Amendment_-ATTACHMENT_3_Task_Order_0001.docx

ATTACHMENT #3

TASK ORDER 0001

Pricing Schedule for Task Order 0001

TOTAL TASK ORDER PRISE

PRICING PROPOSAL -NOTE: FOR YOUR PRICE PROPOSAL PROVIDE BACK-UP DOCUMENTS THAT DETAIL THE LABOR CATORGIES AND HOURS PROPOSED FOR EACH TASK THAT HAS A UNIT RATE. FOR TASK ORDER 0001 PROVIDE SAME DETAILS FOR THE TOTAL PRICE FOR THIS TASK ORDER AND EACH TASK

Period of Performance:

Twelve months from award

Purpose:

Contractor shall provide the necessary services to complete the following CLINS 0001, 0002, 0003 and 0004

CLIN 0001

Task 1: Technical Assistance -

Performance Work Statement Tasks

Technical Assistance and Oversight Activity

The Contractor will be required to provide;

• SBA with technical assistance in the assessment of 7(a) Lenders overall management of their SBA loan programs from file review information collected, as well as from other data available to the SBA and maintained in the data room warehouse. SBA anticipates that all Technical Assistance shall be either onsite at an SBA Office or at their office located in the DC Metro Area (as defined) fulltime and management staff continuously coordinating with the SBA Staff.

• Technical assistance for the Delegated Lender Review and Assessment to include, at a minimum, administrative processing of records and documents.

• OCRM technical assistance in effectively and efficiently monitoring the performance of the 7(a) programs through SBA loan and lender portfolio stratification for strategic planning of risk mitigation activities, annual audit plan development, selection of lenders for enhanced assessment activities, and planning and conducting risk-based reviews (“RBRs”) using SBA’s risk assessment framework.

Technical assistance should reflect discussion and coordination with the key personnel and project management team. Cost for advisory and technical assistance may be allocated in the CLIN monthly cost and/or imputed across the fixed cost items. SBA wishes to be able to consult, meet with and converse on aspects of performance, improvement of, efficiencies and conduct of the engagement with the Contractor to assure best practice execution and value to the SBA.

Task 1: Technical Assistance - CLINS 0001, 1001, 2001, 3001 and 4001

The Contractor will be required to provide SBA with technical assistance in the assessment of the SBA 7(a) loan program. The Lender Profile Assessment (LPA)has been developed using SA S and report writing has been automated. The LPA is a tool and should be utilized whenever assessing a lender. SBA anticipates working with the Contractor to consider improvements to the LPA. The LPA will be prepared for each delegated authority review.

The tasks shall include at a minimum:

Task 1A: PARRiS Delegated-Lender Reviews Technical Assistance - Minimum of 1200 reviews and a Maximum of 2500 reviews annually as part of the pricing under Task 1.

PARRiS Delegated-Lender Reviews

The Contractor shall provide technical assistance in the review, assessment, and processing of all PARRiS Delegated-Lender Authority Nominations and Renewals processing. The Contractor shall perform the administrative research necessary, to include but not be limited to, collecting all required information and certification from the lender and District Office to assist the SBA in determining eligibility and qualification for the specific status being sought. This will include preparing an LPA.

The PARRiS Delegated Lender Authority Review Assessment and eligibility process is as follows:

Overview of process:

The Delegated Lender team which includes “CT/FA” process includes four types of actions, renewals, reconsiderations, extensions and nominations. The team assesses eight types of delegated authorities:

The data analysis components for each lender include:

The Data Analysis elements for each lender include:

Data Analysis- Performance

All loans are pulled from the BI SAS Tool and SBA RiskLender to determine Performance Scope for a lender that includes the following:

Data Analysis for Compliance includes:

Data Analysis- Regulatory:

Deliverable: The Contractor shall prepare and distribute the PARRiS Delegated-Lender Reviews (PDR), Letters and Agreements. This is on-going and the contractor will work with SBA personnel on the deliverable. There is no set schedule for the contractor; you will assist in the process. Deliver to SBA COR and TM.

PARRiS Delegated-Lender Authority Renewal Lender Portfolio Analysis

The Contractor shall perform a PARRiS Delegated-Lender Authority portfolio review and analysis of all lenders with delegated authority. This will be completed by tracking of the expiration dates for Delegated Lender Authority statuses for all SBA Lenders. Each month the Contractor will provide to SBA a list of all lenders with authorities that will expire in three months (eg,. - in January of each year, provide a list of all lenders with authorities expiring in April of that same year and in February of each year, provide a list of all lenders with authorities expiring during May of that same year).

Delegated Authority Renewals for each lender may be granted for 2 years, a New SBA lender is/may be granted a one year renewal or two years as prescribed by SOP 50 10 (5). Renewal Terms may also be granted for one year, six months, and/or extensions for period under the 2 year full term based on the analysis of the elements and components. Delegated Authority can also be denied to a lender.

Much of the Data components are provided and/or accessible through SBA data and systems. An LPA will be prepared for each delegated authority review. SBA has access to lender regulatory and financial information.

Deliverable: The analysis will be conducted and provided to SBA on the first of the month. This must be done three months in advance of the lenders Delegated Lender Authority expiration date. The Contractor shall provide a formal written analysis.

Task 1B: Lender Oversight Technical Assistance

Lender Oversight Technical Assistance includes the following work at a minimum;

-Identifying Lender Portfolio risks, for the SBA 7(a) Portfolio through analysis of SBA data. (data will be provided at post award.);

-Assisting in the development of a Portfolio Stratification Analysis;

-Assisting in the development of selection criteria for an Annual Risk Management Oversight Plan- current plan will provided at or about post award;

-Preparation of individual 7(a) Lender Profile Assessments;

-Technical assistance in developing the content of individual 7(a) Lenders PARRiS Analytical Review plans;

-Assisting in the development and maintenance of the corrective action plan process;

-Tracking of SBA portfolio trends and performance via a dashboard. The dashboard already exists and the Contractor will analyze and track the information presented through the dashboard.

-The development of a solution that provides data and business analytics that will be used to support the organizational strategic goals. This is intended for the offeror to provide SME input and is up to Offeror to work with SBA in the normal course of supporting the OCRM Review program ; and

-Documenting and assessing the process for delegated lenders renewal of authorities.

The contractor will assist in the annual risk plan and developing the annual review/audit plan.

The LPA has been developed using SA S and report writing has been automated. The LPA is a tool and should be utilized whenever assessing a lender. SBA anticipates working with Contractor and D&B to consider improvements to the LPA. The LPA will be prepared for each delegated authority review.

SBA is working on some reporting dashboards with the L/LMS contractor. SBA anticipates this contractor supplementing the dashboard for Review activity (Project Coordinator Status Reporting), providing expertise on appropriate dashboard items and general SME input.

Deliverable: The Contractor shall provide a monthly report on the technical assistance provided. A report is due five days after the end of the month unless further defined at the Task Order level.

CLIN 0002 - Task 2: PARRiS Analytical Review (PAR)

PARRiS Analytical Reviews are performed using a standard Lender Profile Assessment (LPA) (See Exhibit 1), and designed to 1) measure the level of risk the 7(a) federally regulated lender poses to SBA, and 2) determine the scope of any additional assessment necessary (e.g., through a PTR or PFR). The purpose of the PAR is to identify whether additional assessment is necessary and to inform decisions regarding delegated lender authorities.

a) Populate Lender Profile Assessment (LPA) – Contractor shall populate the LPA with information pulled electronically from internal SBA data sources and public federal regulatory information and review this information for accuracy, consistency, and completeness. (See Exhibit 1)

b) Contractor will obtain review information from lender files, lender loan data information and other lender information, SBA, and outside sources (e.g., previous RBR findings and corrective actions, SBA processing and liquidation center input, lenders latest strategic plan and organizational chart, lenders policies and procedures, and copies of audits and independent loan reviews).

c) Lender will perform initial analysis (using for example the LPA and information obtained).

d) PAR Report PAR Report with include at a minimum, full narrative and analysis ready for delivery based on the PARRiS protocols to SBA team analyst. The narrative should include relevant observations, findings and corrective actions as applicable, and recommendations. The Contractor must include review of previous RBR findings and corrective actions, SBA processing and liquidation center input, lender's latest strategic plan and organizational chart, lenders policies and procedures, and copies of audits and independent loan reviews. Report should also include Contractor's recommendation for an additional PARRiS Targeted Review (PTR) or PARRiS Full Review (PFR), if required. If PTR or PFR is recommended, this recommendation should include an assessment of lender's ability to submit loan information electronically to allow for a "virtual" review.

e) Supplemental PAR Reports per lender – the Contractor shall provide any supplemental reports, if the SBA deems that supplemental review work is necessary.

Deliverable: A Lender Profile Assessment is provided in all cases. The Contractor will have two days from the work (order) assignment from the Technical Monitor to populate, analyze and complete the LPA and a PAR work plan. Within two weeks from receipt of the work (order) assignment the Contract must prepare the Draft PARRiS Analytical Review Report and Risk Assessment Cover Letter with a (draft) Risk Assessment Memorandum if required for referral for a target or full risk based review and deliver it to the Technical Monitor via designated Virtual Data Room. The Contractor must also prepare and include with the Draft PARRiS Analytical Review Report an Executive Summary that must include all identifying findings, weaknesses, corrective actions, and recommendations.

Deliverable: Final PARRiS (PAR) Analytical Review Report in accordance with the following specification. The Contractor receives Technical Monitor comments to the initial Draft PARRiS Analytical Review Report; the Contractor shall incorporate the Technical Monitor comments into the Final PARRiS Analytical Review Report and deliver to Technical Monitor via designated Virtual Data Room within 2 days. (See Exhibit 4). The PAR Report must be completed in compliance with American Institute of Public Certified Accountants (AICPA) Professional Standards – Consulting Services type reviews.

CLIN 0003- Task 3: PARRiS Targeted Review (PTR)

The Contractor shall assist 1) SBA in performing a review of one or more benchmark elements, risk elements, or flag areas identified in specific components of PARRiS requiring a focused scope of review for the identified component, and/or 2) with requests made from inside (e.g. supervision and enforcement unit or other SBA Offices) and/or outside (e.g. GAO, Congress, etc.) the SBA regarding identified high risk issues requiring a focused scope of review for the identified PARRiS component. The Targeted Review is performed either on-site or virtually or information from lender files, lender loan data information and other lender information, SBA, and outside sources. If the lender is able to provide information to SBA and the contractor in a secure and acceptable manner, SBA generally prefers the use of virtual reviews in order to reduce the costs to the lenders. The Contractor shall provide a formal written report and analysis of the benchmark elements, risk elements, or flag areas reviewed, and any deficiencies identified must be cited with the corresponding SBA Loan Program Requirement (e.g. SBA SOP provision) or SOP requirements.

Deliverable:

The Contractor will receive a PARRiS Risk Assessment Memorandum from the TM along with the PAR for a specific lender. The Contractor will establish a Target Loan Sample utilizing the loan sampling plan as well as complete a Pre Plan within 5 days of receiving the PARRiS Risk Assessment Memorandum but no later than ten (10) days prior to the scheduled review start date.

The PARRiS Targeted review may address individual or a composite of benchmarks and/or Risk Flags. In most cases a PTR will require the review of 15 to 30 loans, and/or operational information. The Contractor will have 30 days from the scheduled review start date to complete and prepare a Draft PTR for submission to the TM for review. The final PTR will be due 5 days after receipt of comments from the TM. Please note, if a site visit is determined to be necessary, it will also be conducted an incorporated within the 30 days from the scheduled review start date.

Typically, delivery of a Target Review Report should not exceed 60 days. If more time is required, that determination will be made and approved by the TM and COR.

CLIN 0004 - Task 4: PARRiS Full Review (PFR)

Based on OCRM’s PAR results, OCRM may determine the need for a PARRiS Full Review. In addition, if a lender has never been reviewed by the SBA’s Office of Credit Risk Management or if a lender has not been reviewed for a long period of time (as determined by SBA), a PARRiS Full Review may be conducted. A PARRiS Full Review requires an on-site visit to relative review location(s). SBA will determine the number of on-site business days required to complete the report based on the size and complexity of the SBA portfolio. Contractor maybe required to also get information from lender files, lender loan data information and other lender information, SBA, and outside sources. All elements of the PARRiS Risk Assessment framework will be reviewed.

Deliverable:

– A PARRiS Full Review will typically address all of the benchmark elements. It will require the Contractor to establish a loan sample, and a Pre Plan to outline the Review program. It will include a site visitation, but not necessarily or solely for loan reviews (prefer the use of Virtual Data Room), but and/or for management and personnel interviews, process and internal controls reviews. Typically a full review may include, but not limited to the review of 30 to 60 files. Yes, there may be provision for additional files to be reviewed or follow up documentation. However, utilizing the Virtual Data Room, the Contractor should be requesting information to be uploaded and reviewed prior to the site visit, to be as efficient as possible. In the event a lender is unresponsive, unprepared or untimely, the design of this Contract provides for additional CLIN Tasks including for additional loan reveiws.

The Contractor will have 30 to 45 days from the scheduled review start date to complete and prepare a Draft Full Review for submission to the TM. The final Full Review Report will be due 5 days after receipt of comments from the TM. Typically, delivery of a Full Review Report should not exceed 75 days.

CLIN 0010 - Management Workflow and Tracking Systems - CLINS 0010 - ONE TIME INITIAL CHARGE FOR SOLUTION THEN THE MANAGEMENT IS PART OF CLIN 0001. The contractor shall provide a one-time price for the original implementation of their Management Workflow and Tracking Systems on Task Order 001 under CLIN 0010. And then provide a price for System Maintenance and IT Security Management support for the follow-on years under CLINS 1010, 2010, 3010 and 4010.

The contractor must assume current systems that that SBA is currently utilizing for tracking workflow as well as Document Management, Delegated Lender Authority, Corrective Actions Tracking, systems include Foxpro, excel, Access Database, Partner Information Management System (PIMS) and other SBA systems. The contractor must ensure that any proposed solution conforms with SBA’s IT security requirements and that any support, updates, or maintenance required for the proposed solutions are included in SBA’s access to the proposed solution.

Respective Items and requirements referenced in Task 1 and Task 10 are to be met using commercial off the shelf (COTS) and already existing tools/solutions. This task does not seek the design and/or development of a system. Some solutions may require some customization and configuration for implementation specifically for SBA. The customizing and configuration specifically for SBA is anticipated for in the Contractors response/pricing referenced as CLIN 0010 - Task 10 of the Task Order 0001- Attachment 2. SBA does not anticipate owning a system at conclusion of the contract. SBA owns all of the data within the tracking and management system and will continue to own this data following the conclusion of the contract.. SBA anticipates there could be a ramp up period for Tasks 10a, 10b and 10c over the first 90 days. The technical architecture of the current system consists of an Oracle database with cold fusion.

Task 10A: PARRiS Document Management System (PDMS)

The Contractor shall provide a document management and workflow tracking solution that supports, the above systems and at a minimum:

The Contractor shall implement a solution that serves as a Virtual Data Room to store electronic documents in a data store/warehouse.

The Contractor shall implement a solution that tracks all forms of documents SBA will accept for uploading --all versions of Microsoft Office.

The Contractor shall implement a solution that utilizes workflow to track the lender oversight process from beginning to end. The Contractor will be responsible for all data upload of all completed work papers. Work papers uploaded must be readable.

Access is anticipated for specific Lenders for information and/or documents they specifically have uploaded. Other Access capabilities are anticipated for SBA team members and the Contractor team members.

Task 10B: Delegated Lender Authority Management System (DLAMS)

The Contractor shall provide a document management workflow and tracking solution that supports at a minimum:

Utilizes workflow to track actions that upcoming pending and completed; and

• Maintain a system of record for all Delegated Authority actions by type (i.e. – nominations, renewals etc.)

Task 10C: Corrective Actions Tracking System (CATS)

An Access database is currently being used to track Corrective Actions. The Contractor shall review, improve, and provide access to a more robust system in the form of a work paper retention client management service or other solution to track corrective action follow-up. The solution will include at a minimum, a system which incorporates an entry screen to allow SBA users to enter new review findings, a screen to record information received from a lender and any pertinent analysis, a section to record routine contact and communication notes, a tickler system to test corrective actions, and a report function that allows basic reports to be generated from the system. The Corrective Action Tracking System is currently configured as an Access Database with input screens for capturing review and corrective action findings. The CATS system is currently internal to SBA and the RBR Contractor. Users are limited to 20.

Deliverable: The Draft Technical Security Plan is due 30 days after post award. Final Technical Security Plan is due ten days after receipt of edits from the COR. All of the systems should be in place within 30 days of contract award.

CLIN 0011 Task 11: Analysis of Delegated Lender Process - CLINS 0011, 1011, 2011, 3011, and 4011

The Contractor shall provide an in-depth analysis of the Delegated Lender Authority review process identifying strengths and weaknesses and providing recommendations on ways to streamline the process and implement efficiencies. The three Regional Area Oversight Teams that are the North, South and West 7a oversight teams encompassing all 10 regions and 67 districts of SBA.

Deliverable: A Delegated Lender Authority Review Process Analysis Report is submitted. Due 30 days after Post Award.

DELIVERABLES SCHEDULE

SEE CONTRACT DELIVERABLE LIST AT PARAGRAPH 23 of the Parent IDIQ. Dates that are not detailed will be finalized at Post Award.

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