RFQ 2031JW24Q00007_Prob of Default Data Supp.pdf

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See the Standard Form (SF) 1449.

SECTION II – CONTINUATION FROM SF-1449

A. SOLICITATION

A.1 SOLICITATION OVERVIEW

The Office of the Comptroller of the Currency (OCC), Office of Acquisition Management on behalf of the OCC’s Supervision Risk and Analysis Division, is seeking to acquire probability of default data to support the OCC’s bank supervision mission. The solicitation, is being issued in accordance with FAR

12 for Acquisition of Commercial Products and Commercial Services, using the procedures under FAR

13.5—Simplified Procedures for Certain Commercial Products and Commercial Services, and incorporates provisions and clauses in effect through Federal Acquisition Circular 2023-05. As a result of this solicitation, the Government will establish a single-award contract for a solitary data solution. The

Government will not be restricting this procurement; however, the awarded Contractor shall be registered in the System for Award Management (SAM) at time of solicitation close. The resulting contract shall be for a period not to exceed 60 months (5 years), excluding any extension of services.

A.2 CONTRACT TYPE

The resulting contract will be of a firm-fixed-price (FFP) type as noted by contract line item numbers

(CLINs) below.

B. SUPPLIES/SERVICES AND PRICES

B.1 SUPPLIES/SERVICES PRICING TYPES

The pricing used under the resulting contract shall be applied according to the contract type established by the CLIN. The Contractor shall provide services and invoice on a firm-fixed-price (FFP) basis. The CLIN structure and tasks listed in the tables below shall represent the Contractor’s all-inclusive pricing for furnishing all technical, management, supervision, labor, materials, licensing, and any other support necessary to provide the services as described in Section II, C —Description of Services (Statement of

Work) of this document. Contract line-item (CLIN) prices shall be quoted as identified in Attachment 1 -

Pricing Table, in its entirety.

The resulting contract will consist of a 12-month base period and four 12-month option periods as identified in the tables below. The option periods will be exercised at the discretion of the Government, consistent with FAR Clause 52.217-9 Option to Extend the Term of the Contract. The Contractor shall note that CLIN

5001 is established in support of an extension of services, if necessary, for continued support beyond the

60-month contract period, not to exceed 6 additional months, consistent with FAR Clause 52.217-8 Option to Extend Services.

B.1.1 Base Period (December 15, 2023 – December 14, 2024)

CLIN Type Task Qty Unit/

Amount 25 Users 30 Users 35 Users

0001 FFP

US and Foreign Public Companies PD

Data Services (Ref. 3.1 and 3.2 of Section

II, C. Description of Services)

1 EA

0002 FFP

US Banks and Thrifts at the Charter or

FDIC Certificate Level PD Data Services

SECTION I – SCHEDULE OF SUPPLIES/SERVICES

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(Ref. 3.3 of Section II, C. Description of

Services)

TOTAL COST FOR BASE PERIOD

B.1.2 Option Period One (December 15, 2024 – December 14, 2025)

CLIN Type Task Description Qty Unit/

Amount 25 Users 30 Users 35 Users

1001 FFP

US and Foreign Public Companies PD

Data Services (Ref. 3.1 and 3.2 of Section

1002 FFP

FDIC Certificate Level PD Data Services

(Ref. 3.3 of Section II, C. Description of

TOTAL COST FOR OPTION PERIOD ONE

B.1.3 Option Period Two (December 15, 2025 – December 14, 2026)

Unit/

Amount 25 Users 30 Users 35 Users

2001 FFP

US and Foreign Public Companies PD

Data Services (Ref. 3.1 and 3.2 of Section

2002 FFP

FDIC Certificate Level PD Data Services

(Ref. 3.3 of Section II, C. Description of

TOTAL COST FOR OPTION PERIOD TWO

B.1.4 Option Period Three (December 15, 2026 – December 14, 2027)

Unit/

Amount 25 Users 30 Users 35 Users

3001 FFP

US and Foreign Public Companies PD

Data Services (Ref. 3.1 and 3.2 of Section

3002 FFP

FDIC Certificate Level PD Data Services

(Ref. 3.3 of Section II, C. Description of

TOTAL COST FOR OPTION PERIOD THREE

B.1.5 Option Period Four (December 15, 2027 – December 14, 2028)

Unit/

Amount 25 Users 30 Users 35 Users

4001 FFP

US and Foreign Public Companies PD

Data Services (Ref. 3.1 and 3.2 of Section

4002 FFP

FDIC Certificate Level PD Data Services

(Ref. 3.3 of Section II, C. Description of

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TOTAL COST FOR OPTION PERIOD FOUR

TOTAL COST FOR BASE PLUS ALL OPTION PERIODS

B.1.6 6-Month Extension—if exercised (December 15, 2028 – June 14, 2029)

Unit/

Amount 25 Users 30 Users 35 Users

5001 FFP

US and Foreign Public Companies PD

Data Services (Ref. 3.1 and 3.2 of Section

II, C. Description of Services)

6 months of services

5002 FFP

FDIC Certificate Level PD Data Services

(Ref. 3.3 of Section II, C. Description of

Services)

6 months of services

TOTAL COST FOR OPTION PERIOD FOUR EXTENSION

TOTAL COST FOR ALL OPERATING PERIODS PLUS 6-MONTH EXTENSION)

C. DESCRIPTION OF SERVICES (STATEMENT OF WORK)

C.1 Background

The Office of the Comptroller of the Currency (OCC) is an independent bureau of the U.S. Department of the Treasury. The OCC charters, regulates, and supervises national banks, federal savings associations, and the federal branches and agencies of foreign banks. Headquartered in Washington, DC, the OCC is responsible for promoting and assuring the safety and soundness of the country’s system of federally chartered banks and maintaining its competitiveness, efficiency, integrity, and stability in the financial marketplace. The OCC’s mission is to ensure that these institutions operate in a safe and sound manner, provide fair access to financial services, treat customers fairly, and comply with applicable laws and regulations.

In furtherance of the OCC’s role of supervising the nation’s federally chartered banks, officials and staff members must remain fully informed about important information such as the credit risk of industries and potential bank obligors.

C.2 Objective

The Contractor shall provide data estimates of probabilities of default (PDs) for U.S. and Foreign Public

Companies.

C.3 Scope of Work

This section encompasses all activities necessary to provide the OCC with data that estimate PDs for U.S.

and foreign public companies, and optional coverage of U.S. banks and thrifts at the regulatory charter or

Federal Deposit Insurance Corporation (FDIC) certificate level.

U.S. and foreign public company PD data are defined as PD data generated by an econometric model that incorporates public company equity price movement as model inputs (e.g., Merton model, enhanced

Merton model, or hybrid reduced-form econometric model). Such models may also include other market-based measures or company financial statement measures as inputs but must incorporate company equity price movement inputs. U.S. and foreign public company PD data that are calculated from bond ratings, issuer ratings, or credit scores – along with statistical models that do not include company stock price

OCC- Probability of Default Data RFQ #2031JW24Q00007 P a g e 9 | 44 movement as an input – are not the type of U.S. and foreign public company PD data being requested and should not be the basis of a response. In addition, since the Government is seeking to acquire the type of

PD data product defined in this paragraph, responses to the requirements below should reference the specific PD data product being offered, rather than a platform of products that may or may not satisfy the

PD data definition provided here. The definition of PD data listed in this paragraph does not apply to

Section 3.3, Optional Bank PD Data below.

Tasks

3.1 Required U.S. Public Company PD Data. The Contractor shall provide PD data for

U.S. public companies that shall include, at a minimum, the following:

3.1.1 The company name, country, and PD for that company;

3.1.2 The company’s stock ticker symbol;

3.1.3 The company’s industry classification code;

3.1.4 Data covering years 1995 to the present. PD data shall be calculated in a consistent manner using the most current version of the PD model for the entire time period covered;

3.1.5 A 1-year term structure of default probabilities

3.1.6 Data covering 3,000 active U.S. public companies, plus historical PDs of delisted

U.S. public companies; and

3.1.7 The default database used to develop the public company PD model shall contain

2,000 public company defaults (regardless of geographic location of the defaulting public company) from a time period that includes at least one business cycle

3.2 Required Foreign Public Company PD Data. The Contractor shall provide PD data for foreign public companies that shall include, at a minimum, the following:

3.2.1 The company name, country, and PD for that company;

3.2.2 The company’s stock ticker symbol;

3.2.3 The company’s industry classification code;

3.2.4 Data covering years 2005 to the present. PD data shall be calculated in a consistent manner using the most current version of the PD model for the entire time period covered;

3.2.5 A 1-year term structure of default probabilities;

3.2.6 Data covering 25,000 active foreign public companies, plus historical PDs of delisted foreign public companies;

3.2.7 Foreign public companies located in 10 of the G-20 countries; and

3.2.8 The default database used to develop the public company PD model shall contain

2,000 public company defaults (regardless of geographic location of the defaulting public company) from a time period that includes at least one business cycle

3.3 Optional Bank PD Data. The Contractor shall provide PD data for U.S. banks and thrifts at the regulatory charter or FDIC certificate level that shall include, at a minimum, the following:

3.3.1 The name of the U.S. bank or thrift at the charter or certificate level (hereafter, U.S. bank), the institution’s certificate number assigned by the FDIC, and PD for that U.S. bank;

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3.3.2 Data covering years 2000 to the present. The PD data shall be calculated in a consistent manner using the most current version of the PD model for the entire time period covered;

3.3.3 A 1-year structure of default probabilities; and

3.3.4 Data covering all active FDIC-insured commercial banks and historical PDs of

U.S. banks no longer in operation

C.4 Data Access, Delivery, Usage, and Customer Service

4.1 Data Update Frequency. The Contractor shall update its PD data for U.S. and foreign public companies daily. For the optional U.S. bank PD data under Section 3.3, the

Contractor shall update its PD data on a quarterly basis;

4.2 User Documentation. The Contractor shall provide a data dictionary of its PD data with methodology and validation documentation upon release of new versions of its PD model(s);

4.3 Product Access. Access to the Contractor’s PD data shall be governed by the

Contractor’s license agreement as negotiated and agreed to by the OCC in this contract;

4.4 Download Data via Contractor’s Website Portal. Only OCC employees authorized by the license agreement incorporated into this contract shall have access to PD data of U.S.

and foreign public companies, plus the optional PD data for U.S. banks, through the

Contractor’s website portal. OCC employees with access to the data shall be authorized to download data from the Contractor’s website portal to an OCC computer. The

Contractor’s website portal must support these downloads in a format compatible with

Microsoft Excel, Microsoft Access, or SAS;

4.5 Secure Bulk Data Transfer. The Contractor shall place the PD data on an internal, secured server that it operates and makes available to the OCC via secure file transfer protocol (SFTP). The OCC intends to pull the PD database(s) via SFTP daily and store the files on an internal, secure OCC server. Only OCC employees authorized by the license agreement will have access to the PD data transferred to the OCC via SFTP. The

Contractor shall assist the OCC with the initial set up of the file transfer process and shall continue assisting the OCC to address any technical/computer problems that may develop regarding the SFTP process over the course of the contract;

4.6 Customer Service. The Contractor shall respond to questions from OCC licensed users within at least 2 business days. The Contractor must ensure OCC licensed users are able to ask questions or obtain clarifications regarding the PD data by contacting appropriate

Contractor personnel via email or through the Contractor’s website portal;

4.7 Training. The Contractor shall, at no additional cost to the OCC, provide to OCC employees with data access a formal training seminar once a year (via webinar), at mutually agreed upon dates and times, covering usage of website portal tools and/or PD methodology;

4.8 Data Usage.

4.8.1 The Contractor must authorize the OCC to share analysis of the data with all other OCC employees regardless of location.

4.8.2 The Contractor must authorize OCC use of the data to conduct research and analysis that the OCC may publicly disseminate.

4.8.2.1 The Contractor must authorize OCC to release its PD data to the public in summary form.

4.8.3 The Contractor authorizes OCC to use the PD data to co-author works with non-

OCC personnel, provided non-OCC personnel only have access to aggregated data and results of research and analysis.

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4.9 Data Treatment at End of Contract. At the end of the contract, at a minimum, the

OCC requires data rights to allow OCC to archive data for regulatory and statutory record-keeping purposes.

C.5 Contractor Furnished Personnel

The Contractor shall identify a point of contact (POC) to interface with the OCC-designated Contracting

Officer’s Representative (COR).

C.6 Information and Communication Technology Accessibility Requirements

Section 508 of the Rehabilitation Act, as amended by the Workforce Investment Act of 1998 (P.L. 105-

220) requires that when Federal agencies develop, procure, maintain, or use information and communication technology (ICT), it must be accessible to people with disabilities. Federal employees and members of the public who have disabilities must have access to, and use of, information and data that is comparable to people without disabilities. As such, the following requirements apply to this solicitation:

1.0 Products, platforms and services delivered as part of this work statement that are ICT, or contain ICT, must conform to the revised 508 Standards, which are located at 36 C.F.R. § 1194.1

& Apps. A, C & D, and available at https://www.access-board.gov/guidelines-and-standards/communications-and-it/about-the-ict-refresh/final-rule/text-of-the-standards-and-guidelines

2.0 E102 / 702.10 – Web Content Accessibility Guidelines (WCAG) success criteria level A &

AA are incorporated as a requirement. The referenced WCAG criteria is available at http://www.w3.org/TR/WCAG20/

3.0 A completed Accessibility Conformance Report (ACR) found at https://www.itic.org/policy/accessibility/vpat, using Voluntary Product Accessibility Template

(VPAT) Revised Section 508 Edition, Version 2.4, is required to assist the Government in determining that the ICT products or services support Section 508 accessibility standards.

4.0 E202 – No General Exceptions Authorized by OCC

The following items are identified as containing ICT:

• Probability of Default Data Web-based Subscription Service

Applicable Functional Performance Criteria: All functional performance criteria apply when using an alternative design or technology that achieves substantially equivalent or greater accessibility and usability by individuals with disabilities than would be provided by conformance to one or more of the requirements in Chapters 4-6 of the Revised 508 Standards, or when Chapters 4-6 do not address one or more functions of ICT.

Applicable requirements for software and Web products:

• E207 – WCAG Level A & AA Success Criteria

• E302 – Functional Performance Criteria

• E502 – Interoperability with Assistive Technology

• E503 – Application

• E501 – Web-based applications, independent of platform services

• E504 – Authoring Tool

Applicable requirements for electronic documents and/or support services:

https://www.access-board.gov/guidelines-and-standards/communications-and-it/about-the-ict-refresh/final-rule/text-of-the-standards-and-guidelines https://www.access-board.gov/guidelines-and-standards/communications-and-it/about-the-ict-refresh/final-rule/text-of-the-standards-and-guidelines https://www.access-board.gov/guidelines-and-standards/communications-and-it/about-the-ict-refresh/final-rule/text-of-the-standards-and-guidelines http://www.w3.org/TR/WCAG20/ https://www.itic.org/policy/accessibility/vpat

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• E205 – WCAG Level A & AA Success Criteria

• E302 – Functional Performance Criteria

• E602 – Support Documentation

• E603 – Support Services

D. PACKAGING AND MARKING

The Contractor shall meet required retrieval by electronic file transfer and/or portal access. Changes to these instructions shall be coordinated with the COR and may require incorporation by formal modification as deemed by the Contracting Officer.

E. INSPECTION AND ACCEPTANCE

The Contractor’s services and deliverables will be reviewed and inspected for acceptance on a recurring basis (by the 7th day of the subsequent month after each quarter.

F. DELIVERIES AND PERFORMANCE

F.1 Place of Performance

The place of performance will be at the Contractor’s facility. The Contractor shall participate at a postaward orientation virtually. In addition, the Contractor may provide training virtually, at mutually agreed upon dates and times. The Contractor shall note the following federal holidays observed regarding training and deliverables scheduling accordingly.

OCC’s Observed Federal Holidays

Federal Holidays Designated Dates

New Year’s Day January 1

Martin Luther King’s Birthday Third Monday in January

President’s Day Third Monday in February

Memorial Day Last Monday in May

Juneteenth Independence Day June 19

Independence Day July 4

Labor Day First Monday in September

Columbus Day Second Monday in October

Veterans’ Day November 11

Thanksgiving Day Fourth Thursday in November

Christmas Day December 25

F.2 Period of Performance

The Government anticipates a single award contract that includes a 12-month base period, and four 12-month option periods. If options are exercised via a formal modification executed by the

Government, the total contract period shall not exceed 60 months (5 years). However, the

Government may seek to extend services through a 6-month period, under FAR 52.217-8, Option to Extend Services (NOV 1999) (see below for details). The following identifies the anticipated operating periods under any resulting contract:

Base Period December 15, 2023 – December 14, 2024

Option Period One December 15, 2024 – December 14, 2025

Option Period Two December 15, 2025 – December 14, 2026

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Option Period Three December 15, 2026 – December 14, 2027

Option Period Four December 15, 2027 – December 14, 2028

Extension Period December 15, 2028 – June 14, 2029 (Up to 6 Months of Services); as necessary

F.3 High-Level Delivery Schedule

F.3.1 Deliverables Schedule Table

Task Ref Description of Deliverable Delivery

Method Delivered To Due Date

General

Postaward Orientation

Participation Listing Email COR and CO

Within 5 Business

Days of Postaward

C.4.5

Secure Bulk Data Transfer (OCC

Retrieval Accessibility Dates) SFTP COR Daily Retrieval

C.4.2

Data Dictionary with Methodology and Validation Documentation Email COR

Upon Release of

New PD Model(s)

C.4.8.2.2

Pre-Publication Research (Written)

Response Email COR

Within 10 Business

Days of Research

Request

G. CONTRACT ADMINISTRATION DATA

The individuals listed below are identified as authorized officials by the agreeing parties for the duration of which a resulting contract is awarded. Authorization of any changes to the resulting contract can only be performed by the Contracting Officer (CO) through formal modification See Section I., 1052.243-8001

Authorized Changes Only by the Contracting Officer. The Contracting Officer will appoint a COR to the contract for contractual and operational matters. See Section I., 1052.201-8000 Contracting Officer’s

Representative (COR) Delegation and Authority, for further details.

G.1 Contract Administration Team (Government and Industry)

Contracting Officer (CO):

Anethra Facione, OCC Office of Acquisition Management (AQM)

400 7th Street, SW, Washington, DC 20219

Email: Anethra.Facione@occ.trea.gov

Phone: 202.880.0634

Contracting Officer’s Representative (COR):

TBD, OCC Public Affairs and Congressional Relations

400 7th Street, SW, Washington, DC 20219

Email: TBD@company.com

Phone: XXX.XXX.XXXX

Contractor’s Point of Contact (CPOC):

TBD, Contractor Company

Street Address, City, State Zip Code

Email: TBD@company.com

Phone: XXX.XXX.XXXX mailto:Anethra.Facione@occ.trea.gov mailto:TBD@company.com mailto:TBD@company.com

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SECTION III – CLAUSES AND OTHER TERMS AND CONDITIONS

A. CONTRACT CLAUSES

FAR 52.252-2 Clauses Incorporated by Reference (FEB 1998)

The solicitation and resulting contract will incorporate one or more clauses by reference and the full text of a referenced clause may be accessed electronically at the FAR website: http://www.acquisition.gov/far/

Department of Treasury Acquisition Regulation (DTAR) Clauses Incorporated by Reference may be accessed electronically at the DTAR website: https://www.acquisition.gov/dtar

Clause No Clause Title Date

FAR 52.204-13 System for Award Management Maintenance OCT 2018

FAR 52.204-18 Commercial and Government Entity Code Maintenance AUG 2020

FAR 52.212-4

Contract Terms and Conditions—Commercial Products and

Commercial Services

DEC 2022

FAR 52.232-40

Providing Accelerated Payments to Small Business

Subcontractors

MAR 2023

DTAR 1052.232-7003 Electronic submission of payment requests APR 2015

DTAR 1052.210-70 Contractor Publicity APR 2015

A.1 FAR CLAUSES INCORPORATED BY FULL TEXT

FAR 52.212-5 Contract Terms and Conditions Required to Implement Statutes or Executive

Orders—Commercial Products and Commercial Services (SEP 2023)

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

(1) 52.203-19, Prohibition on Requiring Certain Internal Confidentiality Agreements or Statements

(Jan 2017) (section 743 of Division E, Title VII, of the Consolidated and Further Continuing

Appropriations Act, 2015 (Pub. L. 113-235) and its successor provisions in subsequent appropriations acts (and as extended in continuing resolutions)).

(2) 52.204-23, Prohibition on Contracting for Hardware, Software, and Services Developed or

Provided by Kaspersky Lab and Other Covered Entities (Nov 2021) (Section 1634 of Pub. L. 115-91).

(3) 52.204-25, Prohibition on Contracting for Certain Telecommunications and Video Surveillance

Services or Equipment. (Nov 2021) (Section 889(a)(1)(A) of Pub. L. 115-232).

(4) 52.209-10, Prohibition on Contracting with Inverted Domestic Corporations (Nov 2015).

(5) 52.232-40, Providing Accelerated Payments to Small Business Subcontractors (Mar 2023) (31

U.S.C. 3903 and 10 U.S.C. 3801).

http://www.acquisition.gov/far/ https://www.acquisition.gov/dtar

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(6) 52.233-3, Protest After Award (Aug 1996) (31 U.S.C. 3553).

(7) 52.233-4, Applicable Law for Breach of Contract Claim (Oct 2004) (Public Laws 108-77 and 108-

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

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

Executive orders applicable to acquisitions of commercial products and commercial services:

[Contracting Officer has checked applicable items as appropriate.]

X (1) 52.203-6, Restrictions on Subcontractor Sales to the Government (Jun 2020), with Alternate I

(Nov 2021) ( 41 U.S.C. 4704 and 10 U.S.C. 4655).

__ (2) 52.203-13, Contractor Code of Business Ethics and Conduct (Nov 2021) ( 41 U.S.C. 3509)).

__ (3) 52.203-15, Whistleblower Protections under the American Recovery and Reinvestment Act of

2009 (Jun 2010) (Section 1553 of Pub. L. 111-5). (Applies to contracts funded by the American Recovery and Reinvestment Act of 2009.)

X (4) 52.204-10, Reporting Executive Compensation and First-Tier Subcontract Awards (Jun 2020)

(Pub. L. 109-282) ( 31 U.S.C. 6101 note).

__ (5) [Reserved].

X (6) 52.204-14, Service Contract Reporting Requirements (Oct 2016) (Pub. L. 111-117, section 743 of Div. C).

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

2016) (Pub. L. 111-117, section 743 of Div. C).

X (8) 52.204-27, Prohibition on a ByteDance Covered Application (Jun 2023) (Section 102 of

Division R of Pub. L. 117-328).

X (9) 52.209-6, Protecting the Government’s Interest When Subcontracting with Contractors

Debarred, Suspended, or Proposed for Debarment. (Nov 2021) (31 U.S.C. 6101 note).

X (10) 52.209-9, Updates of Publicly Available Information Regarding Responsibility Matters (Oct

2018) (41 U.S.C. 2313).

__ (11) [Reserved].

__ (12) 52.219-3, Notice of HUBZone Set-Aside or Sole-Source Award (Oct 2022) (15 U.S.C. 657a).

X (13) 52.219-4, Notice of Price Evaluation Preference for HUBZone Small Business Concerns (Oct

2022) (if the offeror elects to waive the preference, it shall so indicate in its offer) (15 U.S.C. 657a).

__ (14) [Reserved]

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__ (15)

(i) 52.219-6, Notice of Total Small Business Set-Aside (Nov 2020) (15 U.S.C. 644).

__ (ii) Alternate I (Mar 2020) of 52.219-6.

__ (16)

(i) 52.219-7, Notice of Partial Small Business Set-Aside (Nov 2020) (15 U.S.C. 644).

__ (ii) Alternate I (Mar 2020) of 52.219-7.

X (17) 52.219-8, Utilization of Small Business Concerns (Sep 2023) (15 U.S.C. 637(d)(2) and (3)).

__ (18)

(i) 52.219-9, Small Business Subcontracting Plan (Sep 2023) (15 U.S.C. 637(d)(4)).

__ (ii) Alternate I (Nov 2016) of 52.219-9.

__ (iii) Alternate II (Nov 2016) of 52.219-9.

__ (iv) Alternate III (Jun 2020) of 52.219-9.

__ (v) Alternate IV (Sep 2023) of 52.219-9.

__ (19)

(i) 52.219-13, Notice of Set-Aside of Orders (Mar 2020) (15 U.S.C. 644(r)).

__ (ii) Alternate I (Mar 2020) of 52.219-13.

__ (20) 52.219-14, Limitations on Subcontracting (Oct 2022) (15 U.S.C. 637s).

__ (21) 52.219-16, Liquidated Damages—Subcontracting Plan (Sep 2021) (15 U.S.C. 637(d)(4)(F)(i)).

__ (22) 52.219-27, Notice of Service-Disabled Veteran-Owned Small Business Set-Aside (Oct 2022)

(15 U.S.C. 657f).

X (23) (i) 52.219-28, Post Award Small Business Program Rerepresentation (Sep 2023)(15 U.S.C.

632(a)(2)).

__ (ii) Alternate I (Mar 2020) of 52.219-28.

__ (24) 52.219-29, Notice of Set-Aside for, or Sole-Source Award to, Economically Disadvantaged

Women-Owned Small Business Concerns (Oct 2022) (15 U.S.C. 637(m)).

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__ (25) 52.219-30, Notice of Set-Aside for, or Sole-Source Award to, Women-Owned Small Business

Concerns Eligible Under the Women-Owned Small Business Program (Oct 2022) (15 U.S.C. 637(m)).

__ (26) 52.219-32, Orders Issued Directly Under Small Business Reserves (Mar 2020) (15 U.S.C.

644(r)).

__ (27) 52.219-33, Nonmanufacturer Rule (Sep 2021) (15U.S.C. 637(a)(17)).

X (28) 52.222-3, Convict Labor (Jun 2003) (E.O.11755).

__ (29) 52.222-19, Child Labor-Cooperation with Authorities and Remedies (Dec 2022) (E.O.13126).

X (30) 52.222-21, Prohibition of Segregated Facilities (Apr 2015).

X (31) (i) 52.222-26, Equal Opportunity (Sep 2016) (E.O.11246).

__ (ii) Alternate I (Feb 1999) of 52.222-26.

X (32) (i) 52.222-35, Equal Opportunity for Veterans (Jun 2020) (38 U.S.C. 4212).

__ (ii) Alternate I (Jul 2014) of 52.222-35.

X (33) (i) 52.222-36, Equal Opportunity for Workers with Disabilities (Jun 2020) (29 U.S.C. 793).

__ (ii) Alternate I (Jul 2014) of 52.222-36.

X (34) 52.222-37, Employment Reports on Veterans (Jun 2020) (38 U.S.C. 4212).

X (35) 52.222-40, Notification of Employee Rights Under the National Labor Relations Act (Dec

2010) (E.O. 13496).

X (36) (i) 52.222-50, Combating Trafficking in Persons (Nov 2021) (22 U.S.C. chapter 78 and E.O.

13627).

__ (ii) Alternate I (Mar 2015) of 52.222-50 (22 U.S.C. chapter 78 and E.O. 13627).

X (37) 52.222-54, Employment Eligibility Verification (May 2022) (Executive Order 12989). (Not applicable to the acquisition of commercially available off-the-shelf items or certain other types of commercial products or commercial services as prescribed in FAR 22.1803.)

__ (38)

(i) 52.223-9, Estimate of Percentage of Recovered Material Content for EPA–Designated Items (May

2008) (42 U.S.C. 6962(c)(3)(A)(ii)). (Not applicable to the acquisition of commercially available off-the-shelf items.)

__ (ii) Alternate I (May 2008) of 52.223-9 (42 U.S.C. 6962(i)(2)(C)). (Not applicable to the acquisition of commercially available off-the-shelf items.)

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__ (39) 52.223-11, Ozone-Depleting Substances and High Global Warming Potential

Hydrofluorocarbons (Jun 2016) (E.O. 13693).

__ (40) 52.223-12, Maintenance, Service, Repair, or Disposal of Refrigeration Equipment and Air

Conditioners (Jun 2016) (E.O. 13693).

__ (41)

(i) 52.223-13, Acquisition of EPEAT®-Registered Imaging Equipment (Jun 2014) (E.O.s 13423 and

13514).

__ (ii) Alternate I (Oct 2015) of 52.223-13.

__ (42)

(i) 52.223-14, Acquisition of EPEAT®-Registered Televisions (Jun 2014) (E.O.s 13423 and 13514).

__ (ii) Alternate I (Jun2014) of 52.223-14.

__ (43) 52.223-15, Energy Efficiency in Energy-Consuming Products (May 2020) (42 U.S.C. 8259b).

__ (44)

(i) 52.223-16, Acquisition of EPEAT®-Registered Personal Computer Products (Oct 2015) (E.O.s

13423 and 13514).

__ (ii) Alternate I (Jun 2014) of 52.223-16.

X (45) 52.223-18, Encouraging Contractor Policies to Ban Text Messaging While Driving (Jun 2020)

(E.O. 13513).

__ (46) 52.223-20, Aerosols (Jun 2016) (E.O. 13693).

__ (47) 52.223-21, Foams (Jun2016) (E.O. 13693).

__ (48)

(i) 52.224-3 Privacy Training (Jan 2017) (5 U.S.C. 552 a).

__ (ii) Alternate I (Jan 2017) of 52.224-3.

__ (49)

(i) 52.225-1, Buy American-Supplies (Oct 2022) (41 U.S.C. chapter 83).

__ (ii) Alternate I (Oct 2022) of 52.225-1.

__ (50)

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(i) 52.225-3, Buy American-Free Trade Agreements-Israeli Trade Act (Dec 2022) (19 U.S.C. 3301 note, 19 U.S.C. 2112 note, 19 U.S.C. 3805 note, 19 U.S.C. 4001 note, 19 U.S.C. chapter 29 (sections

4501-4732), Public Law 103-182, 108-77, 108-78, 108-286, 108-302, 109-53, 109-169, 109-283, 110-

138, 112-41, 112-42, and 112-43.

__ (ii) Alternate I [Reserved].

__ (iii) Alternate II (Dec 2022) of 52.225-3.

__ (iv) Alternate III (Jan 2021) of 52.225-3.

__ (v) Alternate IV (Oct 2022) of 52.225-3.

__ (51) 52.225-5, Trade Agreements (Dec 2022) (19 U.S.C. 2501, et seq., 19 U.S.C. 3301 note).

X (52) 52.225-13, Restrictions on Certain Foreign Purchases (Feb 2021) (E.O.’s, proclamations, and statutes administered by the Office of Foreign Assets Control of the Department of the Treasury).

__ (53) 52.225-26, Contractors Performing Private Security Functions Outside the United States (Oct

2016) (Section 862, as amended, of the National Defense Authorization Act for Fiscal Year 2008; 10

U.S.C. Subtitle A, Part V, Subpart G Note).

__ (54) 52.226-4, Notice of Disaster or Emergency Area Set-Aside (Nov 2007) (42 U.S.C. 5150).

__ (55) 52.226-5, Restrictions on Subcontracting Outside Disaster or Emergency Area (Nov2007) (42

U.S.C. 5150).

X (56) 52.229-12, Tax on Certain Foreign Procurements (Feb 2021).

__ (57) 52.232-29, Terms for Financing of Purchases of Commercial Products and Commercial

Services (Nov 2021) (41 U.S.C. 4505, 10 U.S.C. 3805).

__ (58) 52.232-30, Installment Payments for Commercial Products and Commercial Services (Nov

2021) (41 U.S.C. 4505, 10 U.S.C. 3805).

X (59) 52.232-33, Payment by Electronic Funds Transfer-System for Award Management (Oct2018)

(31 U.S.C. 3332).

__ (60) 52.232-34, Payment by Electronic Funds Transfer-Other than System for Award Management

(Jul 2013) (31 U.S.C. 3332).

__ (61) 52.232-36, Payment by Third Party (May 2014) (31 U.S.C. 3332).

__ (62) 52.239-1, Privacy or Security Safeguards (Aug 1996) (5 U.S.C. 552a).

__ (63) 52.242-5, Payments to Small Business Subcontractors (Jan 2017) (15 U.S.C. 637(d)(13)).

__ (64)

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(i) 52.247-64, Preference for Privately Owned U.S.-Flag Commercial Vessels (Nov 2021) (46 U.S.C.

55305 and 10 U.S.C. 2631).

__ (ii) Alternate I (Apr 2003) of 52.247-64.

__ (iii) Alternate II (Nov 2021) of 52.247-64.

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

[Contracting Officer has checked applicable items as appropriate.]

__ (1) 52.222-41, Service Contract Labor Standards (Aug 2018) (41 U.S.C. chapter67).

__ (2) 52.222-42, Statement of Equivalent Rates for Federal Hires (May 2014) (29 U.S.C. 206 and 41

U.S.C. chapter 67).

__ (3) 52.222-43, Fair Labor Standards Act and Service Contract Labor Standards-Price Adjustment

(Multiple Year and Option Contracts) (Aug 2018) (29 U.S.C. 206 and 41 U.S.C. chapter 67).

__ (4) 52.222-44, Fair Labor Standards Act and Service Contract Labor Standards-Price Adjustment

(May 2014) (29U.S.C.206 and 41 U.S.C. chapter 67).

__ (5) 52.222-51, Exemption from Application of the Service Contract Labor Standards to Contracts for Maintenance, Calibration, or Repair of Certain Equipment-Requirements (May 2014) (41 U.S.C.

chapter 67).

__ (6) 52.222-53, Exemption from Application of the Service Contract Labor Standards to Contracts for Certain Services-Requirements (May 2014) (41 U.S.C. chapter 67).

__ (7) 52.222-55, Minimum Wages for Contractor Workers Under Executive Order 14026 (Jan 2022).

__ (8) 52.222-62, Paid Sick Leave Under Executive Order 13706 (Jan 2022) (E.O. 13706).

__ (9) 52.226-6, Promoting Excess Food Donation to Nonprofit Organizations (Jun 2020) (42 U.S.C.

1792).

(d) Comptroller General Examination of Record. The Contractor shall comply with the provisions of this paragraph (d) if this contract was awarded using other than sealed bid, is in excess of the simplified acquisition threshold, as defined in FAR 2.101, on the date of award of this contract, and does not contain the clause at 52.215-2, Audit and Records-Negotiation.

(1) The Comptroller General of the United States, or an authorized representative of the Comptroller

General, shall have access to and right to examine any of the Contractor’s directly pertinent records involving transactions related to this contract.

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(2) The Contractor shall make available at its offices at all reasonable times the records, materials, and other evidence for examination, audit, or reproduction, until 3 years after final payment under this contract or for any shorter period specified in FAR subpart 4.7, Contractor Records Retention, of the other clauses of this contract. If this contract is completely or partially terminated, the records relating to the work terminated shall be made available for 3 years after any resulting final termination settlement.

Records relating to appeals under the disputes clause or to litigation or the settlement of claims arising under or relating to this contract shall be made available until such appeals, litigation, or claims are finally resolved.

(3) As used in this clause, records include books, documents, accounting procedures and practices, and other data, regardless of type and regardless of form. This does not require the Contractor to create or maintain any record that the Contractor does not maintain in the ordinary course of business or pursuant to a provision of law.

(e)

(1) Notwithstanding the requirements of the clauses in paragraphs (a), (b), (c), and (d) of this clause, the Contractor is not required to flow down any FAR clause, other than those in this paragraph (e)(1), in a subcontract for commercial products or commercial services. Unless otherwise indicated below, the extent of the flow down shall be as required by the clause-

(i) 52.203-13, Contractor Code of Business Ethics and Conduct (Nov 2021) (41 U.S.C. 3509).

(ii) 52.203-19, Prohibition on Requiring Certain Internal Confidentiality Agreements or Statements

(Jan 2017) (section 743 of Division E, Title VII, of the Consolidated and Further Continuing

Appropriations Act, 2015 (Pub. L. 113-235) and its successor provisions in subsequent appropriations acts (and as extended in continuing resolutions)).

(iii) 52.204-23, Prohibition on Contracting for Hardware, Software, and Services Developed or

Provided by Kaspersky Lab and Other Covered Entities (Nov 2021) (Section 1634 of Pub. L. 115-91).

(iv) 52.204-25, Prohibition on Contracting for Certain Telecommunications and Video Surveillance

Services or Equipment. (Nov 2021) (Section 889(a)(1)(A) of Pub. L. 115-232).

(v) 52.204-27, Prohibition on a ByteDance Covered Application (Jun 2023) (Section 102 of Division R of Pub. L. 117-328).

(vi) 52.219-8, Utilization of Small Business Concerns (Sep 2023) (15 U.S.C. 637(d)(2) and (3)), in all subcontracts that offer further subcontracting opportunities. If the subcontract (except subcontracts to small business concerns) exceeds the applicable threshold specified in FAR 19.702(a) on the date of subcontract award, the subcontractor must include 52.219-8 in lower tier subcontracts that offer subcontracting opportunities.

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

(viii) 52.222-26, Equal Opportunity (Sep 2015) (E.O.11246).

(ix) 52.222-35, Equal Opportunity for Veterans (Jun 2020) (38 U.S.C. 4212).

OCC- Probability of Default Data RFQ #2031JW24Q00007 P a g e 22 | 44

(x) 52.222-36, Equal Opportunity for Workers with Disabilities (Jun 2020) (29 U.S.C. 793).

(xi) 52.222-37, Employment Reports on Veterans (Jun 2020) (38 U.S.C. 4212).

(xii) 52.222-40, Notification of Employee Rights Under the National Labor Relations Act (Dec 2010)

(E.O. 13496). Flow down required in accordance with paragraph (f) of FAR clause 52.222-40.

(xiii) 52.222-41, Service Contract Labor Standards (Aug 2018) (41 U.S.C. chapter 67).

(xiv)

(A) 52.222-50, Combating Trafficking in Persons (Nov 2021) (22 U.S.C. chapter 78 and E.O 13627).

(B) Alternate I (Mar 2015) of 52.222-50 (22 U.S.C. chapter 78 and E.O. 13627).

(xv) 52.222-51, Exemption from Application of the Service Contract Labor Standards to Contracts for

Maintenance, Calibration, or Repair of Certain Equipment-Requirements (May 2014) (41 U.S.C. chapter

67).

(xvi) 52.222-53, Exemption from Application of the Service Contract Labor Standards to Contracts for

Certain Services-Requirements (May 2014) (41 U.S.C. chapter 67).

(xvii) 52.222-54, Employment Eligibility Verification (May 2022) (E.O. 12989).

(xviii) 52.222-55, Minimum Wages for Contractor Workers Under Executive Order 14026 (Jan 2022).

(xix) 52.222-62, Paid Sick Leave Under Executive Order 13706 (Jan 2022) (E.O. 13706).

(xx)

(A) 52.224-3, Privacy Training (Jan 2017) (5 U.S.C. 552a).

(B) Alternate I (Jan 2017) of 52.224-3.

(xxi) 52.225-26, Contractors Performing Private Security Functions Outside the United States (Oct

2016) (Section 862, as amended, of the National Defense Authorization Act for Fiscal Year 2008; 10

U.S.C. Subtitle A, Part V, Subpart G Note).

(xxii) 52.226-6, Promoting Excess Food Donation to Nonprofit Organizations (Jun 2020) (42 U.S.C.

1792). Flow down required in accordance with paragraph (e) of FAR clause 52.226-6.

(xxiii) 52.232-40, Providing Accelerated Payments to Small Business Subcontractors (Mar 2023) (31

U.S.C. 3903 and 10 U.S.C. 3801). Flow down required in accordance with paragraph (c) of 52.232-40.

(xxiv) 52.247-64, Preference for Privately Owned U.S.-Flag Commercial Vessels (Nov 2021) (46

U.S.C. 55305 and 10 U.S.C. 2631). Flow down required in accordance with paragraph (d) of FAR clause

52.247-64.

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(2) While not required, the Contractor may include in its subcontracts for commercial products and commercial services a minimal number of additional clauses necessary to satisfy its contractual obligations.

(End of Clause)

FAR 52.217-8 Option to Extend Services (NOV 1999)

The Government may require continued performance of any services within the limits and at the rates specified in the contract. These rates may be adjusted only as a result of revisions to prevailing labor rates provided by the Secretary of Labor. The option provision may be exercised more than once, but the total extension of performance hereunder shall not exceed 6 months. The Contracting Officer may exercise the option by written notice to the Contractor within 1 business day before the contract expiration date.

(End of Clause)

FAR 52.217-9 Option to Extend the Term of the Contract (MAR 2000)

(a) The Government may extend the term of this contract by written notice to the Contractor within 30 days prior to the current operating period end date; provided that the Government gives the

Contractor a preliminary written notice of its intent to extend at least 1 business day before the contract expires. The preliminary notice does not commit the Government to an extension.

(b) If the Government exercises this option, the extended contract shall be considered to include this option clause.

(c) The total duration of this contract, including the exercise of any options under this clause, shall not exceed 60 months (5 years).

A.2 OFFICE OF THE COMPTROLLER OF THE CURRENCY CLAUSES

OCC 1052.201-8000 Contracting Officer’s Representative (COR) Delegation and Authority (DEC

2013)

(a) The Contracting Officer's Representative (COR) will be identified via separate letter to the

Contractor.

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

(c) Technical direction must be within the scope of the specification(s)/work statement. The COR does

NOT have authority to issue technical direction that:

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

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

OCC- Probability of Default Data RFQ #2031JW24Q00007 P a g e 24 | 44

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

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

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

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

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

OCC 1052.204-8000 – Proper Identification of Contractor Personnel (AUG 2020)

(a) All Contractor personnel shall provide proper identification in both oral and written communications.

Oral communications include, but are not limited to, in-person, Skype video and audio communications, and teleconference communications. Additionally, when calling into meetings Contractor personnel shall identify that they are a Contractor by stating their name followed by stating Contractor support for their respective OCC business unit.

(b) For written communications, all Contractor personnel shall use a signature block that includes identification as a Contractor, the name of the Contractor personnel’s company, office telephone number, alternate contact (mobile) number (if applicable), and identification of the current assigned TPOC as stated in the contract.

Name: [Insert Name]

Job Title: [Insert Title] (Contractor)

Company Name: [Insert Name of Company]

TPOC’s Name: [Insert Name of the current TPOC]

Telephone: Office: (XXX) XXX-XXXX

Work Cell: Mobile: (XXX) XXX-XXXX

OCC 1052.227-8000 Commercial Supplier Agreement Terms and Conditions (October

2023)

1. Definitions:

A. “Commercial item” means any of the following: [Note: For purposes of this document, the term "commercial item" is interchangeable with the terms "commercially available”, "commercially available software”, "commercial component(s)", "commercial product(s)", and

"commercial off-the-shelf (COTS)”.]

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(1) Any item, other than real property, that is of a type customarily used by the general public or by nongovernmental entities for purposes other than governmental purposes and that has been sold, leased, licensed to the general public; or has been offered for sale, lease, or license to the general public.

(2) Any item that evolved from an item described in paragraph (1) through advances in technology or performance and that is not yet available in the commercial marketplace but will be available in the commercial marketplace in time to satisfy the delivery requirements under a government solicitation.

(3) Any item that would satisfy a criterion expressed in paragraphs (1) and (2) of this definition, but for (i) modifications of a type customarily available in the commercial marketplace; or (ii) modifications of a type not customarily available in the commercial marketplace made to meet

Federal government requirements.

(4) Any combination of items meeting the requirements of paragraphs (1), (2), (3), or (5) of this definition that are of a type customarily combined and sold in combination to the general public.

(5) Installation services, maintenance services, repair services, training services, and other services if such services are procured for support of an item referred to in paragraph (1), (2), (3), or (4) of this definition, and if the source of such services--(i) offers such services to the general public and the Federal government contemporaneously and under similar terms and conditions;

and (ii) offers to use the same work force for providing the Federal government with such services as the source uses for providing such services to the general public.

(6) Services of a type offered and sold competitively in substantial quantities in the commercial marketplace based on established catalog or market prices for specific tasks performed under standards commercial terms and conditions. This does not include services sold based on hourly rates without an established catalog or market price for specific service performed.

(7) Any item, combination of items, or service referred to in paragraphs (1) through (6), notwithstanding the fact that the item, combination of items, or service is transferred between or among separate divisions, subsidiaries, or affiliates of a contract; or

(8) Any item determined by the procuring agency to have been developed exclusively at private expense and sold in substantial quantities, on a competitive basis, to multiple state and local governments.

B. “Commercial supplier agreements” means terms and conditions customarily offered to the public by vendors of supplies or services that meet the definition of “commercial item” and intended to create a binding legal obligation on the end user, such as, but not exclusively, those used in information technology acquisitions, including acquisitions of commercial computer software and commercial technical data. Such agreements may be referred to as Terms of

Service (TOS), End User License Agreement (EULA) or another similar legal instrument or agreement and may be presented as a part of a proposal or quotation responding to a solicitation

OCC- Probability of Default Data RFQ #2031JW24Q00007 P a g e 26 | 44 for contract or order. The term applies, regardless of the format or style of the document, whether in paper or electronic form.

2. Applicability. The following terms and conditions apply to any commercial supplier agreement as defined in this clause. These terms take precedence and supersede any conflicting or contrary terms in a contractor, subcontractor or associated third party Commercial license agreement. When any supply or service acquired under this contract is subject to a commercial supplier agreement, the terms of this clause shall be deemed incorporated into the commercial supplier agreement. In addition, the Commercial Supplier Agreement is a part of a contract between the commercial supplier and the OCC for the acquisition of the supply or service that necessitates a license or other similar legal instrument (including all contracts, task orders, and delivery orders). For accepted terms under the commercial supplier agreement, the OCC may be bound as end user, but a government employee or person acting on behalf of the government in his or her personal capacity will not be bound. The commercial supplier or license agreement may be incorporated into an OCC contract as modified by this clause. If a Commercial Supplier

Agreement is not required for the goods and services performed by the contractor, all the terms listed below in this clause are not applicable…