PBGC01-RP-15-0004-_Amendment_01.pdf

NSN 7540-01-152-8070 STANDARD FORM 30. (Rev. 10-83) Previous Edition unusable Prescribed by GSA FAR (48 CFR) 53.243

Page of Pages AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT 1. Contract ID Code

2. AMENDMENT MODIFICATION NO. 3. EFFECTIVE DATE 4. REQUISITION/PURCHASE REQ. NO. 5. PROJECT NO. (if applicable)

6. ISSUED BY CODE 7. ADMINISTERED BY (If other than item 6) CODE

(x) 9A. AMENDMENT OF SOLICITATION NO.

9B. DATED (SEE ITEM 11)

10A. MODIFICATION OF CONTRACT/ORDER NO.

8. NAME AND ADDRESS OF CONTRACTOR (NO., Street, Country, State and ZIP Code)

CODE FACILITY CODE

10B. DATED (SEE ITEM 13)

11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS

The above numbered solicitation is amended as set forth in item 14. The hour and date specified for receipt of offers is extended, is not extended.

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:

(a) By completing items 8 and 15, and returning ______ copies of 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 ACKNOWLEDGMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OR OFFERS PRIOR TO THE HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER. If by virtue of this amendment your 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.

12. ACCOUNTING AND APPROPRIATION DATA (If required)

13. THIS ITEM ONLY APPLIES TO MODIFICATION OF CONTRACTS/ORDERS. IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14.

Check One

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.

B. THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES (such as changes in paying office, appropriation date, etc) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b).

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

D. OTHER (Specify type of modification and authority)

E. IMPORTANT: Contractor is not, is required to sign this document and return _______ copies to the issuing office.

14. DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings, including solicitation/contract subject matter where feasible)

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 (Type or print)

16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or print)

15B. CONTRACTOR/OFFEROR 16B. UNITED STATES OF AMERICA

(Signature of person authorized to sign)

15C. DATE SIGNED

(Signature of Contracting Officer)

16C. DATE SIGNED

Continuation Page

PAGE 2 OF 130 PBGC01-RP-15-0004/01

Continued from Block 14...

pre-approved by the COR and the CO. The Contractor shall provide the COR with all projected overtime for the month in their Monthly Management Report. The contractor shall bill for overtime for hours in excess of a forty (40) hour work week which applies to the SCA labor categories only#.

3. Revise the Frequency of Item No. 1, Quality Control Plan, in Technical Exhibit 2 of the Statement of Work. The frequency is changed from #with proposal# to #30 days after award#.

See attached conformed copy.

SCHEDULE Continued

ITEM NO. SUPPLIES/SERVICES QUANTITY UNIT UNIT PRICE AMOUNT

PAGE 3 OF 130 PBGC01-RP-15-0004/01

0001 Field Benefit Administration (FBA) support services at the Coraopolis and Wilmington locations. The expected period of performance will be January 5, 2015 - January 4, 2016. PBGC intends to award one contract for the Wilmington FBA and one contract for the Coraopolis

FBA.

1.00 LO

Table of Contents

PAGE 4 OF 130 PBGC01-RP-15-0004/01

SECTION B SUPPLIES OR SERVICES AND PRICES/COSTS

B. 1 PBGC-16 003 CEILING PRICE (FEB 2013)

B. 2 PBGC-44-001 OTHER DIRECT COSTS (MAY 2012)

B. 3 Description of Services

B. 4 Pricing Schedule - Coraopolis FBA

B. 5 Pricing Schedule - Wilmington FBA

SECTION C DESCRIPTION/SPECIFICATIONS/WORK STATEMENT

C. 1 STATEMENT OF WORK

SECTION D PACKAGING AND MARKING

D. 1 PBGC-11 004 PACKAGING AND MARKING (JAN 2012)

SECTION E INSPECTION AND ACCEPTANCE

E. 1 52.246-6 INSPECTION--TIME-AND-MATERIAL AND LABOR-HOUR (MAR 2001)

E. 2 PBGC-46-001 INSPECTION AND ACCEPTANCE OF DELIVERABLES (JAN 2012)

SECTION F DELIVERIES OR PERFORMANCE

F. 1 52.242-15 I STOP-WORK ORDER (AUG 1989)--ALTERNATE I (APR 1984)

F. 2 PBGC-45 001 GOVERNMENT FURNISHED INFORMATION, ASSISTANCE AND/OR EQUIPMENT (JAN 2012)

F. 3 GOVERNMENT FURNISHED PROPERTY, EQUIPMENT AND SERVI

F. 4 Hours of Operation

F. 5 Place of Delivery

F. 6 Place of Performance

F. 7 Training

SECTION G CONTRACT ADMINISTRATION DATA

G. 1 PBGC-32-001 SUBMISSION OF INVOICES (LABOR-HOUR) (JAN 2012)

G. 2 PBGC-42-001 CONTRACTING OFFICER'S REPRESENTATIVE (JAN 2012)

G. 3 PBGC-42-002 OBSERVANCE OF LEGAL HOLIDAYS (JAN 2012)

SECTION H SPECIAL CONTRACT REQUIREMENTS

H. 1 PBGC-00-001 PROFESSIONAL ATTIRE (OCT 2005)

H. 2 PBGC-03-001 CONFIDENTIALITY OF INFORMATION (OCT 2004)

H. 3 PBGC-03-002 ORGANIZATIONAL CONFLICTS OF INTEREST (OCT 2004)

H. 4 PBGC-03-003 SUITABILITY DETERMINATION REQUIREMENTS (JAN 2012)

H. 5 PBGC-04-004 PBGC INFORMATION SECURITY (FEB 2011)

H. 6 PBGC-04-005 PROTECTION OF PERSONALLY IDENTIFIABLE INFORMATION (PII) (FEB 2013)

H. 7 PBGC-04-007 MANAGEMENT AND RETENTION OF PBGC RECORDS (SEP 2014)

H. 8 PBGC-09-001 RESTRICTIONS AGAINST DISCLOSURE OF INFORMATION (JAN 2012)

H. 9 PBGC-31-004 AGENCY AWARENESS TRAINING (JAN 2012)

H. 10 PBGC-32-007 LIMITATION OF FUNDS (SEP 2010)

H. 11 PBGC-37-001 KEY PERSONNEL (MAR 2012)

H. 12 PBGC-37-002 EDUCATION AND EXPERIENCE QUALIFICATIONS (JUL 2009)

H. 13 PBGC-39-001 ELECTRONIC AND INFORMATION TECHNOLOGY (OCT 2004)

H. 14 Labor Categories and Qualifications Experience

SECTION I CONTRACT CLAUSES

I. 1 52.212-4 I CONTRACT TERMS AND CONDITIONS--COMMERCIAL ITEMS (MAY 2014)--ALTERNATE I (MAY

2014)

Table of Contents

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

COMMERCIAL ITEMS (JULY 2014)

I. 3 52.216-31 TIME-AND-MATERIALS/LABOR-HOUR PROPOSAL REQUIREMENTS -- COMMERCIAL ITEM ACQUISITION

(FEB 2007)

I. 4 52.217-8 OPTION TO EXTEND SERVICES (NOV 1999)

I. 5 52.217-9 OPTION TO EXTEND THE TERM OF THE CONTRACT (MAR 2000)

I. 6 52.225-25 PROHIBITION ON CONTRACTING WITH ENTITIES ENGAGING IN CERTAIN ACTIVITIES OR

TRANSACTIONS RELATING TO IRAN--REPRESENTATION AND CERTIFICATIONS (DEC 2012)

I. 7 52.232-7 PAYMENTS UNDER TIME-AND-MATERIALS AND LABOR-HOUR CONTRACTS (AUG 2012)

I. 8 52.232-40 PROVIDING ACCELERATED PAYMENTS TO SMALL BUSINESS SUBCONTRACTORS (DEC 2013)

I. 9 52.233-4 APPLICABLE LAW FOR BREACH OF CONTRACT CLAIM (OCT 2004)

I. 10 52.243-3 CHANGES--TIME-AND-MATERIALS OR LABOR-HOURS (SEP 2000)

I. 11 52.244-2 SUBCONTRACTS (OCT 2010)

I. 12 PBGC-09-001 RESTRICTIONS AGAINST DISCLOSURE OF INFORMATION (JAN 2012)

I. 13 PBGC-39-001 ELECTRONIC AND INFORMATION TECHNOLOGY (OCT 2004)

SECTION J LIST OF ATTACHMENTS

J. 1 SCA Wage Determination - Coraopolis, PA

J. 2 SCA Wage Determination - Wilmington, DE

J. 3 Section J - Attachments

SECTION K REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFERORS

K. 1 52.212-3 OFFEROR REPRESENTATIONS AND CERTIFICATIONS--COMMERCIAL ITEMS (MAY 2014)

SECTION L INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFERORS

L. 1 52.212-1 INSTRUCTIONS TO OFFERORS--COMMERCIAL ITEMS (APR 2014)

L. 2 52.233-2 SERVICE OF PROTEST (SEP 2006)

L. 3 PBGC-15-007 EXPENSES RELATED TO PROPOSAL SUBMISSION (OCT 2004)

L. 4 PBGC-15 011 REFERENCE AND EVALUATION (OCT 2004)

L. 5 INSTRUCTIONS TO OFFERORS

SECTION M EVALUATION FACTORS FOR AWARD

M. 1 Award on Initial Proposals

M. 2 Competitive Range Determination

M. 3 Evaluation of Options

M. 5 METHOD OF AWARD

PAGE 6 OF 130 PBGC01-RP-15-0004/01

SECTION B

SUPPLIES OR SERVICES AND PRICES/COSTS

B. 1 PBGC-16 003 CEILING PRICE (FEB 2013).

It is anticipated that the total cost to the Government for performance of this contract shall not exceed the ceiling price set forth in Section B for the Base Year Performance Period, and any Option Periods, and the contractor agrees to use its best efforts to perform the work specified in the schedule and all obligations under this contract within the ceiling price. If at any time the contractor has reason to believe that the hourly rate payments and material costs that will accrue in performing this contract in the succeeding 30 days, if added to all other payments and costs previously accrued, will exceed 85 percent of the ceiling price set forth in this clause, the contractor shall notify the Contracting Officer in writing, giving a revised estimate of the total price to the Government for performing this contract, with supporting reasons and documentation.

If, at any time during the performance of this contract, the contractor has reason to believe the total price to the Government for performing this contract will be substantially greater or less than the stated ceiling price the contractor shall notify the Contracting Officer in writing, giving a revised estimate of the total price to the Government for performing this contract, with supporting reasons and documentation. If, at any time during the performance of this contract, the Government has reason to believe the work required in performing this contract will be substantially greater or less than the stated ceiling price, the Contracting Officer will so advise the contractor, giving them the revised estimate of the total amount of effort to be required under this contract. The ceiling price for each contract period is shown in the clause title Price/Cost. The Government shall not be obligated to pay the contractor any amount in excess of the ceiling price, and the contractor will not be obligated to continue performance, if to do so would exceed the ceiling price, unless and until the Contracting Officer notifies the contractor in writing that the ceiling price has been increased and of the new ceiling price of the contract. Once the Contracting Officer increases the ceiling price, any otherwise allowable hours and material costs incurred by the contractor which were in excess of the previous ceiling price before the increase shall be allowable to the same extent as if the hours had been expended or costs incurred after the increase in the ceiling price.

B. 2 PBGC-44-001 OTHER DIRECT COSTS (MAY 2012).

The Contractor shall be reimbursed for the actual cost of other direct costs determined to be allowable in accordance with Part 31 of the Federal Acquisition Regulation and authorized by the Contracting Officer or his designee prior to the contractor incurring the charge.

If Travel and Per Diem are authorized they will be reimbursed in accordance with the Federal Travel Regulation (FTR) in effect at the time the travel is authorized by PBGC. All travel requirements must be met using the most economical form of transportation available and must be scheduled sufficiently in advance to take advantage of offered discount rates unless waived by the Contracting Officer. You may find the FTR at http://www.gsa.gov/ portal/content/104790.

B. 3 Description of Services

PAGE 7 OF 130 PBGC01-RP-15-0004/01

DESCRIPTION OF SERVICES

The Contractor shall provide the necessary Field Benefit Administration (FBA) services at

Coraopolis, PA and/or Wilmington, DE to perform the effort described in Section C, Statement of Work (SOW). PBGC intends to award one contract for the Wilmington, DE FBA and one contract for the Coraopolis, PA FBA.

B. 4 Pricing Schedule - Coraopolis FBA

PAGE 8 OF 130 PBGC01-RP-15-0004/01

PRICING SCHEDULE – Coraopolis FBA

The price schedule below is inclusive of all Contractor costs (direct and indirect) for performing services outlined in the SOW.

The CLINs identified below indicate the number of hours for each labor category in the Base

Year and each of the Option years.

Base Year – Coraopolis FBA

January 5, 2015 – January 4, 2016

CLIN

Labor Category Maximum

Hours

Hourly Rate Total Amount

0001A Project Manager 2,080

0001B Assistant Project Manager 2,080

0001C Benefits Supervisor 10,400

0001D Team Leader 6,240

0001E Auditor 2,080

0001F LAN-WAN Administrator 2,080

0001G Technical Support Assistant -

SCA Occupation Code: 14042

2,080

0001H Quality Review Analyst 6,240

0001I Senior Pension Administrator 43,680

0001J Junior Pension Administrator 47,840

0001K Entry Pension Administrator -

SCA Occupation Code: 01113

10,400

0001L Administrative Support - SCA

Occupation Code: 01111

10,400

Total Hours 145,600

0002 Other Direct Costs (ODCs) NTE $85,000.00

Estimated Total Amount

Base Year ount

PAGE 9 OF 130 PBGC01-RP-15-0004/01

Option Year 1 – Coraopolis FBA

January 5, 2016 – January 4, 2017

CLIN

Labor Category Maximum

Hours

Hourly Rate Total Amount

1001A Project Manager 2,080

1001B Assistant Project Manager 2,080

1001C Benefits Supervisor 10,400

1001D Team Leader 6,240

1001E Auditor 2,080

1001F LAN-WAN Administrator 2,080

1001G Technical Support Assistant -

SCA Occupation Code: 14042

2,080

1001H Quality Review Analyst 6,240

1001I Senior Pension Administrator 43,680

1001J Junior Pension Administrator 47,840

1001K Entry Pension Administrator -

SCA Occupation Code: 01113

10,400

1001L Administrative Support - SCA

Occupation Code: 01111

10,400

Total Hours 145,600

1002 Other Direct Costs (ODCs) NTE $85,000.00

Estimated Total Amount

Option Year 1

Option Year 2 – Coraopolis FBA

January 5, 2017 – January 4, 2018

CLIN

Labor Category Maximum

Hours

Hourly Rate Total Amount

2001A Project Manager 2,080

2001B Assistant Project Manager 2,080

2001C Benefits Supervisor 10,400

2001D Team Leader 6,240

2001E Auditor 2,080

2001F LAN-WAN Administrator 2,080

2001G Technical Support Assistant -

SCA Occupation Code: 14042

2,080

2001H Quality Review Analyst 6,240

2001I Senior Pension Administrator 43,680

2001J Junior Pension Administrator 47,840

2001K Entry Pension Administrator -

SCA Occupation Code: 01113

10,400

2001L Administrative Support - SCA

Occupation Code: 01111

10,400

Total Hours 145,600

2002 Other Direct Costs (ODCs) NTE $85,000.00

Option Year 2

PAGE 10 OF 130 PBGC01-RP-15-0004/01

Option Year 3 – Coraopolis FBA

January 5, 2018 – January 4, 2019

CLIN

Labor Category Maximum

Hours

Hourly Rate Total Amount

3001A Project Manager 2,080

3001B Assistant Project Manager 2,080

3001C Benefits Supervisor 10,400

3001D Team Leader 6,240

3001E Auditor 2,080

3001F LAN-WAN Administrator 2,080

3001G Technical Support Assistant -

SCA Occupation Code: 14042

2,080

3001H Quality Review Analyst 6,240

3001I Senior Pension Administrator 43,680

3001J Junior Pension Administrator 47,840

3001K Entry Pension Administrator -

SCA Occupation Code: 01113

10,400

3001L Administrative Support - SCA

Occupation Code: 01111

10,400

Total Hours 145,600

3002 Other Direct Costs (ODCs) NTE $85,000.00

Estimated Total Amount

Option Year 3

Option Year 4 – Coraopolis FBA

January 5, 2019 – January 4, 2020

CLIN

Labor Category Maximum

Hours

Hourly Rate Total Amount

4001A Project Manager 2,080

4001B Assistant Project Manager 2,080

4001C Benefits Supervisor 10,400

4001D Team Leader 6,240

4001E Auditor 2,080

4001F LAN-WAN Administrator 2,080

4001G Technical Support Assistant -

SCA Occupation Code: 14042

2,080

4001H Quality Review Analyst 6,240

4001I Senior Pension Administrator 43,680

4001J Junior Pension Administrator 47,840

4001K Entry Pension Administrator -

SCA Occupation Code: 01113

10,400

4001L Administrative Support - SCA

Occupation Code: 01111

10,400

Total Hours 145,600

4002 Other Direct Costs (ODCs) NTE $85,000.00

Estimated Total Amount

Option Year 4

TOTAL CEILING AMOUNT:

**Exact periods of performance will be finalized at the time of award**

B. 5 Pricing Schedule - Wilmington FBA

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PRICING SCHEDULE – Wilmington FBA

The price schedule below is inclusive of all Contractor costs (direct and indirect) for performing services outlined in the SOW.

The CLINs identified below indicate the number of hours for each labor category in the Base

Year and each of the Option years.

Base Year – Wilmington FBA

January 5, 2015 – January 4, 2016

CLIN

Labor Category Maximum

Hours

Hourly Rate Total Amount

0001A Project Manager 2,080

0001B Assistant Project Manager 2,080

0001C Senior Benefits Supervisor 2,080

0001D Benefits Supervisor 8,320

0001E Team Leader 6,240

0001F LAN-WAN Administrator 4,500

0001G Quality Review Analyst 4,160

0001H Senior Pension Administrator 24,960

0001I Junior Pension Administrator 29,120

0001J Entry Pension Administrator –

SCA Occupation Code: 01113

29,120

0001K Administrative Support - SCA

Occupation Code: 01111

12,480

Total Hours 125,140

0002 Other Direct Costs (ODCs) NTE $100,000.00

Estimated Total Amount

Base Year

PAGE 12 OF 130 PBGC01-RP-15-0004/01

Option Year 1 – Wilmington FBA

January 5, 2016 – January 4, 2017

CLIN

Labor Category Maximum

Hours

Hourly Rate Total Amount

1001A Project Manager 2,080

1001B Assistant Project Manager 2,080

1001C Senior Benefits Supervisor 2,080

1001D Benefits Supervisor 8,320

1001E Team Leader 6,240

1001F LAN-WAN Administrator 4,500

1001G Quality Review Analyst 4,160

1001H Senior Pension Administrator 24,960

1001I Junior Pension Administrator 29,120

1001J Entry Pension Administrator –

SCA Occupation Code: 01113

29,120

1001K Administrative Support - SCA

Occupation Code: 01111

12,480

Total Hours 125,140

1002 Other Direct Costs (ODCs) NTE $85,000.00

Option Year 1

Option Year 2 – Wilmington FBA

January 5, 2017 – January 4, 2018

CLIN

Labor Category Maximum

Hours

Hourly Rate Total Amount

2001A Project Manager 2,080

2001B Assistant Project Manager 2,080

2001C Senior Benefits Supervisor 2,080

2001D Benefits Supervisor 8,320

2001E Team Leader 6,240

2001F LAN-WAN Administrator 4,500

2001G Quality Review Analyst 4,160

2001H Senior Pension Administrator 24,960

2001I Junior Pension Administrator 29,120

2001J Entry Pension Administrator –

SCA Occupation Code: 01113

29,120

2001K Administrative Support - SCA

Occupation Code: 01111

12,480

Total Hours 125,140

2002 Other Direct Costs (ODCs) NTE $50,000.00

Estimated Total Amount

Option Year 2

PAGE 13 OF 130 PBGC01-RP-15-0004/01

Option Year 3 – Wilmington FBA

January 5, 2018 – January 4, 2019

CLIN

Labor Category Maximum

Hours

Hourly Rate Total Amount

3001A Project Manager 2,080

3001B Assistant Project Manager 2,080

3001C Senior Benefits Supervisor 2,080

3001D Benefits Supervisor 8,320

3001E Team Leader 6,240

3001F LAN-WAN Administrator 4,500

3001G Quality Review Analyst 4,160

3001H Senior Pension Administrator 24,960

3001I Junior Pension Administrator 29,120

3001J Entry Pension Administrator –

SCA Occupation Code: 01113

29,120

3001K Administrative Support - SCA

Occupation Code: 01111

12,480

Total Hours 125,140

3002 Other Direct Costs (ODCs) NTE $50,000.00

Estimated Total Amount

Option Year 3

Option Year 4 – Wilmington FBA

January 5, 2019 – January 4, 2020

CLIN

Labor Category Maximum

Hours

Hourly Rate Total Amount

4001A Project Manager 2,080

4001B Assistant Project Manager 2,080

4001C Senior Benefits Supervisor 2,080

4001D Benefits Supervisor 8,320

4001E Team Leader 6,240

4001F LAN-WAN Administrator 4,500

4001G Quality Review Analyst 4,160

4001H Senior Pension Administrator 24,960

4001I Junior Pension Administrator 29,120

4001J Entry Pension Administrator –

SCA Occupation Code: 01113

29,120

4001K Administrative Support - SCA

Occupation Code: 01111

12,480

Total Hours 125,140

4002 Other Direct Costs (ODCs) NTE $50,000.00

Estimated Total Amount

Option Year 4

TOTAL CEILING AMOUNT:

**Exact periods of performance will be finalized at the time of award**

PAGE 14 OF 130 PBGC01-RP-15-0004/01

SECTION C

DESCRIPTION/SPECIFICATIONS/WORK STATEMENT

C. 1 STATEMENT OF WORK

SECTION C

DESCRIPTION/SPECIFICATIONS/STATEMENT OF WORK

C.1 Introduction: The contractor shall provide all personnel, supervision and non-personal services necessary to perform defined pension benefit administration services for the Benefits Administration & Payment

Department (BAPD) of the Pension Benefit Guaranty Corporation (PBGC) as defined in this Statement of Work (SOW). Except as specified in

Section F, the contractor shall provide the required services at PBGC’s established Field Benefits Administration Offices located at the locations listed below:

Coraopolis FBA Wilmington FBA

Airport Office Park Brandywood P laza

Building #2 2500 Grubb Road, Suite 140

400 Rouse Road, 5 th

Floor Wilmington, DE 19810

Coraopolis, PA 15108

C.2 Background: The Pension Benefit Guaranty Corporation (PBGC), is a

Government-owned corporation, established under Title IV of the

Employee Retirement Income Security Act (ERISA) of 1974. Background and mission information is available at http://www.pbgc.gov/about/who-we-are.html

The Field Benefits Administrators (FBAs) serve a vital role in performing almost 100% of the participant administration on PBGC's trusteed plans. The work of the FBA typically begins when a plan is recommended for termination by the PBGC. The FBA is responsible for participant administration of the plan from trusteeship until a plan goes to Post

Valuation Administration (PVA). In some instances, the FBA has also provided services during the PVA phase of processing. Typically the case processing cycle lasts on average 4 years. Once the plan has gone through the Plan Closing Process, the plan is transferred to a Post Valuation

Administration center.

The exact number of plan terminations each year cannot be predicted by

BAPD. Workloads are impacted by economic conditions. A goal of this solicitation is to provide PBGC with enough flexibility within the Field

Benefit Administration services to accommodate both the increased and decreased workloads.

This contract will support PBGC’s Strategic Goal #2– Paying timely and accurate benefits and supports the following strategic objectives and performance goals:

PAGE 15 OF 130 PBGC01-RP-15-0004/01

C.3 Objectives: The primary objective of this contract effort is to provide participant focused defined benefit pension administration services to

PBGC’s trusteed plans until the plans are transferred to a Post Valuation

Administration center. The Contractor shall provide services which include but are not limited to:

Gathering and maintaining participant data;

Processing benefit payments to eligible participants and beneficiaries;

Processing deceased notifications, address and direct deposit changes;

Distributing benefit determination letters;

Maintaining participant documentation;

Handling oral and written inquiries from plan participants;

Performing plan closing;

Providing case processing audit support, to include database building, etc.

LAN Administration Support;

Special projects such as; supporting systems testing, participant meetings, etc.

The Contractor shall be required to provide transition support for plans transferred from “estimated status” (once the plan has been closed) to the

Post Valuation Administration (PVA) center. This support may be in the form of ongoing communications on plan specific issues not addressed in the plan closing memo and may require travel to the PVA center to ensure a successful and efficient case transfer. Generally, this post valuation processing support could last for up to 90 days after the initial case transfer, but may be extended if necessary.

C.4 Scope: Under this contract, the contractor shall provide strictly non-personal services and shall work as an independent contractor not subject to the supervision of the government. The Contractor shall be required to work in a collaborative effort with the various divisions within BAPD as well as other contractors that support the mission of the department.

C.5 Performance Period: The period of performance shall be for one (1) base year and

Strategic Objectives Performance Goals

Promote exceptional customer service to pensioners

Ensure regular monthly benefit payments continue without interruption

Provide accurate and timely benefit calculations

Maintain exemplary customer satisfaction ratings

Continue uninterrupted benefit payments in newly trusteed plans

Approve benefit applications within

45 days

Improve the accuracy, timeliness and completeness of benefit determinations

PAGE 16 OF 130 PBGC01-RP-15-0004/01

four (4) one year options commencing on the contract award date. The Period of

Performance reads as follows:

Base Year: Contract award date +12 months

Option 1: 1 year

Option 2: 1 year

Option 3: 1 year

Option 4: 1 year

Phase In. To ensure a smooth transition in the change of work effort, the contractor shall develop a 14 business day Phase-In Plan. The Contractor’s

Phase-In Plan will describe in detail the transition between outgoing and incoming contractor and how responsibility for services transitions with no interruption in services.

Phase Out. A transition is expected to occur during the last six (6) months of the performance period. However, the transition period can occur at an earlier date. If the government requires a transition earlier than the end of the performance period, the contractor may have up to six months to complete the transition. The transition time will be dependent on case inventory and the processing stage of cases in the inventory. The Contractor shall fulfill the terms of the contract, resolve issues concerning government property, submit all necessary reports (e.g., technical or progress reports), receive final technical acceptance and submit all necessary financial information at the end of the transition period. The Government contemplates that at some point during the life of the contract this requirement will transition into the Benefit Administration Support Services (BASS) requirement. The BASS requirement shall consolidate current Field Benefit

Administration (FBA) offices and services into a single contract whereby the contractor shall provide and maintain the facilities, space, furniture, supplies, support services, and personnel necessary to perform defined benefit pension administration services.

The government reserves the right to extend the term of this contract at the prices set forth in Section B in accordance with the terms and conditions contained in clause

52.217-9 entitled, “Option to Extend the Term of the Contract”.

C.6 Quality Control: The contractor shall develop and maintain an effective quality control program to ensure services are performed in accordance with this SOW and BAPD

On-Line Procedures Manual (BAPD Manual). The contractor shall develop and implement procedures to identify, prevent, and ensure non-recurrence of defective services. The contractor’s quality control program is the means by which the contractor assures himself that his work complies with the requirements of the contract. At a minimum, the contractor shall develop quality control procedures that address the areas identified in Technical

Exhibit 1, “Performance Matrix Summary”. After PBGC acceptance of the quality control plan the contractor must receive the contracting officer’s acceptance in writing of any proposed change to the QC system. The contractor shall be required to submit their Quality

Control Plan (QCP) 30 days after contractor award for approval by the COR.

PAGE 17 OF 130 PBGC01-RP-15-0004/01

C.7 Performance Matrix Summary: The government shall monitor the contractor’s performance under this contract in accordance with the Performance Matrix Summary provided in Technical Exhibit 1. This matrix 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).

The government reserves the right to change the performance measures and/or performance targets throughout the contract performance period. The government will provide the contractor with a 30 day notice of any changes to the stated performance measures or targets.

C.8 Bilingual Requirement: The contractor shall provide two (2) employees, under any of the labor categories provided with the exception of the Project

Manager and the Assistant Project Manager, who is fluent in Spanish (reading, writing and speaking). Non-routine calls and inquiries from Spanish-speaking participants will be transferred to the FBA Office for handling. The Contractor shall transfer non-English and non-Spanish speaking participants to the Customer Contact

Center.

C.9 Periodic Progress Meetings: The contracting officer, Contracting Officer’s

Representative (COR), and other Government personnel, as appropriate, may meet periodically with the contractor to review the contractor's performance. At these meetings the contracting officer will apprise the contractor of how the government reviews the contractor's performance and the contractor will apprise the Government of problems, if any, being experienced. Appropriate action shall be taken to resolve outstanding issues.

C.10 Monthly Burn Report: The Contractor shall submit to the COR a monthly burn report that includes the labor hours per labor category, labor rate per labor category and other direct costs. This report shall be submitted to the COR by the fifth (5th) workday following the end of the month in spreadsheet format (Excel).

The PBGC may at times need to track costs by case. The contractor will be requested to track c osts by case when the need arises.

C.11 Contractor Furnished Items and Services: Except for those items specifically stated to be Government furnished property and equipment in Section F, the Contractor shall furnish: a staff that meet or exceed the minimum qualifications as outlined in

Section H.

C.12 Project Management and Support Services: If an offeror proposes for more than one FBA location, the offeror must propose a different set of key personnel for each

FBA location.

C.12.1 The Contractor shall designate the positions of Project Manager, Assistant

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Project Manager, and LAN Administrator(s) as key personnel as required under

Section H of this contract. The Contractor shall provide advance notification to the

COR (as specified in Section H) any potential/planned changes in key contract personnel. See Section H regarding additional requirements for Key Personnel. The

Contractor shall provide for contract management to effectively plan, perform and control the work of the day-to-day operations of the contract. The project manager and assistant project manager are required to manage the activities performed under this contract, and to ensure effective utilization of resources and coordination of projects with the PBGC.

The contractor shall not bill for hours spent performing overhead services, such as preparing payroll, hiring employees, meeting with legal representatives, accountants and benefit providers directly to the contract.

C.12.2 The Contractor shall make provisions acceptable to the PBGC for dealing with unsatisfactory personnel.

C.12.3 The Contractor is responsible for ensuring the quality of all work performed by the staff. The Contractor is responsible for taking timely corrective action to limit the impact of any problems that may arise.

C.12.4 The Contractor shall provide all other training needed by the staff to perform their duties (e.g. Microsoft Office skills). The Government will reimburse the contractor as an Other Direct Costs in those situations in which the government changes its requirements with regards to the use of certain work office software application (e.g. moving to SharePoint or higher levels of Microsoft office). This reimbursement would apply to training of existing staff onboard at the time of contract award. The Government shall not reimburse as an Other Direct Costs for new hires.

The contractor shall provide ongoing training to maintain proficiency with systems, and knowledge of procedures and policies, and other related skills.

C.12.5 PBGC Systems: BAPD is interested in using newer technologies and innovative methods to achieve its processing goals that are both efficient and cost effective. To achieve this outcome, the Contractor shall participate in the development process of its new systems to include, but not limited to, transfer of benefit processing knowledge to our developers through requirements gathering sessions, participation in User Acceptance Testing and

‘Checkpoint” status meetings to discuss problems or issues once a system release has been placed in production.

C.13 Basic Benefit Administration Services: The contractor shall provide participant focused benefit administration services in support of BAPD’s trusteed plans. For all tasks outlined, the contractor shall follow the policies and procedures outlined in the BAPD Manual. Periodically, BAPD will publish interim guidance to procedures via email notification and on its Portal until the BAPD Manual is updated. The contractor shall consult with the assigned Trusteeship Processing Division (TPD) team members for technical

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guidance and assistance. Any deviations from the BAPD Manual must be approved by the PBGC designee and clearly documented in the appropriate file.

C.13.1 Gathering and Maintaining Participant Data: The Contractor shall assist in locating, organizing, updating, converting and entering data into PBGC systems or database tool, from plan and administrative files, i.e., personnel files, payroll records, pension files and any other files and records obtained through data collection field trips, and information received through oral and written correspondence which may be obtained to clarify and expand on participant data obtained from plan and administration files.

Data Collection: The Contractor may be requested to prepare and document findings for a portion of the trip report when accompanying government representatives on a fieldtrip. The report shall be in accordance with the template format outlined in the BAPD Manual.

The Contractor shall submit to the PBGC designated government representative any new documents such as :

Plan and trust documents

Collective bargaining agreements

Trusteeship agreement

Plan correspondence pertaining to policy or litigation issues, transfer memoranda, plan valuation, legal, or plan practice for inclusion the in the official IPS Plan file.

C.14 Processing Benefit Payments to Eligible Participants and Beneficiaries: The

Contractor shall review and process new retirement applications and process applicable benefit adjustments. The Contractor shall process all benefit payments in accordance with BAPD’s published Benefit Payment schedule.

C.14.1 Application Process: The Contractor shall process all applications received by mail, fax, email and electronically through MyPBA. All applications deemed completed for eligible participants and beneficiaries’ payments should be processed timely.

C.14.2 Plan Assumption: The Contractor shall assist with plan assumption first payloads to ensure participants continue to receive uninterrupted payments by performing the following:

Conducting Forms of Benefit and Participant status review

Notifying participants

Reconciling Spectrum data

C.14.3 Benefit Estimates: The Contractor shall provide benefit estimates to participants upon request.

C.14.4 Woodwork Participants: The Contractor shall research and process woodwork participants who claim possible entitlement to a benefit from a particular plan who is not

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included in the final valuation.

C.14.5 The Contractor shall process woodwork participants who claim possible entitlement to a benefit from a particular plan who has not been included in final valuation.

C.14.6 Missing Benefit Payments: The Contractor shall coordinate stop payments on missing benefit checks with PBGC’s paying agent, and, where applicable initiate re-issuance of benefit payments.

C.14.7 Unlocatable Participants: The Contractor shall coordinate with the designated government representative to initiate the search for unlocatable participants.

C.14.8 Trusteeship Letters: The contractor shall coordinate with the designated government representative, the issuance of Trusteeship Letters.

C.15 Process Participant Information Changes: The Contractor shall process participant information changes such as:

Electronic direct deposits

Bank Changes

Address changes

Death notices

Income Verifications

Social Security Earnings Request

C.16 Distributing Benefit Determination Letters: The Contractor shall work with the designated government representatives to schedule and distribute Benefit

Determination letters advising participants of their benefits under a plan and, if applicable, benefit statements with an explanation before rejecting any claims.

Process Benefit Adjustments: The Contractor shall process benefit changes, such as:

Step downs, temporary supplements, pop ups, and disabilities;

Final benefit adjustments (change payment from estimate to final status) within

90 days after the expiration of the appeal period, to include the implementation of recoupment/recoveries/special checks and updates to

Spectrum.

As authorized by PBGC, adjust participants’ benefits shortly after trusteeship to PBGC’s estimated amounts, when necessary.

C.17 Appeals: The Contractor shall support appeals process such as referrals from appeals (RFAs) and the timely implementation of appeal decisions.

C.18 Maintaining Participant Documentation: The Contractor shall process all participant documents received from customer inquiries received by mail (date/time stamped receipt), fax, or email. All participant records must be properly indexed and scanned/converted into IPS. The contractor shall coordinate with the TPD the scanning of any documents that are in a format other than paper (e.g. microfiche).

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C.19 Oral and Written Inquiries: The Contractor shall respond to all inquiries from participants and other interested parties, except for sensitive correspondence. The contractor shall field and response to calls from participants as needed. The

Contractor shall document all inquiries and responses, which includes the scanning/imaging of all written correspondence. The Contractor shall response to written inquiries in writing on PBGC letterhead (with the appropriate logo) and signed as PBGC’s authorized representative.

C.20 Participant Data Audit/Database Building:

The Contractor shall submit final databases in accordance with the auditor’s written instructions no later than the established work plan date. The database building will require the following:

Reconciling the valuation database with the corporate database (SPECTRUM)

Validating data against standard and custom checks

Documenting results in a report using the required template

C.21 Plan Closing: Plan closing is the PBGC’s detailed review of case activities before the case is transferred to Post Valuation Administration for routine day-to-day-maintenance. This process includes ensuring that BAPD case processing has been completed, including:

Benefit Determination Letters for the case have been distributed to all locatable participants;

All participants are loaded into Spectrum; and

Benefit amounts have been adjusted.

The completion of plan closing activities results in promoting the plans to the Post

Valuation center. Plans submitted by the Contractor as being closed, but rejected for not meeting the plan closing criteria will be returned to the Contractor for further work. The Contractor will be responsible for the administration of the plan until they are notified that the plan has been accepted as closed.

C.22 Post Valuation Administration: Following plan closing, the Contractor’s duties become limited to routine day-to-day benefit administration which generally includes, but is not limited to: processing benefit applications, effecting address changes and death notifications.

Generally, a closed plan will be transferred to a Post Valuation center to continue the day-to-day benefit administration. On a case-by-case basis, PBGC may determine if it is in the best interest of the government that the maintenance of a plan remains at the

Coraopolis and Wilmington FBA sites.

C.23 Special Projects: Participate in and support BAPD projects such as the

Communities of Practice, process improvement events, participant meetings, PAGE 22 OF 130 PBGC01-RP-15-0004/01 conferences, ad hoc projects, etc. Provide requirements for new and updated systems and performs user acceptance testing.

C.24 LAN Administration Support:

Coraopolis and Wilmington: Performs on-premise hardware/software support for FBA staff. Serves as the central point of contact for FBA staff information technology service requirements. Coordinates with facilities personnel for facilities support requirements, e.g. HVAC and power problems. Performs troubleshooting at the desktop operations level and on application issues, which could involve working with Tier 2 & 3 support.

Performs installation and moving of equipment. Performs on-site validation of IT equipment operations. Performs asset management by validating status and location of on-site IT equipment and provides updates to COR and PBGC's IT Asset Manager. Runs reports and queries against PBGC’s databases to support the office processing activities.

(See section H.)

C.25 Other Requirements: Information and Telecommunications: Contractor staff must take the mandatory Annual Security Awareness Training offered by the

PBGC. Newly hired employees after contract award will be required to take the Initial

Security Orientation Course within 30 days of being hired. This orientation course will be offered by way of a web-based tutorial.

Contractor personnel are required to abide by PBGC’s Directive (See Clause PBGC 04-

004) on the Use of Information Technology Resources and Safeguarding Information.

C.26 Continuity of Operations Planning (COOP) Wilmington and Coraopolis:

The PBGC will provide specific guidance to the Contractor regarding COOP. The

Contractor may be requested to support PBGC in two of its COOP testing exercises.

PBGC will provide up to two weeks advance notification of the timing of any planned

COOP activities. The Contractor will be required to do the following:

Provide an updated succession and delegation orders for the COOP Plan quarterly.

Provide quarterly COOP contact list (to be provided to COR)

C.26.1 Alternate Facility Operations: Where applicable, the Contractor shall provide oversight, daily operation and maintenance at an alternative facility designed by the government which will be determined in the event of a catastrophic event. The alternate

Facility is PBGC’s secondary facility set-up for continuity of essential operations in the event of an emergency or threat of an emergency.

C.27 PBGC Agency Audits: The contractor shall be required to support any audit/review activity relating to the work performed under this contract. All work performed under this contract is subject to review and inspection and/or audit by the

PBGC and other entities. PBGC will conduct the following review on a regular basis, but shall not be limited to any of the following:

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COR site visits

FBA Performance Review

Compliance Review

PBGC Financial Audits

Audits conducted by PBGC’s Inspector General

Audits conducted by the Government Accountability Office (GAO)

If any parties other than PBGC express the need to visit the contractor's site, the

Contractor shall coordinate the visit with the COR. The contractor shall also coordinate with the PBGC in responding to documentation and information requests.

The Contractor shall designate an individual, at the Senior Pension Administrator labor category or above, who can be trained by the PBGC to be responsible for processing the following:

Qualified Domestic Relations Orders (QDROS), Powers of Attorney (POAs) and

Guardianships.

C.28 Applicable Documents: The Contractor shall perform the services set forth in the

SOW in accordance with the BAPD On- Line Manual that includes PBGC’s Policy

Manual and Bulletins (BAPD Manual) The Contractor will also perform services in accordance with documented procedures contained on PBGC’s Portal for certain case processing activities and in accordance with Interim Guidance that is released periodically through e-mail notification. In addition, the contractor shall perform

Tier 1 LAN Administration Support in accordance with the OIT Standard Operating

Procedures for Service Desk Support, provided upon award.

C.29 Performance Requirements: This acquisition directly supports the mission and goals of PBGC by providing the highest caliber professional pension benefit administration services support. The following measurable activities are aligned with

PBGC Strategic Objectives and include:

Activity 1: Participant Services

Activity 2: Case processing support services

Activity 3: Customer Service

Activity 4: Special Projects

Specific services, performance standards and Government monitoring methods and/or

“scorecards” are contained in the performance-based contracting matrix that follows. It should be noted, that BAPD continuously strives to provide exceptional and timely service to its plan participants. As such, the stated target levels for the performance measures outlined may be adjusted at the beginning of each option year to meet the departmental goals and objectives. Changes to the performance targets will be communicated to the contractor 30 days prior to implementation.

C.30 Reporting Requirements:

Workplans: The Contractor, and the PBGC designated representatives will

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work together to establish a detailed case processing workplan for each trusteed plan assigned to the Contractor. The workplan will be developed in the

Primavera P6. The workplan is used to identify the target dates for accomplishing significant milestones for the plan(s) and identifying the individual team members and their assignments. The workplan is an integral part of BAPD workload management. The Contractor shall concur on the workplan dates within five (5) business days of execution.

Monthly Management Report: The Contractor shall submit a monthly status report identifying all significant activities issues, and events that might impact established workplan target dates. All reports are due to the COR and designated government representative by the fifth (5th) workday after the end of the month.

Other Reports: Contractor shall provide other reports as required/requested by the COR or designated government representative.

Overtime: All overtime must be pre-approved by the COR and the CO. The

Contractor shall provide the COR with all projected overtime for the month in their Monthly Management Report. The contractor shall bill for overtime for hours in excess of a forty (40) hour work week which applies to the SCA labor categories only.

Case Tracking Report: The contractor shall designate one person that will be responsible for entering case tracking time in Primavera P6 for each case. The contractor shall enter case tracking time by noon on each Monday, Eastern

Standard Time (EST) for hours worked the previous week for each case. If

Monday is a holiday, time shall be reported by noon on Tuesday (EST).

Contractor Staff Listing: The Contractor shall submit to the COR by the last business day of each month a cumulative listing of employees that are onboard and who have terminated during the fiscal year.

Quarterly Case Status Meetings: The Contractor shall be required to meet with the COR and the other government representatives quarterly to discuss case issues, progress on assigned work products, problems, upcoming target dates, and resource needs. This meeting may be held at the PBGC location in

Washington, DC.

C.31 Contractor Performance Report (Scorecard): The COR will be responsible for meeting frequently with the contractor to address problems and issues as they arise. On a quarterly basis, the Management Coordination Division (MCD), of BAPD in coordination with the COR will issue a performance report for the performance measures outlined in the attached matrix. The scorecard will indicate those performance measures in which the contractor has met has or exceeded the established targets. The contractor shall have 10 calendar days after the scorecard is issued to concur with the evaluation provided and to provide a corrective action plan for deficiencies noted to both the COR and MCD

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Supervisor. Any disputed information presented in the scorecard should be communicated to both the COR and MCD Supervisor. An adjusted scorecard will be issued to reflect any agreements reached on the disputed information within 10 calendar days of the agreement.

The MCD Manager will act as mediator to resolve any disputes.

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TECHNICAL EXHIBIT 1

Performance Matrix Summary

Required Services Performance Standards AQL Monitoring Method

Activity 1: Participant Services

Strategic Goal: Pay pension benefits on time and accurately

Strategic Objective: Ensure regular monthly benefit payments continue without interruption.

Performance Goal: Approve completed benefit applications within 45 days.

1.1

Payment Authorizations:

New retirement applications are processed timely so that participants receive their benefit payments.

87% of eligible applications are processed within 45 days of receipt by PBGC’s document management center.

90% of eligible retirees receive their payments within 60 days of receipt by PBGC’s document management center.

No deviation

Cognos

Cognos

PAGE 27 OF 130 PBGC01-RP-15-0004/01

1.2

Payment Authorizations:

Monthly benefits are authorized accurately and properly reflected in PRISM/Spectrum.

Rework: Rejected or purged transactions processed.

Trial Balance Errors are processed timely

98% of benefit authorizations sampled are processed accurately.

Rejected and/or purged transactions do not exceed

6%.

99% of trial balance variances are resolved within the established timeframe.

Monthly PBGC/BAPD will pull a sample of transactions authorized for the month and review for quality based on established checklist.

Transactions reported through

Authorization Worklist

Application (AWA).

99% of trial balance variances are resolved within the established timeframe.

1.3

Benefit Determination…