the work performed in accordance with the invoice processing terms of the Contract. The Contractor shall invoice upon completion of Task #3, Claims Processing and Eligibility Determination; Task #4, Distribution of Funds; Task #5, Miscellaneous Services; and, Task #6, Final Accounting.

C.5.2 Records and Document Management

The Contractor shall prepare and submit the monthly status report as detailed in Section C.1.5.4 and shall develop and submit additional records and reports as described herein.

C.5.2.1 Access to Records

Upon request of the COTR, the Contractor shall provide to the CO or COTR, or any other designated Government representative, access to the records required to be maintained under this SOW. As necessary, such access shall be at the Contractor’s work site or by delivery of the requested materials to the COTR or other designated Government representative. Such access shall include the right to examine and copy documents as deemed necessary by the COTR.

C.5.2.2 Recordkeeping The Contractor shall maintain and store, in an indexed and readily retrievable form, the following records and documentation for a period of one year following the transfer of residual funds to the DOJ or the closing of the account from which the funds were disbursed, whichever is earlier:

· All records relating to bank or financial accounts used for claims funds. Such records include, but are not limited to, hard copies of all checks, correspondence, memoranda, signature cards, documents showing deposits to and withdrawals from the claims fund, and monthly bank reconciliation reports.

· Copies of all records relating to insurance policies or bonds, and the costs thereof, secured to guarantee the claims fund and the integrity of all persons dealing with the claims fund. Such records include, but are not limited to, correspondence, invoices, and memoranda.

· All records detailing the expenses incurred in maintaining and distributing the claims fund. Such records include, but are not limited to, invoices, mailing costs, search costs, and all other documents used to obtain reimbursement from the claims fund by the Contractor.

· All reports prepared at the COTR’s request, including reports concerning any matter related to fund disbursement, administration, or the Contractor’s performance of the requirements of this SOW.

After the one-year retention period expires, the Contractor shall forward the records described above to the COTR.

C.5.2.3 Ad Hoc Reports

The Contractor shall prepare management and operational reports on an ad hoc basis as requested by the COTR for the purposes of gaining insight to specific claims program needs and any matter related to contractor performance including fund distribution and administrative matters. Specific report formats, content, frequency, delivery methods, and submission dates shall be coordinated with and approved by the COTR on an individual report basis.

C.5.3 Task #1 – Money Management

C.5.3.1 Establishment of Bank Accounts

In accordance with Task Order instructions, the Contractor shall open a bank account for claims cases for which disbursements are made by the Contractor.

All such bank accounts shall be listed in the name of the claims case (e.g., “Benefit of XYZ Victims” or “Benefit of XYZ Class Action”) and shall be in a Federal Deposit Insurance Corporation (FDIC)-insured domestic financial institution. Funds will be transferred to the Contractor by the Government via electronic wire for deposit into the case-specific bank accounts.

For each bank account established, the Contractor shall:

(a) Provide the COTR with read only access to the account balance and transaction activity.

(b) Provide the COTR details concerning the account, including the name of the account, the account number, the account type, physical location of the account, and signature cards. The Contractor shall provide this information to the COTR within one work day of establishing the account.

(c) Prepare and maintain a transaction register accounting for all electronic transactions or checks printed. The register shall include, at a minimum, the electronic transaction trace number, check number, date issued, payee, payee tax identification number, recipient bank routing and account number, disbursement amount, and date cashed (if applicable).

(d) Not maintain an inventory of unused check stock pre-printed with Magnetic Ink Character Recognition (MICR) account numbers and routing information.

(e) Maintain the originals or images of all checks which were not voided or otherwise spoiled and all checks that were returned by the Post Office and remained undeliverable. The Contractor shall also maintain records of all checks issued but not cashed prior to the expiration date of the check. Ensure that the financial institution returns to the Contractor all original cancelled checks or clearly legible images of all original cancelled checks and/or bank drafts and bank statements.

(f) Ensure that the account has payee named and check amount based positive pay or similar services to combat check fraud.

(g) Ensure that the financial institution sends a duplicate original bank statement via express mail or as a PDF file to the COTR within ten calendar days after the end of the month.

(h) Prepare and provide to the COTR a reconciliation of the prior month’s activity of each bank account. Reconciliations shall be provided on or before the fifth work day after the end of the month.

(i) Upon request, provide to the CO, COTR, General Counsel, and/or Inspector General information pertaining to the bank records and activities.

(j) Ensure that appropriate corrections are made within 45 calendar days of receiving written notification of a needed correction to bank and/or financial statements.

C.5.3.2 Bank Account Disbursements and Transfers The Contractor shall obtain the COTR’s written approval and authorization of claims distribution in accordance with the court or administrative order prior to any disbursements and transfers of claims funds, including the payment of all invoices for work performed under this SOW and transfers to and from approved investments and the claims bank account.

Once the transfer of the total amount of funds to be disbursed is approved in writing by the COTR, the Contractor shall transfer monies from interest-bearing accounts to non-interest-bearing accounts incrementally, on an as-needed basis, in order to maximize interest income.

C.5.3.3 Tax Requirements

For each claims case task order awarded to the Contractor, the Contractor shall obtain a tax identification number (TIN). As instructed by the COTR, the Contractor shall prepare and file all necessary tax returns, forms, or reports with the appropriate authorities.

C.5.4 Task #2 – Help Services

In accordance with Task Order instructions, the Contractor shall maintain help services for the days and times of operations annotated on the Task Order (up to 24 hours per day) to assist potential claimants in obtaining information relating to the claims fund (claims qualification and check distribution) and requirement for participation in the claims distribution.

At a minimum, help services shall include responding to requests and inquiries received via an established website and interactive voice response (IVR). Additionally, requests and inquiries may be received from potential claimants view e-mail or written mail. The Contractor shall have the ability to respond in either English and/or Spanish (as applicable and as directed in individual task orders).

C.5.4.1 Claims Information Website

The Contractor shall create, develop, and host a website that provides claims and case information to actual and potential claimants to include forms for filing a claim. This website shall be maintained regularly, and the Contractor shall ensure the information, data, and forms on the site are accurate and up-to-date. The website shall, at a minimum, provide the following information:

· Case overview and status

· Web links to the DOJ’s case-specific URL (as applicable)

· Responses to frequently asked questions

· Claimant registration forms and instructions for submission

· Contact information

For all web-based features, the system shall be compatible with and have complete functionality using the latest version of the industry standard browsers and two previous versions (e.g., Firefox and Internet Explorer.) See Section H for security requirements.

C.5.4.2 Interactive Voice Response (IVR)

The Contractor shall provide and maintain a toll-free IVR service for consumers seeking information on the status of the claims distribution. This toll-free system shall be available 24 hours per day, seven days per week, 365 days per year. This system shall be regularly updated to ensure the case information and status is up-to-date and claimants are provided with accurate information. The volume of calls will be dependent upon the size and specifics of each case.

IVR services shall include DOJ “approved/scripted” responses to:

· Requests for information

· Frequently asked questions (developed and delivered by the Government in each Task Order)

· Claimant registration

· Claim form fulfillment

· Claim status

If requested per the Task Order, the Contractor shall also provide the ability for callers to opt out of the IVR and interact with a live operator for a Government-determined period of time, up to 24-hours per day.

Occasionally, DOJ staff receives claims-related calls which, in turn, may be directed to the Contractor for official processing. The Contractor shall notify the COTR to whom these calls will be routed.

In special cases, the Task Order may request the Contractor to set up the IVR but reroute calls to the DOJ for official response. The anticipated volume and duration of such rerouting will be specified in the Task Order.

Additionally, in some special cases, the DOJ will establish an internal hotline to answer questions on a specific claims matter, which may include a claims case already assigned to a Contractor. Some of these special cases include active ongoing participation in a case, active collection of consumer contact data, or active status updates about a claims case not yet assigned to a Contractor. These calls may also be directed to the Contractor for processing if applicable and as stated within the Task Order.

C.5.4.3 E-mail and Mail

As requested, the Contractor shall create and implement an e-mail address and mailing address for potential claimants and victims to obtain additional information or ask questions. The Contractor shall ensure the security of the e-mail account and mailbox to prevent disclosure of confidential or personal information, and shall monitor both to ensure a response to all inquiries within one business day.

C.5.5 Task #3 – Claims Processing and Eligibility Determination

In accordance with Task Order instructions, the Contractor shall process and finalize the claimant list. This processing may include one or more of the following items.

C.5.5.1 Initial Claims Data

After the Task Order is issued, the COTR will provide the Contractor all existing claimant information in the DOJ’s possession. The COTR shall be the sole source of the initial existing claimant information and the Contractor shall not accept initial existing claimant information from any other internal or external source. All changes to claimant data are subject to audit by the DOJ.

All electronic claimant data shall be encrypted before transmission between the DOJ and the Contractor. Hard copy claimant data will be transmitted by the COTR to the Contractor via overnight delivery and will be insured and tracked by the delivery company. The DOJ will incur shipping costs of transporting case-specific material.

C.5.5.2 Data Reconciliation

The Contractor shall use the initial existing claimant information to establish a preliminary list of potential claimants for each case assigned. The Contractor shall prepare and submit notification letters, claims forms, and other case-related information for claimants to the COTR for approval. The notification letter shall set forth a summary of the case and state the availability of the claims fund and the requirements necessary for participation in the claims plan, as determined by the COTR. The COTR shall approve the content and format of the notification letters, claims forms, any additional documentation or information to be mailed with the notification, and the list of recipients. Upon approval, the Contractor shall mail the letters, forms, and information to potential claimants and victims.

As needed and depending on the format and extent of the initial claimant information provided by the COTR, the Contractor shall revise the claimant list for mailing. The tasks required may include data entry, conversion of existing electronic data, or the use of electronic data without any conversion. The Contractor shall also eliminate duplicate entries or claims so that the eligible recipients receive only one notification and reimbursement amount from the claims fund.

As requested, the Contractor shall obtain corrected names, mailing addresses, and email addresses using the U.S. Postal Service (USPS), Internet, and other directory searches. As requested, the Contractor shall perform additional specialized searches. The Contractor shall provide the COTR with a list of any updated addresses and contract information obtained throughout the claims administration process.

C.5.5.3 Initial Correspondence/Verification of Claim Data

The Contractor shall analyze all claims forms submitted by potential claimants, assess the sufficiency of supporting documentation, and develop and maintain a list of potential claimants who appear to meet all requirements for participation in the claims distribution. The Contractor shall also calculate the projected dollar amount each claimant is to receive from the claims fund.

If required by the Task Order, the Contractor shall re-mail claims forms to potential claimants whose correspondence was returned with an address correction/notification. In addition, if required by the Task Order, the Contractor shall contact potential claimants who appear to qualify for participation in the claims fund but whose documentation is lacking in some respect, and request they supply corrected documentation.

The Contractor shall prepare and provide to the COTR a list of persons whose claim forms are deficient. The COTR may in turn attempt to obtain the required eligibility verification from other sources.