DOL131RP21617-0004.pdf

X

5. PROJECT NO.

CODE 7. ADMINISTERED BY

2. AMENDMENT/MODIFICATION NO.

CODE 1605

6. ISSUED BY

8. NAME AND ADDRESS OF CONTRACTOR

4. REQUISITION/PURCHASE REQ. NO. 3. EFFECTIVE DATE

9A. AMENDMENT OF SOLICITATION NO.

9B. DATED

PAGE OF

PAGES

10A. MODIFICATION OF CONTRACT/ORDER NO.

10B. DATED

BPA NO. 1. CONTRACT ID CODE

FACILITY CODE CODE

Offers must acknowledge receipt of this amendment prior to the hour and date specified in the solicitation or as amended, by one of the following methods:

The above numbered solicitation is amended as set forth in Item 14. The hour and date specified for receipt of Offers X

E. IMPORTANT:

is extended,

(a) By completing Items 8 and 15, and returning _1________ copies of the amendment; (b) By acknowledging receipt of this amendment on each copy of the offer submitted; or (c) By separate letter or telegram which includes a reference to the solicitation and amendment numbers. FAILURE OF YOUR AC-

KNOWLEDGMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE HOUR AND DATE SPECIFIED MAY is not extended.

12. ACCOUNTING AND APPROPRIATION DATA

(REV. 10-83)

is required to sign this document and return ___________ copies to the issuing office. is not, A. THIS CHANGE ORDER IS ISSUED PURSUANT TO: (Specify authority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE CONTRACT ORDER NO. IN ITEM 10A.

15C. DATE SIGNED

B. THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES

SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b).

RESULT IN REJECTION OF YOUR OFFER. If by virtue of this amendment you desire to change an offer already submitted, such change may be made by telegram or letter, provided each telegram or letter makes reference to the solicitation and this amendment, and is received prior to the opening hour and date specified.

C. THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF:

D. OTHER

BY

Contractor

16C. DATE SIGNED

14. DESCRIPTION OF AMENDMENT/MODIFICATION

16B. UNITED STATES OF AMERICA

Except as provided herein, all terms and conditions of the document referenced in Item 9A or 10A, as heretofore changed, remains unchanged and in full force and effect.

15A. NAME AND TITLE OF SIGNER 16A. NAME AND TITLE OF CONTRACTING OFFICER

15B. CONTRACTOR/OFFEROR

STANDARD FORM 30 NSN 7540-01-152-8070

PREVIOUS EDITION NOT USABLE Prescribed by GSA - FAR (48 CFR) 53.243

(Type or print) (Type or print)

(Organized by UCF section headings, including solicitation/contract subject matter where feasible.)

(No., street, county, State and ZIP Code)

(If other than Item 6) 1605

(Specify type of modification and authority)

(such as changes in paying office, appropriation date, etc.)

(If required)

(If applicable)

(SEE ITEM 11)

(SEE ITEM 13)

(X)

(X)

13. THIS ITEM APPLIES ONLY TO MODIFICATIONS OF CONTRACTS/ORDERS,

IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14.

11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS

AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT

(Signature of person authorized to sign) (Signature of Contracting Officer)

1 48

0004 02-05-2013 132-1394-489

OASAM Office of Procurement Services

U. S. Department of Labor

RM S4307

200 Constitution Ave., NW

Washington DC 20210

OASAM Office of Procurement Services

U. S. Department of Labor

RM S4307

200 Constitution Ave., NW

Washington DC 20210

To all Offerors/Bidders DOL131RP21617

X 2-5-2013 x 1

The purpose of Amendment 0004 is to correct the following:

1. Document the extension of the closing due date to February 14, 2013, 2:00 PM, EST, as responded in the Q&A posted.

2. Section C – Statement of Work, highlighted in yellow are revisions based on Q&A. Labor Categories in red font are changes or revisions in response to Q&A.

3. Add FAR Clause 52.232-99 -- Providing Accelerated Payment to Small Business Subcontractors (DEVIATION.)

4. Revised Section L, based on Q&A, add page limitation of proposals.

5. Incorporate Technical Exhibit 1 – Performance Requirement Summary.

6. Incorporate Technical Exhibit 2 – Surveillance Checklist.

7. Corrected Invoicing Procedures under Section G.

8. Under Section J, delete Attachment 1 – Proposed Labor Categories and replaced with Subcontracting Plan Summary Sheet, Post Attachment II-Suggested Template for Proposed Labor Categories, III-DOL Small Business Subcontracting Goals.

WANDA MADDOX

CONTRACTING OFFICER

DOL131RP21617-0004

CONTINUATION PAGE

SECTION C – DESCRIPTION/SPECIFICATIONS/STATEMENT OF WORK

1.0 Background Information

1.1 In order to exercise control over, and accountability for available resources, the Office of the Chief Financial

Officer (OCFO), Office of Management and Budget (OMB) Circulars, Department of the Treasury regulations, the Government Performance and Results Act (GPRA), the Government Management Reform Act (GMRA), and the Federal Financial Management Improvement Act (FFMIA) require the preparation of financial reports and statements in accordance with applicable Government accounting standards. Within the Department, agencies are responsible for preparing financial statements and/or compiling financial data for their particular program activities for inclusion in the Department’s Consolidated Financial Balance System (FACTS). Pursuant to responsibilities of preparation and compilation of financial data, the OCFO must ensure that the agency financial statement compilation data are timely, accurate, and consistent with appropriate reporting requirements; prepare the Department’s Financial Statements; cooperate with the Office of Inspector General (OIG) in the OIG’s audit of the Financial Statements; and prepare the final Annual Financial Statements for the Department reflecting the

OIG’s audit opinion and the data statutorily required by all Federal financial management laws, regulations, and guidance. To properly fulfill these financial preparation and compilation responsibilities, the OCFO requires professional financial management support.

1.1.2 To ensure DOL compliance with the above, in June 2008, the OCFO purchased the New Core Financial

Management System (NCFMS) which replaced the legacy DOLAR$ System. NCFMS allows the consolidation of multiple financial systems and enables proven, standard business practices coupled with DOL’s own business rules to provide a Financial Systems Integration Office compliant system.

1.2 Scope of Work

1.2.1 The contractor shall support the following Department of Labor (DOL) Agencies, or any future or successor DOL components responsible for the functions performed by these entities due to new legislation, or

Departmental reorganization, with all financial services required as outlined in Section C.3 Statement of Work.

1. Office of the Chief Financial Officer (OCFO)

2. Employment and Training Administration (ETA)

3. Wage and Hour Division (WHD)

4. Office of Federal Contract Compliance Programs (OFCCP)

5. Office of Labor-Management Standards

6. Office of Assistant Secretary for Administration and Management (OASAM)

7. Office of the Solicitor

8. Office of Public Affairs

9. Office of the Assistant Secretary for Policy (OASP)

10. Employee Benefits Security Administration (EBSA)

11. Women’s Bureau

12. Veterans’ Employment & Training Service (VETS)

13. Office of Labor Management Standards (OLMS)

14. Office of Workers’ Compensation Program (OWCP)

15. Wage and Hour Division

16. Office of Disability Employment Policy (ODEP)

17. Occupational Safety & Health Administration (OSHA)

18. Bureau of Labor Statistics

19. Bureau of International Labor Affairs (BILA)

20. Office of the Inspector General (OIG)

21. Office of Congressional & Intergovernmental Affairs (OCIA)

1.3 Place of Performance

1.3.1 All Agencies are located in Washington, DC; however, Regional Office locations are as follows: Travel to these locations will be required, ensuring rules are followed in accordance with the Federal Travel Regulations

(FTR).

1. Boston, Massachusetts

2. Philadelphia

3. Atlanta, Georgia

4. Dallas, Texas

5. Chicago, Illinois

6. San Francisco, California

1.4 RECOGNIZED HOLIDAYS:

1.4.1 The contractor is not required to perform services on the following holidays:

New Year’s Day Labor Day

Martin Luther King Jr.’s Birthday Columbus Day

President’s Day Veteran’s Day

Memorial Day Thanksgiving Day

Independence Day Christmas Day

1.5 HOURS OF OPERATION:

1.5.1 The contractor shall be responsible for conducting business, between the hours of 8:00 am to 5:00 pm, Monday thru Friday. Federal holidays or when the Government facility is closed due to local or national emergencies, administrative closings, or similar Government directed facility closings is at the discretion of the

Contractor. The Contractor must at all times maintain an adequate workforce for the uninterrupted performance of all tasks defined within this SOW when the Government facility is not closed for the above reasons.

1.6 Scope of Work

1.6.1 Task orders may include but will not be limited to one or more of the following work elements:

1.6.2 Prepare accurate and timely quarterly and annual Consolidated Financial Statements and Federal Agency’s

Centralized Trial Balance System (FACTS) data consistent with the requirements of the CFOA and other applicable legislation and appropriate OMB, Treasury, and Government Accountability Office (GAO) regulations and guidelines in support of the Employment and Training Administration (ETA), the Office of Worker’s

Compensation Programs (OFCCP), and the Office of Labor Management Standards, or any future or successor

DOL components responsible for the functions performed by these entities due to new legislation, Departmental reorganization , or management prerogative.

1.6.3. Assist agencies in compiling financial data in the extraction, transformation, and loading processes necessary to prepare the agency FACTS I and II data, compilation of the Department’s and trust fund financial statements and the compilation of the Department’s quarterly and annual Consolidated Financial Statements, as well as supporting other agencies within the Department of Labor. To accomplish this, the Contractor shall coordinate, monitor, and/or support the activities of the Department’s agencies to prepare and submit draft and final reports, memoranda, and other work products, as applicable, for Departmental agency, program, and administrative staff that:

a) Support the consistent treatment of accounting issues and standard journal entries, the completion of all tasks, and the timely submission of all deliverables;

b) Reflect that all off-ledger items and accounts of the Department have been properly complied and recorded in the Department of Labor accounting systems;

c) Support the availability, completeness, and accuracy of data in the Department of Labor accounting subsystem and financial reports for agency use;

d) Support completeness and accuracy of complies agency trial balances for the FACTS I and II transmission and compliance with Treasury reporting requirements;

e) Reconcile accounts (e.g., cash to Treasury and debt), and compile data for journalizing off-ledger accounts into the Department of Labor accounting system;

f) Analyze end-of-year working trial balances and provide appropriate technical assistance and recommendations to ensure their accuracy and completeness;

g) Compile and document required footnote disclosures for financial statement preparation, as well as required supplementary information, required supplementary stewardship information, and other accompanying information;

h) Compile work papers which clearly trace the Department of Labor accounting system journal entries, working trial balance reclassifications, or working trial balance eliminations to supporting lead schedules and to supporting documentation;

i) Document financial systems procedures to conform with appropriate statutes and regulations, including development of appropriate system documentation and training of agency staff;

j) Compile elimination and adjusting entries for consolidated financial statements including accrued disability benefit adjustments for the entire Department, and other year-end adjustments;

k) Support the (1) maintenance of the Unemployment Trust Fund (UTF) /Department of Labor accounting system interface and recommend revisions when required by changes in Treasury reporting; (2) reconciliations of UTF transaction files to Treasury supporting documentation; (3) completeness and accuracy of postings through system interfaces; (4) recommendations to ETA personnel regarding database or other transactions to include overpayments, taxes, reimbursable employer receivables, benefit payment accruals, and Federal Employees Compensation Act (FECA) account collections and receivables, and data necessary for supplemental information; recommendations to ETA personnel regarding database development so that required information will be obtained from the states;

l) Support the maintenance of FECA receivables from other agencies and collections of those receivables including interface transactions that have been recorded and agree with Treasury and worksheets for

Federal accounts receivable and future workers compensation liability for distribution to other agencies and publication on the internet;

m) Compile adjustments and supporting documentation for (1) the Panama Commission Compensation Fund including investment and interest receivable transactions and preparation of market values of portfolio for year-end disclosure; and (2) Wage and Hour civil money penalties and accounts receivable; provide recommendations to accounting issues related to the Energy Employees Occupational Illness

Compensation Fund, the Long shore and Harbor Workers’ Compensation Act-Trust Fund, the District of

Columbia Workmen’s Compensation Act Trust Fund and the Black Lung Disability Trust Fund to ensure the funds are properly recorded in the Department of Labor accounting system.

1.6.4. The Contractor shall provide recommendations to agencies which shall include:

a) Outstanding accounting issues and pronouncements which might affect the content, presentation or format of the Departments’ financial statements;

b) Compliance with Single Audit Act reporting and the Federal Audit Clearinghouse; and

c) Compliance requirements of current and future financial management legislation and regulations, such as the Federal Financial Management Improvement Act of 1996 (FFMIA), the Federal

Manager’s Financial Integrity Act of 1982 (FMFIA), the Federal Information Security

Management Act of 2002 (FISMA), OMB Circular A-123, and the Improper Payments

Information Act of 2002 (IPIA).

1.6.5. The Contractor shall provide training to Federal staff, current Contractor staff, and any successor

Contractor on all aspects of financial reporting, which may include presentation materials, agendas, training objectives approved by DOL management, and/or documentation to support attendance.

1.6.6. The Contractor shall prepare reconciliations and supporting documentation for:

a) Subsidiary and general ledger systems for E-Grants (DOL;s grant subsidiary), grants, and interfaces;

b) Fixed assets system and the general ledger (including additions, deletions, impairments, construction in progress (CIP), and transfers);

c) Treasury closing package, including input data for the Government-wide Financial Reporting

System (GFRS), yearly reporting to Treasury, and mock reporting for the quarters ending March

31 and June 30;

d) Proprietary to budgetary reconciliations’

e) Payroll and payroll accrual reconciliations; and

f) Upward and downward adjustments

g) Provide verbal and written explanations in support of work products to the OCFO, OIG, and the independent auditor, which may include explanations of the accounting treatment of transactions and

h) Verbal and written guidance to assist with audit resolution, e.g., notifications of findings and recommendations (NFRs), significant deficiencies, material weaknesses, and Management

Advisory Comments.

1.6.7. The Contractor shall support the Department’s compliance with OMB Circular A-136 (or subsequent

OMB guidance), as follows:

a) Prepare the Department’s annual and quarterly Financial Statements, including any subsequent drafts to comply with the independent auditor or OIG’s current and prior year audit findings, and make required changes to the database and presentation of the financial statements in case of entity and display changes or reorganization of bureaus or sub-departments within DOL;

b) Update the “Summary of Procedures Guide” to reflect the procedures used in the most recent compilation of financial statements for audit, including drafting assigned sections;

c) Prepare analytical procedures related to the relationship of budgetary and proprietary accounts, research, and recommend corrections to errors identified in analytical procedures;

d) Prepare child trial balances in a format that may be posted to the core financial system and prepare analyses of parent/child activity as required by OMB Circular A-136 and other central guidance agency requirements.

e) Prepare, on the basis of data received from sub-agencies, spreadsheets reflecting percentage by sub-agency, for allocation of overhead in DOL accounting and reporting systems, and reconciliations of the net cost as per Statement of Net Cost to Strategic Goals of the Department as required by OMB Circular A-136.

f) Draft responses to the recommendations of Association of Government Accountants (AGA) on the

Performance and Accountability Report (PAR) under the Certificate of Excellence in

Accountability Reporting (CEAR) Program.

g) Assist in the preparation of the financial and related sections to complete the Office of the Chief

Financial Officer’s portion in the Performance and Accountability Report (PAR) of Agency

Financial Reports (AFR) as the case may be; and

h) Assist in the preparation of the financial and related sections to complete the Office of the Chief

Financial Officer’s portion of the Department’s summary of performance and financial results.

i) Advise and assist the agencies on management’s preparation of accounting policies and procedures;

j) Prepare financial management ad-hoc reports.

1.6.8. The Contractor shall assist the agencies in compiling the necessary financial data and in the extraction, transformation, and loading processes necessary to prepare the agency FACTS data, compilation of the

Department’s and trust fund financial statements and the compilation of the Department’s quarterly and annual

Consolidated Financial Statements as well as supporting other agencies within DOL as follows:

a) Ensure the consistent treatment of accounting issues and standard journal entries, the completion of all tasks, and the timely submission of deliverables;

b) Ensure all off-ledger items and accounts of the Department have been properly compiled and recorded in the DOL accounting system;

c) Ensure that information from the DOL accounting subsystems is available to the agencies and accurately reflected in the system; review and verify all financial/accounting reports for completeness and accuracy;

d) Ensure that the agency trial balances are ready for the FACTS transmission and compilation process is complete and accurate;

e) Review FACTS trial balance for completeness accuracy, and compliance with Treasury reporting requirements;

f) Compile the journalized off-ledger accounts into the DOL accounting system; perform reconciliations (e.g. cash reconciliations to Treasury and debt reconciliations);

g) Analyze end-of-year working trial balances and provide appropriate technical assistance to ensure their accuracy and completeness;

h) Compile and document required footnote disclosures for financial statement preparation, as well as required supplementary information, required supplementary stewardship information, and other accompanying information;

i) Prepare detailed compilation work papers which clearly trace the DOL accounting system journal entries, working trial balance reclassifications, or working trail balance eliminations to supporting lead schedules and to supporting documentation;

j) Bring financial systems procedures into conformance with appropriate statutes and regulations, including assisting the agencies in the development of appropriate system documentation, and in training of agency staff;

k) Identify and prepare elimination entries for consolidated financial statements; calculate and prepare accrued disability benefit adjustments for all agencies; prepare future workers compensation liability adjustments for various agencies of the Department of Labor; and assist in making year end cash adjustments;

l) Maintain the Unemployment Trust Fund (UTF)/DOL accounting system interface and make changes when required by changes in Treasury reporting; reconcile UTF transaction files to

Treasury supporting documentation and ensure that files are complete and accurate and that they accurately post to the DOL accounting system through the interface; communicate with ETA personnel to obtain databases necessary for recording all other and reimbursable employer receivable, benefit payment accruals, and Federal Employees Compensation Act (FECA) account collections and receivables, and also to obtain data necessary for supplemental information; assist

ETA in developing databases so that required information will be obtained from the states;

m) Record FECA receivables from other agencies and collections of those receivables; ensure that interface transactions have been recorded and cash is in agreement with Treasury; prepare worksheets for Federal accounts receivable and future workers compensation liability for distribution to other agencies and publication on the internet;

n) Calculate and prepare adjustments for the Panama Commission Compensation Fund including investment and interest receivable transactions and preparation of market values of portfolio for year-end disclosure; calculate and prepare adjustments for Wage and Hour civil money penalties and accounts receivable; assist in accounting issues related to the Energy Employees

Occupational Illness Compensation Fund, the Long shore and Harbor Worker’s Compensation

Act Trust Fund, the District of Columbia Workmen’s Compensation Act Trust Fund and the

Black Lung Disability Trust Fund and ensure that funds are properly recorded in the DOL accounting system.

1.6.9. The Contractor shall advise agencies on outstanding accounting issues and pronouncements which might affect the content, presentation or format of the Department’s financial statements.

1.6.10. The Contractor shall assist the agencies in the preparation of the Department’s annual and quarterly

Financial Statements.

1.6.11. The Contractor shall cooperate with the OIG in the OIG’s audit of the Department’s Financial Statements and assist the OCFO as requested during the audit process to clarify accounting treatment of transactions.

1.6.12. The Contractor shall assist the agencies in the redrafting of the Department’s Financial Statements so as to reflect the OIG’s audit findings from the current or prior years.

1.6.13. The Contractor shall advise and assist the agencies in the annual update of the “Summary of Procedures

Guide” reflecting the procedures used in the most recent compilation of financial statement for audit, including drafting assigned sections.

1.6.14. The Contractor shall advise and assist the agencies on management’s preparation of accounting policies and procedures.

1.6.15. The Contractor shall provide training to Federal staff on all aspects of financial statements compilation and related matters on a regular basis.

1.6.16. The Contractor shall provide audit liaison services, including audit resolution and responses to notifications of findings and recommendations (NFRs), significant deficiencies, material weaknesses and

Management Advisory Comments.

16.17. The Contractor shall assist in preparing analytical procedures related to the relationship of budgetary and proprietary accounts, and researching and correcting errors identified in the analytical procedures.

1.6.18. The Contractor shall prepare child trial balance in a format that could be posted to core financial system and monitor parent/child activity as required by OMB circular A-136 and other central guidance agency requirements.

1.6.19. The Contractor shall assist in meeting compliance requirements of the Federal Financial Management

Improvement Act of 1996 (FFMIA), the Federal Manager’ Financial Integrity Act of 1982 (FMFIA), and Federal

Information Security Management Act of 2002 (FISMA).

1.6.20. The Contractor shall prepare input data for the Government-wide Financial Reporting System (GFRS), yearly reporting to Treasury, and mock reporting for the quarters ending March 31 and June 30. Prepare reconciliations of the data entered in GFRS and all the paperwork to be submitted to auditors for the closing package (Special Purpose Financial Statement) audit.

1.6.21. The Contractor shall provide proprietary to budgetary reconciliations.

1.6.22. The Contractor shall provide upward and downward adjustments and their reconciliations and submit the paperwork to the auditors.

1.6.23. The Contractor shall prepare, on the basis of data received from sub-agencies, spreadsheets reflecting percentages by sub-agency, for allocation of overhead in DOL accounting and reporting systems. Reconcile net cost as per Statement of Net Cost to Strategic Goals of the Department as required by OMB Circular A-136.

1.6.24. The Contractor shall prepare financial and related sections to complete the Office of the Chief Financial

Officer’s portion in the Performance and Accountability Report (PAR) or Agency Financial Reports (AFR) as the case may be.

1.6.25. The Contractor shall make required changes to the database and presentation of the financial statements in case of entity and display changes or reorganization of bureaus or sub-departments within DOL.

1.6.26. The Contractor shall evaluate CMP and BWFS reports to ensure they meet Federal financial system reporting requirements.

1.6.27. The Contractor shall evaluate CMP and BWFS design and operational documents to ensure the systems include all appropriate accounting features and internal accounting controls.

1.6.28. The Contractor shall prepare regional monthly/quarterly/yearly cash reconciliation to the U.S. Treasury and DOLARS.

1.6.29. The Contractor shall provide general accounting support to include participating in Regional

Accountability Reviews.

1.6.30. The Contractor shall assist WHD in fiscal year end close out of accounting processes, to include:

a) Coordinate with Regional and District Offices on a monthly/quarterly/yearly basis to ensure that appropriate cutoffs occur;

b) Review monthly/quarterly/yearly BWFS and CMP system accounting processes and cash reconciliation;

c) Assist in responding to issues that arise during OIG audits;

d) Assist in responding to OIG WHD Internal Control Findings;

e) Assist in responding to OIG Management Advisory Letters;

f) Assist in developing an “Action Plan”.

1.6.31. The Contractor shall prepare monthly/quarterly/yearly NCFMS journal entries for back wage and CMP receivables and collections against the receivables. Unless otherwise communicated by WHD Federal Manager, cash and disbursement reconciliations are due to WJD on the following dates:

a) Back wage receipts and disbursements reconciliation – due the seventh (7th) calendar day of the month.

b) CMP collections and disbursements reconciliation – due the seventh (7th) calendar day of the month.

c) IPAC reconciliation – due the second (2nd) calendar day of the month.

1.6.32. The Contractor shall prepare monthly/quarterly/yearly NCFMS journal entries for back wage and CMP receivables and collections against receivables. Unless otherwise communicated by WHD Federal Manager, journal entries are due to WHD on the following dates:

a) Monthly journal entries are due second (2nd) calendar day of the month.

b) Quarterly journal entries are due the second (2nd) calendar day following the close of the fiscal quarters ending on 12/3, 03/31, 06/30, and 09/30 of the respective calendar year;

c) Yearly close out journal entries, including any adjusting entries, are due to WHD as communicated by WHD Federal Manager.

1.6.33. The Contractor shall prepare quarterly Treasury Report on Receivables and Debt Collection Activities

(TROR) for back wage and CMP.

a) Prepare accurate back wage and CMP TROR reports in compliance with Treasury publications

Managing Federal Receivables and the TROR Handbook.

b) Unless otherwise communicated by WHD Federal Manager, the TROR reports, including complete reports and supporting documentation, are due to WHD by the 15th calendar day following the close of the fiscal quarters ending on 12/31, 03/31, 06/30, and 09/30 of the respective calendar year.

1.6.34. The Contractor shall support the Employment Training Administration in the administration of

Unemployment Insurance Program by performing the following:

1.6.34.1 Monthly Deliverables

(1) Process remainder BPD Files including:

a) Review data file for accuracy and completeness

b) Reconcile cash in the data file to FECA and Master account ending balances, provided by BPD

c) Validate that (insert name of company) posts the files correctly into NCFMs (in “test” and

“production” environments

(2) FAUC data files (February 2011)

a) Review data file for accuracy and completeness

b) Validate that (insert name of company) posts the files correctly into NCFMs (in “test” and production” environments)

(3) Process JVs for Uninvested transactions for February

a) Determine Uninvested transaction amounts to be recorded into NCFMS

b) Create journal entries and supporting documentation, and submit for appropriate personnel in DOL for review and approval

c) Submit JVs to DOL personnel for making journal entries

d) Review GL to ensure that JVs were posted correctly

e) Information needed to perform the above process is provided by BPD in the monthly BPD file.

1.6.34.2 Quarterly

(1) Process UI benefits payment files, including:

a) Reverse prior period benefit estimates and accruals

b) Format FMRS files (benefits and accruals) and submit formatted files to (insert name of company) for processing into NCFMS

c) Format “dues and payables” accruals and submit formatted files to (insert name of company) for processing into NCFMS

d) Validate that (insert name of company) posts the above files correctly into NCFMs (in “test” and

“production” environments)

(2) Prepare schedules for calculating and recording accounts receivables and allowance for UI including:

a) Calculate AR and allowance for regular UI benefit overpayment receivables

b) Calculate AR and allowance for FEC UI benefit overpayment receivables

c) Calculate AR and allowance for Extended Benefits (EB) benefit overpayment receivables (AU227)

d) Calculate AR and allowance for delinquent tax receivables

e) Calculate AR and allowance for delinquent reimbursable receivables

f) Calculate AR for current receivables-Estimates

g) Calculate AR for tax receivables from states holding account

h) Create and submit JVs for each of the receivables calculated above to (enter name of contractor) for upload into NCFMS

i) Validate that (insert name of contractor) posts the above files correctly into NCFM (in “test and

“production” environments)

(3) UTF Federal Receivables

a) Ensure that FEC Intragovernmental receivables are calculated and recorded by DOL personnel

b) Obtain supporting documentation and schedules from Daniel Bastian?, and file into the UTF binder for documentation purposes

c) Prepare schedules for calculating and recording reimbursable revenue for UI

(4) Other Items

a) Communicate with Bureau of Public debt regarding data or file transmission issues

b) Liaise with Trust Fund management branch regarding data, interest accruals, FACT II information

c) Obtain and process various quarter-end JVs for UTF, including

d) Existing Claims accruals JVs

e) SUIESO accrual JVs

f) Interest accruals JVs for UTF borrowings

g) Interest accruals JVs for UTF investments

h) Validate UTF and FAUC investment amounts to amounts report on-line by Treasury

i) Update UTF documentation accordingly

j) Respond to UTF audit-related inquires and PBC requests

k) Perform reconciliation of NCFMS accounts and Treasury reported Distributed Offsetting Receipts

l) Complete UTF documentation binder, including all documentation supporting UTF balances and entries

m) Perform UTF tie-point analysis and financial statements review and tie-point

n) Review UTF related footnotes and other information in DOL consolidated financial statement for accuracy

1.6.34.3 Annually

a) Perform UTF asset allocation calculation and journal entries. Submit entries to (insert name of contractor) and validate entries accordingly.

1.6.35. The Contractor shall draft/update a plan for annual Improper Payments Information Act of 2002 (IPIA) and Improper Payments Elimination and Recovery Act 2010 (IPERA) compliance support and other IPIA and

IPERA related activities to meet FY (insert year) requirements (except Recovery Audit) per OMB Circular

A-123, Appendix C, and OMB Circular A-136, and the new statutory requirements including related reporting requirements.

1.6.36. The Contractor shall prepare/update an IPIA risk assessment for FY (insert year) in accordance with

OMB Circular A-123, Appendix C.

1.6.37. The Contractor shall prepare bi-weekly progress reports, attend meetings, and deliver briefings as needed.

1.6.38. The Contractor shall provide other support relating to IPIA and IPERA as requested by the DOL OCFO.

1.6.39. For IPIS and IPERA, the Contractor shall provide support to the OCFO on IPIA and IPERA work based on OMB Circular A-123, Appendix C and related statutory requirements, including assisting OCFO with developing information to support DOL/OCFO IPIA/IPERA responses to OMB and to other Agency/DOL management as needed.

1.6.40. The Contractor shall support OCFO in meeting OMB Circular A-123, Appendix A assessment of internal controls over financial reporting requirements and OMB Circular A-136 AFR reporting requirements as follows:

(1) Prepare a Detailed Project Work Plan

a) Timelines

b) Work Breakdown Structure

c) Estimated effort to complete

d) Deliverables

e) Planning Memorandum

f) Scheduling and conducting any Department, Agency and Internal meeting to complete this phase.

(2) Overall Project Management and Oversight

a) Maintain A-123 project team

b) Onboarding orientation for all team members to include background on DOL, project mission and policies

c) Contract and task order maintenance. Reconciliation of hours to DOL time clock

d) ICB meetings

e) SAT meetings

f) KPMG status meetings

g) Weekly project meeting with OCFO project team

h) Status reports, presentations and materials required to support the above tasks

(3) Conduct Design Evaluation of Entity Level Controls

a) Roll forward prior year questionnaire and distribute to agencies to update

b) Meet with selected agencies

c) Evaluate controls and/or strategies in place for high risks (compare to controls already in place and tested for A-123). Perform additional testing/evaluation as needed.

(4) Document procedures followed by DOL to demonstrate/document it compliance with FMFIA and

FFMIA and report in the Assurance Statement.

(5) Operations and Related Control Environment

(a) Assess the IT Environment

i. Confirm in-scope applications, third party services, and GSSs with Agencies

ii. Update environmental characteristics for each application

iii. Evaluate NCFMS controls against all FOSC AM domains

iv. The government may request SSAE16 SOC 1, 2, or 3 services. It is anticipated that the level of support needed will be limited to those tasks required by Departmental entities responsible for using and maintaining the financial systems.

v. Review recent OIG audit reports, FISMA audit reports, FOSCAM audit reports

POA&Ms, NOFRs, SSAE 16 report, System Security Plans

vi. Develop or update controls narratives not previously documented

vii. Review assessment of information technology internal control design

viii. Evaluate SSAE 16s for external in-scope systems

(b) Assess the Financial Process

i. Confirm in-scope processes

ii. Provide quality assurance on the assessment work performed for Unemployment

Insurance and Grants by ETA

iii. Update all narratives for changes, assess effect on controls and update the risk controls matrix, including the effect of the implementation of NCFMS

iv. Document fines and penalties processes for EBSA, if in scope

v. Continue to roll out HR/payroll, transit subsidy, Egov travel, procurement and payables, and Job Corps Procurement and Center Management, if in scope. Prepare materials for training and workshops

vi. Conduct quality assurance of changes to existing narratives prepared by others

vii. Communicate design findings to DOL agency management

IPIA

viii. Support the OCFO and other DOL agencies in meeting IPIA and IPERA compliance in accordance with statutory and OMB requirements (Appendix C of OMB Circular A123 and OMB Circular A136)

ix. For IPERA, provide support to the OCFO on IPERA related work that DOL/OCFO must comply with, including assisting OCFO with responses to OMB on IPERA actions within the OMB directed timeframe

x. Support relating to IPIA and IPERA such as risk assessments, cost effective analysis for benefit contracts and other programs as requested.

xi. Complete reporting of IPIA/IPERA in AFR

(c)Testing and Assessment of Control

i. Evaluate management’s self-assessment test results

ii. Test general and application controls as applicable

iii. Conduct quality assurance of management’s self-testing

iv. Communicate control exception findings to DOL agency management

v. Document agency validated control exceptions in database

vi. Attribute testing for financial controls for transactions occurring (insert dates) for all in-scope financial processes

vii. IPIA testing for FECA. Observe accountability review.

viii. Provide Quality Assurance on Agency level testing at the National Office and the

Regions

ix. Reporting

(d) Prepare weekly status reports and management weekly briefing to include the following:

i. Work performed during the period and results

ii. Problem areas, delays and impediments

iii. Preliminary findings/recommendations/remediation plans

iv. Work to be completed and milestones during the next period

v. Status of deliverables

vi. Plans of action to meet deadlines

(e) Maintain work breakdown structure in Microsoft Project that contains a baseline of budgeted hours and actual hours spent per task.

(f) Manage project to work breakdown structure and report on variances as part of the weekly status reports.

Prepare final reports at the conclusion of the effort. The reports should summarize the work performed, objectives achieved, findings and recommendations relating to internal control and recommendations to improve the A 123 assessment process in the future. The report should also recommend the form of the assurance statement that the Department should use.

(g) Deliverables

All deliverables are to be provided in electronic copy to the Project Manager and the COR or designee

i. Work breakdown structure

ii. Project Work Plan, Test and Sampling Plan

iii. Training materials

iv. Presentations

v. Process narratives uploaded into appropriate database

vi. Control activities linked to risks within appropriate database

vii. All work papers, report, analyses, etc., prepared in performing the work (hard copy and electronic copy) All material is to be referenced for easy use access

viii. Weekly status reports

ix. Final reports

x. Audit collaboration tool and supporting training and documentation

1.6.41. Assist the agencies in compiling financial data and in the extraction, transformation, and loading processes necessary to prepare the Financial and Activity Report on a weekly basis:

a) Review NCFMS RA reports

b) Review sub-agencies RA reports

c) Prepare BPD report and compare with ETA

d) Prepare final OMB template for submission to OMB

e) Follow-up on pending issues

f) Prepare memo and reports for Associate Deputy CFO

g) Visit OMB MAX site to see if new guidance has been issued and advise sub-agencies

h) Prepare NEPA, ARRA Section 1609 report data quarterly

i) Update OCFO portion of RA operating plan document

j) Support the availability, completeness, and accuracy of data in NCFMS.

k) Provide training to federal staff, current contractor staff, and any successor contractor on all aspects of financial reporting which may include presentation materials, agendas, training objectives approved by DOL management, and/or documentation to support attendance.

l) Provide verbal and written explanations in support of work products to the OCFO and weekly RA report.

1.6.42 Workload Variability

During any fiscal year (FY), the demand for contract staff time is expected to be greatest during the first quarter, when the financial accounts of the prior year are formally closed-out. Demand may be high for the 15 days prior to and the 45 days subsequent to the close of each fiscal quarter.

1.7 QUALITY CONTROL: The contractor shall develop and maintain an effective quality control program

(QCP) to ensure services and reports are performed in accordance with this SOW. The contractor shall develop and implement procedures to identify, prevent, and ensure non-recurrence of any defective service or report. The contractor’s quality control program is the means by which assurance that work complies with the requirement of the contract. The Quality Control Plan is to be delivered with the contractors’ proposal. The Contractor shall submit final QCP for the Government’s acceptance 10 days after contract award. After acceptance of the quality control plan the contractor shall receive the contracting officer’s acceptance in writing of any proposed change to the Contractor’s QC system.

1.8 QUALITY ASSURANCE: The Government shall evaluate the contractor’s performance under this contract. This plan is primarily focused on what the Government must do to ensure that the contractor has performed in accordance with the performance standards. It defines how the performance standards will be applied, the frequency of surveillance, and the minimum acceptable defect rate(s).

1.9 TYPE OF CONTRACT: MULTIPLE AWARDS, FIRM FIXED PRICE/INDEFINITE

DELIVERY/INDEFINITE QUANTITY (OCT 1995)

(a) This is a multiple awards, Firm Fixed Price (FFP)/ indefinite delivery/indefinite quantity (IDIQ) service contract for the services specified and effective for the period stated, in the Schedule. The quantities of supplies and services specified in the Schedule are estimates only and are not purchased by this contract.

(b) Delivery or performance shall be made only as authorized by task orders issued in accordance with the

Ordering clause. The Contractor shall furnish to the Government, when and if ordered, the supplies or services specified in the Schedule up to and including the quantity designated in the Schedule as the

"maximum." The Government shall order at least the quantity of supplies or services designated in the

Schedule as the "minimum."

(c) Except for any limitations on quantities in the Order Limitations clause or in the Schedule, there is no limit on the number of orders that may be issued. The Government may issue orders requiring delivery to multiple destinations or performance at multiple locations specified in the Place of Performance clause in this SOW.

(d) Any task order issued during the effective period of this contract and not completed within that period shall be completed by the Contractor within the time specified in the order. The contract shall govern the

Contractor's and Government's rights and obligations with respect to that order to the same extent as if the order were completed during the contract's effective period; provided that the Contractor shall not be required to make any deliveries under this contract after it expires.

(e) Task Orders will be competed among the multiple awardee Contractors based on the criteria set forth for that specific requirement and in accordance with the SOW, utilizing the Best Value Tradeoff procedures.

1.10 PRIVACY

Portions of information disclosed during the performance of this task are protected by the provisions of the

Privacy Act of 1974; therefore, all personnel assigned to this Contract are required to take proper precautions to protect the information from disclosure.

1.10.1 Personal Information and Privacy

The contractor shall provide personal information and privacy support to ensure compliance to the Privacy Act and other Federal Privacy related policies including, but not limited to, OMB Memorandum M-06-16, Protection of Sensitive Agency Information, and M-07-16, Safeguarding Against and Responding to the Breach of Personally Identifiable Information. This support shall include the review and evaluation of the Privacy

Impact Assessments (PIAs) for all systems containing DOL sensitive and PII information. The review will ensure that the systems comply with the appropriate regulations pertaining to personally identifiable information

(PII). The contractor shall evaluate their existing Departmental Privacy related policies and procedures to ensure they comply with federal Privacy related policies. The contractor shall also ensure that all identified privacy vulnerabilities and areas of noncompliance have been documented and track resolution, to conform to the most recent DOL implementation of Federal information security guidelines, currently defined as:

• The Freedom of Information Act, as amended (5 USC 522), which provides for the disclosure of information maintained by Federal agencies to the public, while allowing limited protection for privacy.

• The Privacy Act of 1974, as amended (5 USC 522a), including the Computer Matching and Privacy Act of 1988 (Public Law 100-503).

• The Computer Security Act of 1987 (Public Law 100-235), which established minimum security practices for Federal computer systems.

• The Federal Information Security Management Act of 2002, which established the requirement for all information systems operated by or on behalf of the United States Government to be certified and accredited as satisfying the minimum information security requirements established by statute, regulation, and National Institute of Standards and Technology (NIST) standards and guidance materials.

• OMB Circular A-130, Management of Federal Information Resources, which provides instructions to

Federal agencies on how to comply with the fair information practices and security requirements for operating automated information systems.

• OMB Memorandum M-07-16, Safeguarding Against the Breach of Personally Identifiable Information, May 22, 2007.

• OMB Memorandum M-06-19, Reporting Incidents Involving Personally Identifiable Information and

Incorporating the Cost for Security in Agency Information Technology Investments, July 12, 2006.

• OMB Memorandum M-06-16, Protection of Sensitive Agency Information, June 23, 2006.

• OMB Memorandum M-06-15, Safeguarding Personally Identifiable Information, May 22, 2006.

• FIPS PUB 199, Standards for Security Categorization of Federal Information and Information Systems.

http://csrc.nist.gov/publications/fips/fips199/FIPS-PUB-199-final.pdf

• FIPS PUB 200, Minimum Security Requirements for Federal Information Systems.

http://csrc.nist.gov/publications/fips/fips200/FIPS-200-final-march.pdf

• NIST Special Publication (SP) 800-53, Recommended Security Controls for Federal Information

Systems.

http://csrc.nist.gov/publications/nistpubs/800-53-Rev2/sp800-53-rev2-final.pdf

• US DOL Computer Security Handbook (DOL’s implementation of NIST SP 800 53). (Reference

Attachment 25 - Computer Security Handbook 3.0)

• DLMS – 9 – Chapter 1200, DOL Safeguarding Sensitive Data Including Personally Identifiable

Information (Reference Attachment 26 - Department of Labor Manual Series (DLMS) 9 Chapter 1200)

1.10.2 Privacy Responsibilities

(a) The Contractor shall ensure that every employee completes all mandated Federal security training requirements prior to the employee’s first day of work under the second opinion medical examination services contract unless the Government provides a signed waiver agreement.

(b) The Contractor shall ensure that all information and reports generated under the terms of this contract are, and shall always remain, the property of the Government.

(c) The Contractor shall protect the Personally Identifiable Information (PII) of all claimants, providers, and

Government employees from unauthorized disclosure.

(d) The Contractor shall use a Government-approved report form to notify the Government of all security incidents involving Personally Identifiable Information (PII) within one (1) hour of becoming aware of the incident. This written notification will describe the security incident or disaster in detail and state the measures taken to protect the confidentiality, integrity and availability of OCFO information.

1.11 UNLIMITED DATA OWNERSHIP

All products, deliverables, data developed as a result or in performance of this contract are the property of the

U.S. Government and DOL, which may be utilized for official purposes and future acquisitions, in accordance with FAR Clause 52.227-14 – “Rights in Data-General” (Dec 2007). “Unlimited rights” means the right of the

Government to use, disclose, reproduce, prepare derivative works, distribute copies to the public, and perform publicly and display publicly, in any manner and for any purpose, and to have or permit others to do so.

1.12 COMMITMENT TO PROTECT SENSITIVE INFORMATION

The Contractor shall not release, publish, or disclose sensitive information to unauthorized personnel, and shall protect such information in accordance with provisions of the following laws and any other pertinent laws and regulations governing the confidentiality of sensitive information: 18 U.S.C. 641 (Criminal Code: Public

Money, Property or Records)

1.13 CONTRACTING OFFICER REPRESENTATIVE:

The (COR) will be identified by separate letter. The COR monitors all technical aspects of the contract and assists in contract administration. The COR is authorized to perform the following functions: assure that the

Contractor performs the technical requirements of the contract: perform the oversight necessary in connection with contract performance: maintain written and…