Attachment_B_-_Database_Files__-__ABARRS_Subscription.pdf

Attachment A

Automated Blocking and Reject Reporting System (ABARRS) – Banking Institution

Authentication

STATEMENT OF WORK

1.0 PURPOSE/OBJECTIVE

The United States Treasury Department Office of Foreign Assets Control (OFAC) currently maintains a public-facing, electronic reporting system. This system, known as the Automated Blocking and Reject Reporting System or ABARRS allows financial institutions all over the world to submit reports of blocked and rejected transactions to OFAC in a secure environment. The data in the ABARRS database is used by policymakers throughout the government to gauge the efficacy of economic sanctions. The data contained in the system is vital to the effective administration of the financial sanctions program OFAC licenses a dataset that includes information on all financial institutions worldwide to ensure that reports filed via ABARRS use a standard financial institution naming convention. We need to continue to receive this data to keep the ABARRS system current.

2.0 BACKGROUND

ABARRS is available for use by any member of the public that has an obligation to report transactions to OFAC. By law, report filers are required to provide a detailed description of the transaction they have blocked or rejected. The transactions in question often include the names of multiple financial institutions. Because ABARRS is public-facing, OFAC’s concern was that ABARRS users would create data integrity problems by providing information on financial institution names that varies from one report to the next. For example, one transaction might be reported with a beneficiary of “First National Bank.” The next transaction (filed by another individual) might reference a beneficiary of “First Nat. Bank, Inc.” This would create a situation where OFAC would have difficulty querying information in the ABARRS database due to variations in the spelling of certain data. OFAC solved this problem by licensing a dataset of all known financial institutions world-wide. Users of ABARRS can now select the institutions they are reporting on from a table, as opposed to manually entering the information. This keeps OFAC’s data, clean and free from error and duplication.

3.0 SCOPE OF WORK/SCOPE OF USE

The contractor will provide OFAC with a dataset of all known financial institutions in the world within the proprietary database made available by Contractor to OFAC for its internal use only pursuant to this limited term license. This dataset will include (but not be limited to) the following data elements:

1. Full Institution Name

2. Institution type (branch, HQ, or subsidiary)

3. Institution address

4. Institution City

5. Institution State/Province

6. Institution Country

7. Institution Postal code

8. Institution phone number

9. Institution fax number

10. Institution e-mail address (if available).

11. SWIFT/BIC Code for the Institution

12. CHIPS UID for the Institution

13. ABA number for the Institution (if country location is USA)

A complete database mapping is provided as an appendix to this Statement of Work.

LICENSED MATERIALS

1. Financial Institutions Data File The “Licensed Materials”, in whole and in part, are the Contractor’s set of electronic files containing a comprehensive listing of financial institution locations worldwide and payment processing data. The data provided will help users determine the correct codes to use when enacting a domestic or cross-border payment message. Files will include detailed information on financial institutions’ regional head offices as well as the domestic and foreign branches in over 200 countries, including SWIFT/BIC, CHIPS and national routing codes, correspondents by currency, standard settlement instructions, addresses, telephone, fax and telex numbers.

The database will consist of a set of relational data files that are associated with one another through a catalog number or other mutually-shared data values. All files comprising the database will be fixed-width field delimited. The database file will be updated on a monthly basis and is sent out via CD-ROM or FTP Download.

Term: The Term of the contract shall begin on the Effective Date and shall end one (1) year thereafter, with one pre-priced option year. On conclusion of the Term, OFAC shall promptly (a) cease all use of the Licensed, and (b) delete, destroy, or return the Licensed Materials, at Contractor’s option where this obligation does not conflict with the terms stated in the section of this statement of work entitled “Government Ownership of All Deliverables”.

Scope of Use: DBS Scope of Use:

Type of Transaction: Reference for Reporting

Volume of Transactions: Up to 100,000 during the Term

Name of Application: ABARRS

Department: Office of Foreign Asset Controls

Number of Installations: 1 Installation Location: 1500 Pennsylvania Avenue NW Washington, DC 20220

Data elements contained in the Licensed Materials:

1. Full Institution Name

2. Institution Type (branch, HQ or subsidiary)

3. Institution Address

4. Institution City

5. Institution State/Province

6. Institution Country

7. Institution Postal Code

8. Institution phone number

9. Institution fax number

10. Institution email address (if available)

11. SWIFT/BIC code for the Institution

12. CHIPS UID for the Institution

13. ABA number for the Institution (if country location is USA)

If any additional use(s) of the Licensed Materials is needed, OFAC shall request a separate license or an amendment of the contract prior to exceeding this Scope of Use. Additional use of the Licensed Materials shall only be permitted with Contractor’s prior written consent and for the fees set by the Contractor. OFAC understands and agrees that Contractor is not obligated to provide it with any additional license(s).

4.0 SPECIFIC TASKS

The following represent the tasks and services to be provided by the contractor.

Task 1: Data gathering and management

Perform overall task management and status reporting. The performance of those management tasks to oversee the staffing, operation, status, reporting and task order administration activities.

Task Order Service Interface The accomplishment of those tasks to coordinate, interfaces, and provide overall communication between the contractor and Government Task Order POC relative to the services being rendered

Conduct all necessary research and compilation activities required in order to ensure that the transmitted dataset contains the most up-to-date information on financial institutions.

Task 2: Start-up and Transmission of the data Transmit the data to the Government via a medium and schedule agreed upon by the Government and the contractor

Transmit the data in a format agreed upon by the Government and the contractor Provide redundancy in the event of the failure of the transmission medium or transmission source server

Task 3: Support for data transmission and integration

Contractor will provide technical support to the Government regarding the dataset, the transmission of the dataset and the integration of the dataset into the ABARRS database.

Contractor will alert designated Government POC to any contractor-side maintenance, or system failures that will complicate or prevent the receipt of the dataset by the Government.

Contractor will provide the Government designated POC with 90 days of advanced notice if the contractor must alter its transmission media and/or data formats.

Contractor will be responsible for all technical support related to the extracted data and its transmission medium. Contractor will provide a designated point of contact for technical support to the Government upon execution of this Agreement.

Task 4: Monthly updates to the data

Upon provision of the entire dataset the contractor will make available to the Government delta information related to the original dataset once every commercial business monthk.

This information will be available on a set day and time agreed upon by the Government and the contractor.

The delta information will be provided in a format agreed upon by the Government and the contractor.

5. DELIVERABLES AND DELIVERY SCHEDULE

Task 1 – Data gathering and management

Deliverable 1: Data dictionary and format specification and table relationship information.

The contractor will provide the Government a complete data dictionary and format specification for the dataset. The Government will review the format specification and work with the contractor to revise the format if necessary to meet the Government’s specific needs. In the event that the data constitutes multiple tables of information provided in separate files, the contractor will provide the Government with complete information on the relationship among the tables.

Deliverable 2: Upon receiving feedback from the Government on revisions to the data format, the contractor will provide the government with a revised and final format specification. This specification will be used as the basis of the Government’s future integration efforts.

Task 2 – Start-up and Transmission of the data

Deliverable 3: Within eight business days of the provision of the final data format specification to the Government, the contractor shall deliver (via the agreed upon transmission medium) the entire dataset in the final agreed upon format. Included with this deliverable will be all necessary information related to the agreed upon transmission medium.

Task 3 – Support for data transmission and integration

The contractor shall deliver the following as part of the on-going data service licensed by the government.

Deliverable 4: The contractor shall provide the Government with on-going technical support for data services rendered through this agreement. Standard support will be available during commercial business hours.

Deliverable 5: The contractor shall provide the Government POC with contact information for technical support services rendered by the contractor

Task 4 – Monthly updates to the data

Deliverable 6: The contractor shall provide the government with monthly updates (delta information) to the Government during the first business week of the month following after first transmission of the entire licensed dataset. The delta information will be provided in a format and on a schedule agreed upon by the Government and the contractor.

Written Deliverables Media It is the responsibility of the Contractor to ensure that all data transmitted electronically is virus or malware free. Deliverables submitted in electronic format via e-mail shall have the project number, task order number, task number, and deliverable type identified in the subject field section of the e-mail, space permitting.

Government Ownership of all Deliverables The Government obtains the rights to all specific documentation, and reports developed under this Task Order in relation to the ABARRS system only. The Government shall not own the Licensed Materials or any information, code, or any pre-existing documentation considered to be proprietary to the contractor. However, the Government is legally obligated to maintain any proprietary information that becomes part of an official recordkeeping system, regardless of the contractual relationship between the Government and the contractor. Such information will be protected from inappropriate reuse or redistribution by applicable copyright laws.

6. GOVERNMENT-FURNISHED EQUIPMENT AND GOVERNMENT-FURNISHED

INFORMATION

Not applicable.

7. PLACE OF PERFORMANCE

There will be no contractor personnel located onsite for the performance of this task order. Media will be mailed to the client and technical point of contact, TBDat the following address:

TBD

1500 Pennsylvania Avenue NW Washington DC 20220 Phone: TBD Fax: TBD Email: TBD

The COR for this task is:

TBD

1500 Pennsylvania Avenue NW Washington DC 20220 Phone: TBD

TBD

Email: TBD

8. PERIOD OF PERFORMANCE

The period of performance for this task is one year, with an additional priced option year.

9. INSPECTION AND ACCEPTANCE

Data will be reviewed each week to determine that is has been submitted in the correct format and that data received is consistent with the previous submissions.

10. WORK HOURS

Not applicable.

11. SECURITY

The work being performed is unclassified and there will be no access required to sensitive or classified materials.