Solicitation_A-123_AccountingServices.pdf

REQUEST FOR PROPOSALS

1. Issue Date for RFP No. CC16HQR0012 April 1, 2016

2. Issued by: The Office of the Comptroller of the Currency (OCC) Attn: Tanya Newland Acquisition Management 400 7th S.W.

Washington, D.C. 20219-0001

3. Questions Regarding RFP: All questions regarding this RFP shall be submitted by email to Tanya Newland at Tanya.Newland@occ.treas.gov. Questions must be received no later than 2:00 p.m. Eastern Standard Time on Thursday, April 7, 2016.

4. Due Date and Time for Receipt of Vendor’s Proposal: The hour and date for receipt of Proposals are Thursday, May 12, 2016 at 2:00 PM ET. Please note that the attachment size limit is 25MB per email. Emails with larger attachments may not reach the email inbox.

ATTENTION: Please review FAR 15.208(b)(1)(i) relating to transmitting through an electronic commerce. In a separate email to Tanya Newland (Tanya.Newland@occ.treas.gov), Offerors shall request confirm receipt of their proposal prior to the solicitation close date, May 12, 2016.

Electronic copies delivered to Tanya Newland at Tanya.Newland@occ.treas.gov will be accepted. Hard copies will not be accepted.

Quotations shall be limited to fifty (50) pages for Volume I. This page limit excludes any cover page(s) or table(s) of contents.

Quotes shall contain two separate volumes - Volume I: Offerors Experience/Technical Capability, Management Approach, Key Personnel, Quality Control Plan, and Past Performance, and Volume II: Price.

5. Evaluation Methodology: OCC requires A-123/Accounting Services in accordance with the attached RFP. A single award, five-year, Indefinite Quantity, Indefinite Delivery (IDIQ) 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. The following evaluation factors, listed in descending order of importance, will be used to evaluate the offers:

mailto:Tanya.Newland@occ.treas.gov mailto:Tanya.Newland@occ.treas.gov mailto:Tanya.Newland@occ.treas.gov

- - 2

Factor 1: Contractor Experience/Technical Capability Factor 2: Management Approach, Key Personnel, and Quality Control Plan Factor 3: Past Performance Factor 4: Price

Descriptions for each factor may be found in Section M of the RFP.

6. Attachments: The attached files provide the complete solicitation document Request for Proposal. The files include:

Attachment A: Past Performance Questionnaire Attachment B: Conditional Access to Sensitive Information Non-Disclosure Form Attachment C: Performance Requirements Summary Attachment D: Contractor’s Off-Boarding Tasks Attachment E: OCC IT Accessibility Questionnaire Attachment F: Question & Answer (Q&A) Template

Sincerely, Darryle Brown Contracting Officer

CC-16-HQ-R-0012

A123/Accounting Services

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 541211 - Offices of Certified Public Accountants.

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 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

HR

Senior Manager I

Senior Manger I

Senior III

Senior II

Travel (NTE)

BASE YEAR TOTAL

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

Services: CLIN 1001 – 1006

CLIN

Description

QTY

Unit of

1002 Senior Manager I

Travel (as determined by the Government prior to award)

LOT

NTE

$5,000.00

OPTION PERIOD ONE TOTAL

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

Services: CLIN 2001 – 2006

CLIN Description

Unit of

Senior Manager I

OPTION PERIOD TWO TOTAL

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

Services: CLIN 3001 – 3006

3002 Senior Manager I

OPTION PERIOD THREE TOTAL

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

Services: CLIN 4001 – 4006

4002 Senior Manager I

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.

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

SECTION C - PERFORMANCE WORK STATEMENT (PWS)

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.

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 Contrator 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.

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 Contractorwill assist with 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.

• 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 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.

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 CONTRACOR’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 qualifications described below are representative of the credentials, experience and educational requirements the OCC believes necessary to perform the work. These 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. For example, an Contractor may provide rationale to support a substitution of additional years of experience in lieu of an advanced degree or Project Management Professional (PMP) certification.

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) 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, business administration/management, project management, finance, or related experience; (c) shall have and maintain a Project Management Professional (PMP) certification.

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:

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:

• 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

SECTION D

PACKAGING AND MARKING

D.1 PAYMENT OF POSTAGE AND FEES

All postage and fees related to submitting information, including forms, reports, etc., to the Contracting Officer (CO) or the Contracting Officer’s Representative (COR) shall be paid by the Offeror.

D.2 MARKING

All information submitted to the CO or the COR shall be clearly marked to show the following:

1. Name of the Offeror

2. Contract Number

3. Consignee’s name and address

4. Date of Submission

D.3 REPORT COVER SHEET

Each report submitted by the Offeror shall have a cover sheet containing the following information:

1. Title of report

2. Report number or type

3. Period covered by the report

4. Contract number

5. Name and address of the Offeror

6. Name of the COR

7. Date of Submission

END OF SECTION D

SECTION E

INSPECTION AND ACCEPTANCE

E.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE (FEB 1998)

This contract incorporates one or more clauses by reference, with the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make the full text available. The full text of a clause may be accessed electronically at the following address: https://acquisition.gov/far/.

I. FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES

NUMBER DATE TITLE

52.246-4 AUG 1996 INSPECTION OF SERVICES-FIXED PRICE

52.246-6 MAY 2001 INSPECTION-TIME AND MATERIALS AND

LABOR-HOUR

END OF SECTION E

https://acquisition.gov/far/

SECTION F

DELIVERIES OR PERFORMANCE

F.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE (FEB 1998)

This contract incorporates one or more clauses by reference, with the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make the full text available. The full text of a clause may be accessed electronically at the following address: https://acquisition.gov/far/.

I. FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES

NUMBER DATE TITLE

52.242-15 AUG 1989 STOP-WORK ORDER

END OF SECTION F

SECTION G

CONTRACT ADMINISTRATION DATA

G.1 1052.201-8000 (OCC) CONTRACTING OFFICER'S REPRESENTATIVE (COR)

DELEGATION AND AUTHORITY (DEC 2013)

(a) The contracting officer's representative will be identified via separate letter to the offeror.

(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 offeror 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;

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

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

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

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

(f) Failure of the offeror 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".

(End of Clause)

G. 2 1052.215-8003 (OCC) KEY PERSONNEL (APR 2014)

(a) The Offeror shall assign to this contract the following key personnel: _Principal I / Program

Manager_________

(b) During the first ninety (90) days of performance, the Offeror shall make no substitutions of key personnel unless the substitution is necessitated by illness, death, or termination of employment. The Offeror shall notify the Contracting Officer within 15 calendar days after the occurrence of any of these events and provide the information required by paragraph (c) below. After the initial 90-day period, the offeror shall submit the information required by paragraph (c) to the Contracting Officer at least 15 days prior to making any permanent substitutions.

(c) The Offeror shall provide a detailed explanation of the circumstances necessitating the proposed substitutions complete résumés for the proposed substitutes, and any in additional information requested by the contracting Officer. Proposed substitutes shall have comparable qualifications to those of the persons being replaced. The Contracting Officer will notify the Offeror within 15 calendar days after receipt of all required information of the decision on substitutions. The contract will be modified to reflect any approved changes of key personnel.

G.3 1052.231-8001 (OCC) REIMBURSEMENT OF TRAVEL COSTS (MAR 2014)

(a) Area of Travel. Performance under this contract/task order may require travel by offeror personnel. If travel is required, the offeror is responsible for making all necessary arrangements for its personnel.

(b) Travel Policy. The Government will reimburse the offeror for allowable travel costs incurred by the offeror in performance of the contract in accordance with FAR Subpart 31.205-46.

Travel required for tasks assigned under this contract/task order shall be governed in accordance with Federal Travel Regulations.

(c) Travel and Per Diem. Travel and subsistence are authorized for travel whenever a contract/task order requires work to be accomplished at a temporary alternate worksite. No travel or subsistence shall be charged for work performed within a fifty-mile radius of the offeror’s office or for offeror personnel who reside in the metropolitan area in which the tasks are being performed. Travel performed for personal convenience or in conjunction with personal recreation, will not be reimbursed.

1. For travel costs other than described in paragraph (c) above, the offeror shall be paid on the basis of actual amount paid to the extent that such travel is necessary for the performance of services under the contract and is authorized by the Contracting Officer in writing.

2. The offeror shall use the lowest cost mode commensurate with the requirements of the mission as set forth in the basic contract and in accordance with good traffic management principles, including use of taxis versus rental car. The offeror shall use coach, economy class, or similar accommodations to the extent consistent with the successful and economical accomplishment of the mission for which the travel is being performed.

3. Meals and Incidental Expenses (M&IE) shall be paid to the offeror only to the extent overnight stay is required for contract performance. The authorized rate shall be the same as the prevailing M&IE rate of the worksite locality.

4. The offeror’s invoices shall include all non-M&IE receipts or other evidence substantiating actual costs incurred for authorized travel. In no event will such payments exceed the rates of common carriers.

G. 4 1052.242-8000 (OCC) EVALUATION OF OFFEROR PERFORMANCE (DEC

2010)

A. The OCC will evaluate the offeror’s performance after contract award. If this contract has option periods, interim evaluations will be conducted at the end of each option period and then a final evaluation report will be prepared at the completion of the entire contract. If this contract does not have renewal options, an evaluation will be conducted upon completion of the contract.

Notwithstanding the preceding, the Contracting Officer may conduct evaluations more or less frequently, if the Contracting Officer deems appropriate.

B. Evaluations will be conducted using an electronic format as established by Offeror Performance Assessment Reporting System (CPARS), an internet-based database of offeror performance information. The OCC will enter the information, gathered from the evaluation, into the CPARS.

C. If the offeror responds to the evaluation, and the response rebuts any or all of the ratings, the Contracting Officer will attempt to reconcile the areas of disagreement with the offeror. If agreement cannot be reached, the evaluation and response shall be reviewed at a level higher than the Contracting Officer and a final evaluation will be issued by the reviewing official. If the reviewing official finds, either all or in part, against the offeror, the offeror’s response shall become part of the final evaluation. The reviewing official’s final decision shall not be subject to dispute under the terms and conditions of the Disputes clause or subject to resolution in accordance with the terms and conditions of the Alternative Dispute Resolution clause. The reviewing official will provide the offeror with a copy of the final evaluation.

D. Any government agency authorized to access the Past Performance Information Retrieval System (PPIRS) database will be able to view the performance information related to this contract. Any government agency may also receive a copy the offeror’s performance evaluation, and any associated comments, by contacting the OCC. The OCC will also, upon request, provide copies of any and all of the offeror’s evaluations to the offeror.

G.5 1052.243-8001 (OCC) AUTHORIZED CHANGES ONLY BY THE

CONTRACTING OFFICER (SEP 2012)

(a) Except as specified in paragraph (b) below, no order, statement, or conduct of Government personnel who provide technical direction or in any other manner communicates with offeror personnel during the performance of this contract shall constitute a change under the “Changes” clause of this contract.

(b) The Offeror shall not comply with any order, direction or request of Government personnel unless it is issued in writing and signed by the Contracting Officer (CO), or is pursuant to specific authority otherwise included as a part of this contract.

(c) The CO is the only person authorized to approve changes in any of the requirements of this contract and notwithstanding provisions contained elsewhere in this contract, the said authority remains solely the CO’s. In the event the Offeror effects any change at the direction of any person other than the CO, the change will be considered to have been made without authority and no adjustment will be made in the contract price to cover any increase in charges incurred as a result thereof. The CO will be identified via separate letter to the offeror.

G.6 DTAR 1052.232-7003 ELECTRONIC SUBMISSION OF PAYMENT REQUESTS

(APR 2015)

(a) Definitions. As used in this clause—

(1) “Payment request” means a bill, voucher, invoice, or request for contract financing payment with associated supporting documentation. The payment request must comply with the requirements identified in FAR 32.905(b), “Content of Invoices” and the applicable Payment clause included in this contract.

(b) Except as provided in paragraph (c) of this clause, the Contractor shall submit payment requests electronically using the Invoice Processing Platform (IPP). Information regarding IPP, including IPP Customer Support contact information, is available at www.ipp.gov or any successor site.

(c) The Contractor may submit payment requests using other than IPP only when the Contracting Officer authorizes alternate procedures in writing in accordance with Treasury procedures.

(d) If alternate payment procedures are authorized, the Contractor shall include a copy of the Contracting Officer's written authorization with each payment request.

(End of clause)

END OF SECTION G

http://www.ipp.gov/

SECTION H

SPECIAL REQUIREMENTS

H.1 SUBCONTRACTS FOR WORK OR SERVICES

The offeror shall not enter into a contractual agreement with any party to furnish any of the work or services under this contract without coordination with the Contracting Officer. This provision shall not be interpreted as requiring the approval of contracts for employment between the offeror and personnel assigned for services there under.

H.2 GOVERNMENT DATA SUPPLIED TO THE OFFEROR

During the course of this contract, the offeror will have access to Government data relevant to this project, as required. Any information, not previously published, received from the Government in connection with this contract, or furnished to the offeror from other sources in response to the Government’s requirements under this contract, will be restricted to this project and may not be disclosed or used for any other purpose without the prior written approval of the contracting officer. These restrictions do not apply to information that currently or subsequently enters the public domain, has been released to any third party, without restrictions; or is obtained by the offeror independent of the Government.

H.3 1052.239-8000 Electronic and Information Technology Accessibility (June 2014)

(a) Pursuant to Section 508 of the Rehabilitation Act of 1973 (29 U.S.C. 794d), as amended by the Workforce Investment Act of 1998, all electronic and information technology (EIT) products and services developed, acquired, maintained, or used under this contract/order must comply with the “Electronic and Information Technology Accessibility Provisions” set forth by the Architectural and Transportation Barriers Compliance Board (also referred to as the “Access Board”) in 36 CFR Part 1194. Information about Section 508 is available at http://www.section508.gov/. The complete text of Section 508 Final Provisions can be accessed at http://www.access-board.gov/sec508/standards.htm.

(b) The Section 508 accessibility standards applicable to this contract/order are identified in the Statement of Work/Specification/Performance Work Statement. If it is determined by the Government that EIT products and services provided by the Offeror do not conform to the described accessibility standards in the Product Assessment Template, remediation of the products or services to the level of conformance specified in the Offeror’s Product Assessment Template will be the responsibility of the Offeror at its own expense.

(c) In the event of a modification(s) to this contract/order, which adds new EIT products or services or revises the type of, or specifications for, products or services the Offeror is to provide, including EIT deliverables such as electronic documents and reports, the Contracting Officer may require that the offeror submit a completed Voluntary Product http://www.law.cornell.edu/uscode/29/794d.html http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&tpl=/ecfrbrowse/Title36/36cfr1194_main_02.tpl http://www.section508.gov/ http://www.access-board.gov/sec508/standards.htm

Accessibility Template found at http://www.itic.org/public-policy/accessibility, to assist the Government in determining that the EIT products or services support Section 508 accessibility standards.

H.4 1052.245.8001 (OCC) INFORMATION TECHNOLOGY SECURITY

AWARENESS TRAINING (JAN 2014)

(a) As used in this clause—“Network (or Logical) Access” means network access to the Office of the Comptroller of the Currency’s (Government) information resources regardless of location, and “offeror personnel” includes advisors, consultants, or agents to the offeror, subcontractors or their personnel, or any other persons under the auspices of the offeror.

(b) The Offeror understands that work to be performed under this contract may require network (logical) access to the Government’s information resources. Offeror personnel must complete initial training on their information technology (IT) security responsibilities and the Government’s established system rules of behavior to receive network access to the Government information resources. Offeror personnel requiring network access to the Government’s information resources must also complete security awareness training annually for the duration of this contract.

(c) The offeror is responsible for its personnel who require access to the Government’s information resources. The offeror shall provide a list of names to the Contracting Officer’s Representative (COR) after award to initiate the background investigation process and identify offeror personnel who require information security awareness training. The offeror shall update this list during contract performance to add or remove offeror personnel to or from the contract.

(d) Offeror personnel shall complete the IT Security Awareness Training located on the the Personnel and Administration Security System (PASS) https://pass.occ.treas.gov/suite/apps before receiving network access to the Government’s information resources. The offeror personnel must sign and date the certificate at the end of the training with their legal names, and provide electronic copies of the certificate to the Security and Compliance Services (SCS) at least two weeks prior to the need date for network access. The offeror shall contact the COR in writing to ensure timely processing of request(s) or for situations when immediate access is required due to circumstances beyond the offeror’s control.

(e) Offeror personnel shall complete the training annually according to the schedule provided by the Government each year. Failure to complete the training according to the Government schedule will result in those offeror personnel having their access to the Government’s network, IT systems, and electronic equipment revoked, until completed and reinstated.

(f) Offeror personnel will be granted access to the Treasury Learning Management System (TLMS) to complete annual IT Security Awareness refresher training. The COR will provide instructions for completing the annual refresher training in TLMS. The offeror shall ensure all offeror personnel comply with the requirements of this clause.

End of Clause http://www.itic.org/public-policy/accessibility https://pass.occ.treas.gov/suite/apps

H.5 1052.245-8002 (OCC) SEPARATION NOTIFICATION (JAN 2014)

(a) It is anticipated that during the performance of this contract, the offeror will replace key and non-key personnel who have access to OCC’s network information resources or facilities.

The offeror shall provide the COR advance notification (at least two weeks before the departure date) of departing offeror employees, subcontractor employees or agents. When advance notification is provided, the COR shall immediately access the Personnel and Administration Security System (PASS) https://pass/occ.treas.gov/suite/apps and initiate an Off-Boarding Request. The departing offeror employee, subcontractor employee, or agent shall follow the instructions provided in the email from PASS and complete the list of off-boarding activities as identified in the Offeror’s Off-Boarding Tasks, Attachment D of this contract.

(b) If the offeror employee, subcontractor employee, or agent departs with less than two weeks notification, the offeror employee, subcontractor employee, or agent shall initiate their own off-boarding request in PASS to begin the off-boarding process, thereby notifying the COR of a pending departure.

(c) If a offeror employee, subcontractor employee, or agent is fired or leaves the employment of the offeror without advance notification, the offeror’s project manager (or other Key Personnel) shall advise the COR within 24 hours of the departure so that the COR can initiate the Off-Boarding Request. The offeror shall ensure that all Government property and information is obtained from the departing employee, subcontractor employee, or agent and returned to the OCC in accordance with the terms of the contract.

(d) It is the policy of OCC that all separating offeror employees complete the list of off-boarding activities as identified in the attachment in paragraph (a). A copy of each of the completed forms for departing offeror employees, subcontractor employees, or agents shall be provided to the COR. Offerors shall ensure that no government property, correspondence, or records, including classified or confidential material, are removed from the OCC.

H.6 1052.245-8003 CONFIDENTIAL OR SENSITIVE INFORMATION (JAN 2014)

(a) Because of the proprietary nature of such information, the offeror understands that work performed by and information released to the offeror is sensitive in nature and shall not be disclosed to anyone other than the Office of the Comptroller of the Currency (OCC) (Government) employees assigned to the contract and other offeror personnel the Government authorizes to receive the information. The offeror agrees to protect all confidential and/or proprietary information received by or provided to the offeror pursuant to this contract from unauthorized disclosure or use for as long as the information remains proprietary or confidential and further agrees that it will not use such information for any purpose other than that relating to the performance of this contract. For purposes of the contract, all information provided to or received by the offeror is deemed confidential and proprietary.

(b) The offeror shall execute and is responsible for having all of its employees, subcontractor employees, and agents working under the contract and/or having access to https://pass/occ.treas.gov/suite/apps sensitive information under this contract execute a “Conditional Access to Sensitive but Unclassified Information Non-Disclosure Agreement.”, hereafter referred to as an NDA, provided as Attachment B to this contract. This NDA provides that sensitive but unclassified information provided to the offeror or its employees, subcontractors, or agents, shall not, except as permitted in connection with the performance of the contract, be further disclosed or used without the prior written approval of the Government.

(c) Offeror employees processed in the Personnel and Administration Security System (PASS), will complete the NDA electronically.

(d) Offeror employees processed outside of PASS, will complete the attached hard copy NDA and submit to the Contracting Officer (CO).

(e) Executed copies of the NDA are required by each offeror employee, subcontractor employee or agent who will perform work on the contract before they can begin actual performance under the contract.

H. 7 1052.245-8004, GENERAL REQUIREMENTS FOR BACKGROUND

INVESTIGATIONS (JAN 2014)

All offeror personnel assigned to this contract who would have access to OCC facilities or systems, shall submit to a background investigation before beginning work under this contract

The number and type of investigations will depend on factors including, but not limited to, the length of time the individual will work on a contract, the individual’s role, the sensitivity of information the individual will have access to, and the results of past investigations on that individual. Investigations typically conducted by the OCC include an FBI criminal check and/or a suitability investigation.

Offeror personnel must submit information for background investigations electronically through the e-QIP system (http://www.opm.gov/e-QIP/). The Office of Security (OS) will notify offeror personnel when e-QIP is ready to receive their information. After submitting their information, offeror personnel must print required security forms from e-QIP. Printed forms must be signed by the employee and provided to OS.

For background investigation purposes, offeror personnel are required to provide a set of fingerprints. Offeror personnel must appear in-person to provide fingerprints. See OCC Clause 1052.245-8007 for requirements regarding in-person appearances for security purposes.

The results of all background investigations will be reviewed and adjudicated by OS. Based on investigation results, the OCC has the unilateral right to bar an individual from working under a contract or otherwise restrict the individual’s role under a contract.

The costs for all investigations required under this contract will be borne by the OCC.

H.8 1052.245-8005 (OCC) GENERAL REQUIREMENTS FOR OCC-ISSUED

SECURITY BADGES (JAN 2014)

(a) The Contracting Officer’s Representative (COR) shall…