Amendment_0002_CC16HQR0012.pdf

Amendment No. 0002 Solicitation # CC16HQR0012 Page 2 of 17

I. The solicitation is hereby re-open and the due date is hereby extended for an additional two (2) weeks as described below:

Due Date and Time for Receipt of Vendor’s Proposal: The hour and date for receipt of proposals is extended to Friday, June 24, 2016 at 2:00 PM ET.

II. Please see the attached track changes for Sections B and C of the solicitation.

PLEASE NOTE:

Contractors shall provide a new proposal (Volumes 1 and 2) to meet the requirements in accordance with the revised solicitation. The government will not consider previous proposal submissions.

Proposals received that do not contain the signed amendment may not be considered.

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PART 1 - THE SCHEDULE

SECTION B - SUPPLIES OR SERVICES AND PRICES/COSTS

B.1 GENERAL

This is a Small Disabled Veteran Owned Small Business (SDVOSB) set-aside. The NAICS code for this requirement is 541611 – Administrative Management and General Management Consulting Services.

The Offeror shall provide, in accordance with issued Task Orders, all management, supervision, labor, facilities, and materials (except that which will be furnished by the Government) necessary to perform A123/Accounting Services described in Section C – Performance Work Statement on an Indefinite Delivery Indefinite Quantity Basis (IDIQ).

The offeror shall provide the following support services in accordance with Section C and the terms and conditions of this contract. The services to be furnished under this contract may be ordered by issuance of task orders pursuant to Section H.14 52.216-18 Ordering commencing with the date of contract award. Orders may be placed at any time for a period of twelve months after date of contract award, which may be extended if options are exercised.

B. 2 LINE ITEM DESCRIPTION

The fully burdened hourly rates apply to all direct labor hours. Direct labor hours include all labor performed by personnel actually engaged in the direct performance of the work required under this contract or task order. Other Direct Cost (ODCs) will be specified in individual task orders. Maximum allowable amounts will be established in individual task orders. The cost of general purpose items required for the conduct of normal business operations will not be considered allowable ODCs in the performance of this contract. Travel may be required in the performance of the contract. Travel requirements will be set forth in individual task orders.

Reimbursement for travel shall be in accordance with the Federal Travel Regulations (FTR) and Clause G.6 of this contract.

Individual ceiling amounts will be established on each task order awarded under the contract. Pursuant to paragraph D of FAR CLAUSE 52.232-7, PAYMENTS UNDER

TIME-AND-MATERIALS AND LABOR-HOUR CONTRACTS, THE TOTAL

CONTRACT CEILING OVER THE LIFE OF THE CONTRACT SHALL NOT EXCEED

$_____TBD________. (The Awardee’s estimates will be increased by 25% for purposes of establishing the total contract ceiling) All offerors shall provide their labor hour rates for each labor category (FFP) shown under each Contract Line Item Number (CLIN) indicated below. Labor rates identified must be fully loaded, fixed price hourly rates for each category and shall include both on-site and off-site rates as applicable.

For each labor category identified below, all offerors shall propose their fully burdened hourly

Amendment No. 0002 Solicitation # CC16HQR0012 Page 4 of 17 rates for each category that may be used to perform services under this contact. All offerors shall propose using the labor categories below; however, offerors may propose additional labor categories that are not listed and shall also include a description for each additional labor category. Each Offeror must determine which categories would be appropriate for supporting multiple types of tasks under this contract. The Offeror shall complete the table utilizing the categories provided, or indicate its own categories that are equivalent to the ones provided. For each category proposed, the Offeror shall provide a description of the labor category to include education, experience and qualifications. The Offeror shall propose the labor rate commensurate with the proposed category.

BASE PERIOD – October 1, 2016 thru September 30, 2017

Services: CLIN 0001 – 0006

CLIN Description QTY

Unit of Issue

Unit Price Amount

Total Price

Principal I/Program

Manager

12901,000

HR

Senior Manager II

1295800

Senior Manger I

5600800

Senior III

155300

Senior II

155200

Travel (NTE)

LOT

NTE

$5,000.00

BASE YEAR TOTAL

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OPTION PERIOD ONE – October 1, 2017 thru September 30, 2018

Services: CLIN 1001 – 1006

CLIN

Description

QTY

1002 Senior Manager II

1300800

Travel (as determined by the Government prior to award)

OPTION PERIOD ONE TOTAL

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OPTION PERIOD TWO – October 1, 2018 thru September 30, 2019

Services: CLIN 2001 – 2006

CLIN Description

Senior Manager II

OPTION PERIOD TWO TOTAL

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OPTION PERIOD THREE – October 1, 2019 thru September 30, 2020

Services: CLIN 3001 – 3006

3002 Senior Manager II

OPTION PERIOD THREE TOTAL

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OPTION PERIOD FOUR – October 1, 2020 thru September 30, 2021

Services: CLIN 4001 – 4006

12901,00

4002 Senior Manager II

OPTION PERIOD FOUR TOTAL

GRAND TOTAL (Base + All Options): $____________.

The Total Maximum Ceiling Price is $ ______________.

B.2 PAYMENTS AND PRICING STRUCTURE

B.2.1 Payments

Payment will be made on a fixed price or labor hour basis, in accordance with individual task orders.

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B.2.2 A123/Accounting Services –Firm-Fixed Price and Labor Hour

The A123/Accounting Services shall consist of the work defined in Section C below.

The firm-fixed price and labor hour tasks for the A123/Accounting Services period shall include all professional fees and expenses, including profits, costs (direct or indirect), all local travel and related expenses, and all office and other administrative or technical support necessary to perform the services required. The Offeror will be required to provide all management, supervision, personnel, materials and supplies necessary to deliver services described herein.

END OF SECTION B

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SECTION C - PERFORMANCE WORK STATEMENT (PWS)

A123/Accounting Services

C.1 BACKGROUND

The Office of the Comptroller of the Currency (OCC) charters, regulates, and supervises all national banks, federal thrifts, and federal savings associations and licenses. The OCC also supervises the federal branches and agencies of foreign banks.

The OCC was established in 1863 as a bureau of the U.S. Department of the Treasury. The Comptroller is the Chief Executive of the OCC. The OCC’s nationwide staff of examiners conducts on-site reviews of national banks and thrifts and provides sustained supervision of bank operations. The agency issues rules, legal interpretations, and corporate decisions concerning banking, bank investments, bank community development activities, and other aspects of bank operations.

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. Headquartered in Washington, D.C., the OCC has offices throughout the United States. The OCC also has an office in London, England, to supervise the international activities of national banks.

The Contractor must perform any onsite services required under this PWS at the Washington, D.C., headquarters building during the following normal hours of operation, Monday through Friday excluding Federal holidays: 8:00 a.m. – 5:00 p.m.

C.2 SCOPE OF WORK

This Performance Work Statement (PWS) is to provide the Deputy Chief Financial Officer, Financial Management department, with General Accounting Support, General Audit Support, and help maintaining a robust Internal Control program that facilitates OCC’s compliance with applicable rules, laws and regulations. The Contractor must provide all management, labor, supervision, and materials necessary to satisfy the requirement of the PWS.

C.3 OBJECTIVES

The Contractor must use innovative approaches to accomplish the PWS requirements efficiently and effectively to:

• Meet OCC mission requirements – Provide General Accounting, General Audit, and Internal

Control services in support of OCC’s mission.

• Achieve a high level of customer satisfaction – Provide a high and consistent quality of service to the OCC.

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C.4 PERFORMANCE REQUIREMENTS

In executing the requirements of this PWS, the Contractor must satisfy the performance requirements included below and in the Performance Requirements Summary (PRS), Attachment C.

C.4.1 Requirement 1: General Accounting Support

In providing General Accounting Support, the Contractor is expected to have comprehensive financial, operational, and system-related capabilities rooted in a knowledge of federal regulations and statutory requirements for financial management. The key personnel should have current knowledge of generally accepted accounting principles (GAAP) as set forth by the Federal Accounting Standards Advisory Board (FASAB) and standards of financial accounting established by the Financial Accounting Standards Board (FASB). In addition, key personnel should have experience with Accounts Receivable, Accounts Payable, Budgeting, Investments, Fixed Assets, Auditing, Purchasing, Relocation, Payroll Transaction Processing, Internal Controls, Information Systems Auditing, Financial Systems Operations, Data Analytics, and Project Management. The Contractor should have the ability to provide support in the following areas:

• Account Reconciliation – This area includes, but is not limited to, reconciling subsidiary and general ledger accounts, budgetary and proprietary accounts, and other accounts.

• Accounts Receivable, Accounts Payable, Investments, Fixed Assets, Purchasing, Relocation and Payroll Processing – This area includes, but is not limited to, supporting treasury functions such as the OCC's investment portfolio and daily cash management.

Support financial operations, ensuring the resulting financial statements are prepared timely, in accordance with statutory and regulatory requirements (e.g. GAAP, OMB Circular A-136).

Support timely and accurate completion of all required reports to external sources such as the Internal Revenue Service (IRS) and the Treasury Department.

Provide operations support, ensuring compliance with applicable rules, laws and regulations.

Support tax deposits, ensuring they are made timely and accurately.

• Auditing – This area includes, but is not limited to, support for external audits and reporting to the Internal Review Subcommittee, the Senior Assessment Team and other governance groups.

Support in reviewing audit findings and preparing corrective action plans.

Support Financial Management efforts in preparing for and meeting the client requirements of the annual external audit.

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Support Financial Management efforts in managing travel card operations and audits.

Support data analytics to help identify exceptions within financial data.

• Budget Execution – This area includes, but is not limited to, assistance with planning, developing, organizing, implementing, directing, and evaluating the organization’s fiscal function and performance.

• Financial Reporting – This area includes, but is not limited to, reviewing and analyzing financial statements and reports prepared by Financial Management, and assisting the Financial Management department in:

Ensuring that the appropriate financial reports are provided to the CFO and Budget and Finance Subcommittee to monitor financial performance; and

Ensuring that management and staff outside of Financial Management receive the financial information needed to effectively manage their departments and programs.

• Financial Statement Preparation – This area includes, but is not limited to, assisting in preparing monthly, quarterly, and annual financial statements and supporting documents.

• Financial Systems Operations – This area includes, but is not limited to, supporting a PeopleSoft Financials version 9.1 application, following through to support and train users;

acting as a liaison between Financial Management and Information Technology Services (ITS) units; defining the technology strategy; designing and testing any new solutions; and working with a team of functional consultants and project managers. The key personnel must have experience with PeopleSoft Financials.

• Financial System Reviews – This area includes, but is not limited to, supporting Financial Management by providing subject matter expertise for financial system implementations and regular reviews.

• Internal Control – This area includes, but is not limited to, providing support for the OCC’s annual assessment of internal controls in compliance with the Federal Managers’ Financial Integrity Act (FMFIA), Federal Financial Management Improvement Act (FFMIA), OMB Circular A-123 (A-123), Government Performance and Results Modernization Act (GPRAMA), and the Chief Financial Officers (CFO) Act. In addition, the Contractor will assist withperform information systems auditing, and with other internal audits and reviews as necessary; work with senior staff on key issues that involve the finance function; and assist Financial Management leadership and staff in assuring protection for the assets of the OCC through internal control and internal auditing. The key personnel must have experience with PeopleSoft Financials.

• Governance, Risk, and Compliance – Provide expert consulting services, guidance and management support for OCC enterprise security governance, risk, and compliance efforts.

• Accounting Policy – Provide advice on accounting policies and procedures that impact other

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OCC business areas to help ensure they are understood and that the appropriate level of accountability is maintained both within and outside of Financial Management.

C.4.2 Requirement 2: General Audit Support

The Contractor must provide support to assess and improve controls in or related to OCC systems. Support includes, but is not limited to, assisting the OCC audit support team; helping perform control reviews (e.g., external and internal audits, certification and accreditations, annual assessments); assessing IT general controls; performing root cause analysis for control weaknesses; developing and implementing corrective actions for control weaknesses;

reengineering business processes (development and implementation) to address or prevent control weaknesses; and providing ongoing internal controls and audit support. The Contractor shall identify opportunities and implement processes to reduce overlapping control reviews related to Audit Support, Certification and Accreditation (C&A), and OMB Circular A-123. The Contractor shall support OCC's efforts to prevent or address issues surrounding access controls to information systems.

The proposed Contractor resources collectively must have experience related to IT general controls, control reviews in the federal sector, C&A reviews, compliance frameworks applicable to the federal sector (e.g., NIST, FISCAM), and business process reengineering. Experience with OCC operations is a plus.

C.4.3 Requirement 3: Internal Control Support

The Contractor shall assist management with maintaining a robust internal control program within the OCC by providing analysis, advice, data analytics, and compliance support with the rules, laws and regulations governing federal programs, including FMFIA, A-123, FFMIA, GPRAMA, and CFO Act. In addition, the Contractor will provide assistance in establishing and monitoring internal controls and assessing third party service organization reports and mapping of relevant third party user control considerations (UCCs) as they relate to the OCC.

Proposed resources must have experience in providing program management, regulatory, operational, risk and auditing services to public sector clients. The Contractor should also have experience using data analytics to gain greater insights into risk across an organization.

Financial services experience is a plus as is experience in improving business performance and delivering risk management and technology solutions.

C.5 Deliverables

The Contractor shall provide a weekly status report on each task. Payments will be made based on successful completion of defined deliverables. The Contractor must submit all deliverables to the Contracting Officer’s Representative (COR) in electronic Microsoft Office 2010 format.

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Deliverables Due Date Non-Disclosure Agreements signed by all Contractor personnel working under this contract Prior to commencing work.

Quality Control Plan (QCP) Final plan within 15 days of contract award.

Implementation Plan Final plan within 30 days after award. Update as required.

Status Report Weekly, every Thursday.

Provide Comprehensive Project Plan for each task order

Final plan due prior to task order award.

Provide Final Detailed Action Plan

Final plan due within 30 days after award per task order. Updates as required.

Provide Draft Deliverables To be provided in project plan per task order.

Provide Final Deliverables To be provided in project plan per task order.

C.6 CONTRACTOR’S STAFF AND PERSONNEL QUALIFICATIONS

Key personnel shall consist of one Principal I/Program Manager.

TITLE NAME

Principal I/Program Manager TBD

NOTE: The personnel experience and qualifications are described below. The minimum requirement is the general experience requirement. OCC believes the other credentials and educational qualifications are beneficial to perform the work. The experience and qualifications will serve as the basis for completing evaluation of the proposals. The Contractor may propose personnel with qualifications other than those described below and include justification to support the proposed personnel.

C.6.1 Principal I/Program Manager

The Contractor must designate one Principal I/Program Manager for this contract. The Principal I/Program Manager shall be responsible for directing the work of all personnel exclusively supporting this contract and is responsible for all delivery orders, resolving program/ project issues, proposal development, and tracking program status. The Principal I/Program Manager serves as the primary point of contact for the OCC Contracting Officer. The Principal I/Program Manger shall attend all OCC meetings as requested and attend face-to-face ad-hoc meetings with the COR, Contracting Officer (CO), and OCC Project Managers as necessary. The Principal I/Program Manager shall be available to travel as deemed necessary. Other requirements are (a) the minimum requirement of twelve years general experience of which five of those twelve years should be as a Program Manager for FMFIA, A-123 and FFMIA engagements; (b) a four-year degree and a master’s from an accredited institution of higher learning preferably in accounting, Amendment No. 0002 Solicitation # CC16HQR0012 Page 15 of 17 business administration/management, project management, finance, or related experience; (c) shall have and maintain a Project Management Professional (PMP) certification; (d) PeopleSoft Financial experience is required.

C.7 QUALITY CONTROL

C.7.1 Quality Control Plan (QCP)

The Contractor must develop and manage a QCP to meet the quality standards established in the Performance Work Statement. The contractor must provide a draft QCP with their proposal.

After contract award, the contractor must ensure that the finalized QCP is provided to the COR and CO for review, is accepted by the CO, and is fully operational within 15 days of contract award. Upon acceptance by the CO, the contractor shall operate under the established procedures of that QCP. The QCP must promote excellence in all functional areas of the contract. The contractor may update the QCP to ensure specifics of the plan may change periodically to ensure successful performance of this contract.

The contractor must create a QCP that includes, but not be limited to:

1. A description of how the quality of all services and deliverables will be gauged and controlled to ensure conformance to contract requirements.

2. The identification and description of the areas, items, and deliverables to be inspected.

3. The contractors inspection process (e.g. scheduled or unscheduled inspections, frequency, method of inspections, etc.).

4. A description of the methods to be used for identifying and preventing defects in the quality of service performed.

5. A description of the records to be kept to document inspections and corrective or preventive actions taken.

The contractor’s inspection records must be maintained throughout the entire contract performance period and for the period after contract completion until final settlement of any claims under this contract has been completed. All records must be made available to the CO and COR, when requested.

C.7.2 Quality Assurance Surveillance

The OCC will use Quality Assurance Surveillance to monitor compliance with contract terms and conditions and identify nonconforming services. All work and deliverables will require 100% inspection by the COR.

The Contractor must comply with applicable OCC policies, standards and procedures and Federal rules, laws and regulations that are required for the duration of this requirement. The requirements identified as most important to contract performance are set forth in Attachment C:

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Performance Requirements Summary (PRS). The PRS contains the OCC’s quality assurance standards (objectives), procedures for monitoring compliance with the standards (measures), and defines satisfactory performance ratings (expectations) for these requirements. The Contractor must measure actual performance against the performance standards and report the results to the COR on a monthly basis (or more often if a performance problem is identified).

C.7.3 Quality Control

The Contractor must perform all work in accordance with the QCP procedures and industry best practices. The COR will monitor the Contractor’s performance to ensure that the Contractor is following accepted quality control measures.

C.8 PERFORMANCE REQUIREMENTS SUMMARY OVERVIEW

All services under this contract shall be subject at all times to inspection by the government.

Although the government retains the right to specifically enforce all provisions in the contract, the Performance Requirements Summary (see Attachment C) identifies those contract requirements considered most important to acceptable contract performance and the government’s intended quality assurance procedures. The Performance Requirements Summary references apply to all required deliverables/services throughout this contract, the qualitative performance standards (objectives), the government’s intended quality assurance procedures and frequency of inspection (measures), and what the government identifies as the minimum satisfactory rating (expectations) at this time.

In addition to Attachment C, the Government may require other performance measures aside from timeliness and quality which may be incorporated via each task order issued under the contract.

C.9 PERIOD OF PERFORMANCE

Base Year: October 1, 2016 - September 30, 2017 Option Period 1: October 1, 2017 – September 30, 2018 Option Period 2: October 1, 2018 – September 30, 2019 Option Period 3: October 1, 2019 – September 30, 2020 Option Period 4: October 1, 2020 – September 30, 2021

C.10 SECTION 508 INFORMATION TECHNOLOGY ACCESSIBILITY

COMPLIANCE

All documentation delivered under this contract must be prepared and suitable for storing and sharing within the OCC intranet. Document deliveries shall be in electronic format and shall meet applicable technical and functional standards of Section 508 of the Rehabilitation Act of 1973, as amended. The following standards apply:

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• 36 CFR 1194.22 – Web-based Intranet and Internet Information and Applications

• 36 CFR 1194.31 – Functional Performance Criteria

• 36 CFR 1194.41 – Information, Documentation, and Support

END OF SECTION C