TOFS-10-S-0003 Financial Services RFP.pdf

SOLICITATION/CONTRACT 1. THIS CONTRACT IS A RATED

5. SOLICITATION TYPE2. CONTRACT NO. 4. SOLICITATION NUMBER

PAGE OF PAGES

7. ISSUED BY CODE 8. THIS ACQUISITION IS

BIDDER/OFFEROR TO COMPLETE BLOCKS 11, 13, 15, 21, 22, & 27

RATING

ORDER UNDER DPAS (15 CFR 350)

3. AWARD/

EFFECTIVE DATE ISSUE DATE

6. SOLICITATION

UNRESTRICTED OR SET ASIDE:

SMALL BUSINESS

SIZE STANDARD:

9. (AGENCY USE)

NO COLLECT CALLS

10. ITEMS TO BE PURCHASED (BRIEF DESCRIPTION)

SUPPLIES SERVICES

11. IF OFFER IS ACCEPTED BY THE GOVERNMENT WITHIN

DAYS (60 CALENDAR DAYS UNLESS OFFEROR INSERTS A DIFFERENT

PERIOD) FROM THE DATE SET FORTH IN BLK 9 ABOVE, THE CONTRACTOR

AGREES TO HOLD ITS OFFERED PRICES FIRM FOR THE ITEMS SOLICITED

HEREIN AND TO ACCEPT ANY RESULTING CONTRACT SUBJECT TO THE

TERMS AND CONDITIONS STATED HEREIN.

CODE 12. ADMINISTERED BY

13. CONTRACTOR FACILITY 14. PAYMENT WILL BE MADE BY CODE CODE

OFFEROR CODE

TELEPHONE NO.

DUNS NO.

CHECK IF REMITTANCE IS DIFFERENT AND PUT SUCH ADDRESS IN OFFER SUBMIT INVOICES TO ADDRESS SHOWN IN BLOCK:

15. PROMPT PAYMENT DISCOUNT 16. AUTHORITY FOR USING OTHER THAN FULL AND OPEN COMPETITION

10 U.S.C. 2304 ( 41 U.S.C. 253 (

NEGOTIATED (RFP)

SEALED BIDS (IFB)

1 68

04/30/2010

DEPARTMENT OF THE TREASURY

PROCUREMENT SERVICES DIVISIONS

PROGRAMS BRANCH

799 9th STREET NW

WASHINGTON DC 20220

DEPARTMENT OF THE TREASURY

PROCUREMENT SERVICES DIVISION

1500 PENNSYLVANIA AVE, NW

MAIL STOP: 1425 NEW YORK AVE, NW

TDP

SUITE 2100

WASHINGTON DC 20220

541611

% FOR:

CALENDAR

x x x

TDP

Financial Services

$7.0

TOFS-10-S-0003

NAICS:

HUBZONE SMALL

BUSINESS

SERVICE-DISABLED VETERAN-

OWNED SMALL BUSINESS

EMERGING SMALL

BUSINESS

8(A)

SOLE SOURCE

17.

ITEM NO.

18.

SCHEDULE OF SUPPLIES/SERVICES

19.

QUANTITY

20.

UNIT

21.

UNIT PRICE

22.

AMOUNT

The purpose of this RFP is to obtain financial services from firms with the demonstrated ability to support the Department of the Treasury financial requirements as defined in the attached

Statement of Work.

FOB: Destination

0001 Financial Services

27. SIGNATURE OF OFFEROR/CONTACTOR 28. UNITED STATES OF AMERICA (SIGNATURE OF CONTRACTING OFFICER)

NAME AND TITLE OF SIGNER (TYPE OR PRINT) DATE SIGNED NAME OF CONTRACTING OFFICER DATE SIGNED

25. CONTRACTOR IS REQUIRED TO SIGN THIS DOCUMENT AND RETURN

COPIES TO ISSUING OFFICE. CONTRACTOR AGREES TO FURNISH AND DELIVER

ALL ITEMS SET FORTH OR OTHERWISE IDENTIFIED ABOVE AND ON ANY CONTINUATION

SHEETS SUBJECT TO THE TERMS AND CONDITIONS SPECIFIED HEREIN.

26. AWARD OF CONTRACT: YOUR OFFER ON SOLICITATION

NUMBER SHOWN IN BLOCK 4 INCLUDING ANY ADDITIONS OR

CHANGES WHICH ARE SET FORTH HEREIN, IS ACCEPTED AS

TO ITEMS:

23. ACCOUNTING AND APPROPRIATION DATA 24. TOTAL AWARD AMOUNT (FOR GOVT. USE ONLY)

JOSHUA F. GALICKI

x

AUTHORIZED FOR LOCAL REPRODUCTION

PREVIOUS EDITION NOT USABLE

STANDARD FORM 1447 (REV. 3/2005)

Prescribed by GSA - FAR (48 CFR) 53.214(d)

TYPE OR PRINT NAME AND TITLE OF SIGNER

SIGNATURENAME AND ADDRESS OF FIRM (Include ZIP Code)

WE DO NOT, DESIRE TO BE RETAINED ON THE MAILING LIST FOR FUTURE PROCUREMENT OF THE TYPE OF ITEM(S) INVOLVEDWE DO

DO NOT REGULARLY MANUFACTURE OR SELL THE TYPE OF ITEMS INVOLVED

CANNOT MEET DELIVERY REQUIREMENT

OTHER (Specify)

UNABLE TO IDENTIFY THE ITEM(S)

CANNOT COMPLY WITH SPECIFICATIONS

PAGE

NO RESPONSE FOR REASONS CHECKED

68 2 OF

DATE AND LOCAL TIME

AFFIX

STAMP

HERE

TO:

FROM:

SOLICITATION NO.

WASHINGTON DC 20220

DEPARTMENT OF THE TREASURY

PROCUREMENT SERVICES DIVISIONS

PROGRAMS BRANCH

799 9th STREET NW

TDP

TOFS-10-S-0003

STANDARD FORM1447 (REV. 3/2005) BACK

RFP TOFS-10-S-0003

SECTION B -- SUPPLIES OR SERVICES PRICES

B.1 MAXIMUM AND MINIMUM CONTRACT VALUE

The minimum dollar value of each contract awarded under this RFP will be $50,000.00. The maximum total value of all orders placed under contracts awarded under this RFP will be $185,000,000.00.

B.2 TASK ORDERS

Task orders awarded pursuant to this contract will be Fixed Price, Time and Materials, or Labor Hour, as specified in the order.

B.3 TRAVEL

a) Travel expenses shall only be applicable to orders performed on a Labor Hour or Time and Materials basis. The prices of all task orders issued on a Firm Fixed Price basis shall be inclusive of any travel.

b) For Labor Hour and Time and Materials task orders, any authorized non‐local travel will be reimbursed in accordance with the provisions of the Federal Travel Regulations. The Federal Travel Regulations and current per diem rates can be accessed at: www.gsa.gov/ftr.

c) As a general rule, local travel will not be reimbursed under this contract. Examples of local travel, which will not be subject to reimbursement, are: travel to and from normal job site;

supervisory personnel traveling to a Government site or alternative facility to oversee operations.

Personnel temporarily working at a Government site or alternative facility will consider such facility his/her normal job site.

d) Except for travel conducted under Firm Fixed Price task orders, all travel shall be approved in writing by the Contracting Officer or Contracting Officer Technical Representative prior to the occurrence of the travel.

SECTION C -- STATEMENT OF WORK

C.1 BACKGROUND

The U.S. Department of the Treasury (Treasury) is responsible for the management and administration of the Troubled Assets Relief Program (TARP) which was established under the Emergency Economic Stabilization Act of 2008 (EESA). The EESA provides the Treasury with the authorities and facilities to restore liquidity and stability to the financial system of the United States. Treasury uses the EESA authorities to protect home values, college funds, retirement accounts, and life savings; preserve homeownership and promote jobs and economic growth;

maximize overall returns to the taxpayers of the United States; and provide public accountability for the exercise of such authority. By acquiring, managing, and orderly liquidating the troubled assets over time, the Treasury seeks to improve the capital positions of financial institutions, reduce risk premiums in the market, improve liquidity and credit extension in the financial system, increase investor confidence, and provide market participants with more price transparency.

C.2 OBJECTIVE

Treasury anticipates award of multiple ID/IQ contracts for financial services to firms with the demonstrated ability to support the Department of the Treasury’s financial requirements as defined in this Statement of Work.

Statement of Work

Treasury requires expert financial services to support OFS and Treasury financial programs and initiatives. Treasury requirements are summarized in the following categories:

• Organizational Design and Maintenance

• Systems: Requirements, Life-Cycle Planning, Development, and IV&V

• Credit Reform: Modeling and IV&V

• Accounting

• Program Compliance

• Internal Controls

• Document Management

The requirements are not limited to providing support services to the Office of Financial Stability (OFS) but will be available to other Treasury Offices and/or Bureaus.

C.3 SCOPE

This requirement is for services to support the Office of Financial Stability (OFS) and other Treasury financial programs and initiatives. Treasury requirements are categorized for the purpose of characterizing required services and/or functionality. Specific work will be separately identified in individual task orders, which may include discreet services or functionality from one or more of these categories. Examples of anticipated deliverables are provided within this statement of work; however, actual deliverables shall be defined in task orders.

Treasury’s overarching requirements for this contract include:

1. supporting activities related to achieving/maintaining an unqualified audit opinion of financial statements and statement of assurance of internal control processes;

2. researching and providing recommendations related to best practices, industry standards, and/or national benchmarks;

3. ensuring compliance with laws and regulations;

4. enhancing control activities;

5. assisting with responses to internal and external inquiries and findings, including gathering of supporting documentation and performing analysis;

6. supporting and/or performing testing and/or an independent verification and validation of functions/activities;

7. training;

8. preparing user support materials and other supporting documentation;

9. preparing documentation and information for decision and/or final approval; and

10. developing project plans and workflow analyses.

C.4 FINANCIAL SERVICES

Contractor shall perform Financial Services for the Treasury to support OFS. The financial services shall include, but are not limited to, the following subject areas:

Category: Organizational Design and Maintenance

This category involves the design, development, maintenance, and socialization of organizational and operational models and structures; job descriptions and core competencies; and, policies and procedures. This includes making recommendations based on research and knowledge of best practices and assisting management with documenting, maintaining, encompassing and socializing business processes, information technology upgrades, and implementation of new systems to support organizational re-engineering. Services may include, but are not limited to:

1. Reviewing the efficiency and effectiveness of current operations.

2. Reviewing, analyzing, and making recommendations on improving organizational structure and staffing within an appropriately sized organization, utilizing metrics for staffing and sizing of similar financial service organizations.

3. Reviewing, analyzing, and making recommendations that result in substantial improvements in the cost, effectiveness, and efficiency of operations.

4. Performing analysis and evaluation based on recommendations made on the most efficient structure of administrative and business functions currently provided by the Treasury.

5. Developing new policies and procedures, including circulating documents for comments, finalizing drafts, and validating documents with business process owners.

6. Maintaining existing policies and procedures pertaining to programs, business support functions, and governance.

7. Initiating and facilitating discussions with business process owners and other stakeholders.

8. Developing and creating narratives explaining business processes.

9. Developing and integrating continuity of operations and disaster recovery plans and related documentation.

Category: Systems - Requirements, Life-Cycle Planning, Development, and Independent Verification and Validation (IV&V)

This category involves advising, managing, developing, designing, documenting, testing, deploying, operating, and maintaining systems associated with managing Treasury programs and operational activities. This shall include a reasonable assurance that the system, as defined, complies with all applicable laws and regulations, including controls around handling personally identifiable information and which include the ability to perform auditable and reportable quality control edits. The contractor shall assist with the planning, design, development, and integration of business and functional systems in support of Treasury operations. Upon system deployment, the contractor shall assist with regular review and planned/ad-hoc system upgrades as needed.

Services may include, but are not limited to:

1. Planning, initiating, developing system concepts, analyzing requirements, and designing of systems and strategic initiatives, including system(s) of record.

2. Establishing appropriate systems governance disciplines required to successfully implement and maintain system-related projects.

3. Providing advice on implementation and operation of governance and reporting tools.

4. Designing of application review and maintenance plans for operational systems.

5. Supporting system upgrades.

6. Developing and socializing system requirements and life-cycle planning documentation.

7. Developing, integrating, testing, implementing, operating, maintaining, disposing, and training of applications, including developing the related documentation covering the entire life-cycle of each system.

8. Confirming development, planning, and implementation of data migrations.

9. Verifying systems perform according to requirements, ensuring that systems, as developed, achieve unqualified statement of assurance.

10. Managing and monitoring system testing programs.

Category: Credit Reform – Modeling and Independent Verification and Validation (IV&V)

This category involves supporting management by a) providing modeling support, and financial and statistical analysis of equity, direct loan, and loan guaranty programs; b) developing, enhancing and maintaining complex forecasting cost models; and, c) performing IV&V reviews of financial and econometric models. The Contractor shall assist management with a) forecasting future cash flows of complex equity, direct loan, and loan guaranty programs; and, b) computing the fair market value of equity investments. Services may include, but are not limited to:

1. Maintaining existing re-estimate models for all programs that accurately reflect the core program terms and characteristics, and incorporate appropriate industry standard practices.

2. Ensuring cash flow models continue to meet all Federal Credit Reform Act (FCRA) requirements, Office of Management and Budget (OMB) directives, and Federal Accounting Standards Advisory Board (FASAB) standards, statements, technical releases, and other requirements.

3. Maintaining and enhancing documentation of models developed, including the overall subsidy cost model process.

4. Providing formulation estimates for new loan and equity programs in a constantly changing environment.

5. Incorporating analysis capabilities, validation diagnostics, and automation of the existing models and processes.

6. Developing new models based on program requirements.

7. Collecting data, and performance and/or benefit analyses.

8. Maintaining and enhancing 10-year forecasts for the programs, including automating and updating of the plans.

9. Processing data and updating tables for loan/investment performance web sites.

10. Performing a sensitivity analysis and testing of the models.

11. Documenting approaches and findings used in the modeling efforts.

12. Designing the automation of projected versus actual performance analyses.

13. Automating other inputs and outputs, including use of loan/firm level data, used in the modeling process.

14. Documenting and/or reviewing modeling related activities.

15. Performing ad hoc analyses for loan and equity program related projects that relate to the credit reform modeling process or some other aspect of Treasury’s loan and equity programs.

16. Performing intensive reviews, currently using SAS code.

17. Reviewing and validating the code used to extract/prepare data.

18. Reviewing and validating the calculations/projections.

19. Reviewing the process(es) for generating cash flow outputs.

20. Reviewing the model interfaces.

21. Comparing generated cash flows and subsidy rates to cash flows generated by the reviewer.

Category: Accounting

This category involves supporting management and staff in recording, reconciling, and reporting financial transactions in conformance with generally accepted accounting principles. The requirements address the provisions of providing accounting support and assistance to achieve and maintain an unqualified financial statement audit opinion surrounding activities such as: a) credit reform accounting and modeling; b) budgeting; c) internal accounting controls; and

d) accounting considerations for financial institutions. Services may include, but are not limited to:

1. Enhancing Treasury’s credit reform accounting approach (e.g. definition of cohorts, risk categories, etc.).

2. Identifying prototype accounting entries for categories of credit reform accounting (e.g.

equities) for transactions, both at origination and on an ongoing basis.

3. Providing guidance regarding the accounting for Treasury investments in mortgage backed securities, whole loans, and other assets acquired by the Treasury.

4. Identifying and performing transaction level and summary level reconciliations between the general ledger (both proprietary and budgetary accounts), and related subsidiary systems and funding processes, including risk weighted assets, cash, preferred stock, warrants, strike price, etc.

5. Identifying and performing budgetary activities, including those required for the President’s Budget submission, the Federal Credit Supplement, and the mid-session review, and other budgetary analyses.

6. Training staff on accounting practices/activities.

7. Analyzing and reviewing accounting journal entries.

8. Assisting with issues related to the:

pronouncements of related accounting activities and the application regarding the impact to the accounting treatment by financial institutions (including broker-dealers, commercial banks, credit unions, thrifts, insurance companies, etc) of their ownership of a variety of potential types of troubled assets.

implications of a wide variety of troubled assets on the capital position of selling financial institutions, as well as the capital impacts on financial institutions who do not participate in the sale and the broader market.

approaches to mitigating unintended consequences on participating financial institutions and non-participating third parties.

aspects of repurchasing investments made by the Treasury.

Category: Program Compliance

This category involves supporting management in the areas of designing, implementing, maintaining, and executing a robust compliance management regime in support Treasury programs and processes. Contractor shall provide overall support to ensure compliance with applicable laws, regulations, legal agreements, and business documents. Services may include, but are not limited to:

1. Advising, designing, developing, and/or enhancing:

a. Approaches, methodologies, tools (e.g., forensics), techniques, and reporting

b. Approaches to identifying and monitoring program regulatory requirements and mitigating program risks - including fraud, waste, and abuse

c. Manual and automated processes and controls associated with agreed upon approaches and methodologies, and providing recommendations to enhance activities

d. Business and functional system specifications for identified automated processes and controls

e. System applications, algorithms, models (including but not limited to trading and financial), and databases

2. Implementing, executing, and performing compliance activities in support of approaches and regimes for program recipients, agents, contractors, or other identified third parties including:

a. Risk assessments to alleviate fraud, waste, and abuse and otherwise improve processes

b. Internal control reviews and assessments, and identification of improvements

c. Audit and/or review services (e.g., financial and information technology)

d. Forensic analysis

e. Program guidelines assessments

f. Process and controls assessments

g. Information technology and model evaluations

h. Collecting data from multiple constituents as needed by program regimes or in support of other compliance activities

i. Running algorithms, models, and analyzing data

j. Performing surveillance activities

k. Providing data, data extracts, reconciliations, analysis, and reporting as required

3. Advising, designing, developing, executing, monitoring, assessing, and reporting on internal governance and processes including:

a. Internal reviews

b. Risk assessments

c. Resolutions of findings and recommendations

Category: Internal Controls

This category involves supporting management and staff with: a) developing and sustaining a robust internal control program; b) maintaining/achieving unqualified statements of assurance of internal control processes; c) responding to internal and external auditor, reviewer, and oversight bodies; d) providing recommendations specific to enhancing internal controls; e) developing frameworks and plans to identify, document, test, and amend controls; f) identifying, managing, and mitigating risks; and g) managing asset-related activities. Services may include, but are not limited to:

1. Designing and instituting a governance model for management control procedures.

2. Assisting with and assuring that programmatic and administrative areas of responsibility adhere to the management and reportings requirements covered in the Office of Management and Budget (OMB) Circulars, such as, but not limited to, A-123, A-127, and A-130; Treasury Directives; Executive Orders; General Accountability Office (GAO), and other internal control requirements.

3. Documenting and updating process flows; narrative descriptions; and risk and control matrices.

4. Defining roles and responsibilities of business owners responsible for carrying out control activities.

5. Documenting and updating control points within technical and operational functions and processes; assessing the effectiveness of internal controls; and providing recommendations to strengthen and enhance technical and operational activities and programs.

6. Identifying, documenting, and addressing control gaps.

7. Evaluating program required reports to determine if established controls are sufficient and make recommendations where deficiencies are identified.

8. Evaluating the effectiveness of technical, program, and administrative controls, including, but not limited to, the valuation models used in performing credit reform accounting, the asset related activities, etc..

• Providing technical advice on matters and/or material weaknesses.

• Developing and monitoring corrective action and remediation plans.

• Developing test plans and in carrying out the internal control testing of processes and functions to assistant management with developing conclusions and making a reasonable assurance that/of:

a. core financial systems meet applicable requirements to support management decisions by providing timely and reliable data;

b. proper information security controls are in place that are proportionate with the risk and potential harm of not having such controls;

c. resource use is consistent with laws, regulations, and policies; and that resources are safeguarded against waste, loss, and misuse;

d. reliable data are obtained, maintained, and disclosed in applicable reports; and,

e. the adequacy of internal controls in program and operational processes and functions.

• Assisting management with asset acquisition, management/maintenance, and disposition activities, including, but not limited to;

a. automating control processes and transitioning to electronic storage media.

b. performing real-time monitoring of transactions, and assembling control evidence and preparing documents for audit readiness.

c. leveraging process enhancements for future transactions.

Category: Document Management

This category requires expertise in the area of assisting with managing routine office operations and providing assistance in various program areas. This may require document management activities such as, but not limited to, correspondence tracking; processing Freedom of Information Act (FOIA) cases; researching relevant policies and laws as it relates to FOIA;

familiarity with records management policies and procedures according to the National Archives and Records Administration (NARA); scanning of case files; organizing completed case materials according to filing procedures; preparation of draft materials such as letters, memorandums, forms, etc.; maintaining calendar events by sending out invitations or scheduling meeting; and preparing presentation materials for briefings. Services may include, but are not limited to:

1. Processing FOIA cases

2. Establishing guideline procedures for filing correspondence according to NARA for records management

3. Establishing disposition of records

4. Scanning documents such as, but not limited to, FOIA cases, application files, and other office documents

5. Filing documents

6. Organizing office files

7. Preparing progress reports

8. Developing and maintaining scanning log of all documents

9. Reviewing, logging, and tracking correspondence

C.5 INFORMATION COMMON TO ALL TASK AREAS

All deliverables must comply with all applicable laws and regulations. Without limiting the generality of the foregoing, all deliverables hereunder shall fully comply with the terms, conditions, and requirements of the EESA.

Program Management

Contractors shall provide program management related activities to include:

1. Quality control of services and deliverables

2. Project planning, implementation, and reporting

3. Work planning and scheduling

4. Detailed invoicing with costs broken down by the work stream, subwork stream, and/or business owner level

5. Regular meetings with business owner staff and the Contracting Officer Technical representative (COTR) to discuss contract issues and the status of the work streams and documentation and minutes of key discussion points/decisions

6. Maintenance of project management-related documents in a shared repository

7. Management of contractor and subcontractor on-boarding and exiting processes based on

Treasury procedures, including any required background investigations

8. Transition planning

C.6 GOVERNMENT FURNISHED PROPERTY

Before issuing a request for task order proposal, the government will make the determination as to whether it will provide materials, equipment, support, software, computer time, and facilities to fulfill the terms and conditions of the task order. The Contractor shall provide all the necessary facilities, equipment, and services not otherwise provided by the Government as Government Furnished Property (GFP), as needed to support Treasury in the execution of the requirements contained in this Statement of Work.

SECTION D -- PACKAGING & MARKING

D.1 PAYMENT OF POSTAGE & FEES

All postage and fees related to submitting information, including forms, reports, submittals, etc., to the Contracting Officer (CO) or the Contracting Officer's Technical Representative (COTR) shall be paid by the Contractor.

D.2 PACKAGING & MARKING

a) All information submitted to the CO or the COTR shall clearly indicate the contract number and/or task order number for which the information is being submitted.

b) All containers shall be plainly marked on or adjacent to the exterior shipping label to show the contract number, task order number (if any), description of contents, and contractor's name.

SECTION E -- INSPECTION & ACCEPTANCE

E.1 INSPECTION AND ACCEPTANCE CRITERIA

a. Final inspection and acceptance of all work, performance, reports and other deliverables under this contract shall be performed at the location specified in individual task orders. Each order will also designate the individual responsible for inspection and acceptance.

b. The basis for acceptance shall be in compliance with the requirements set forth in the orders and other terms and conditions of the contract. Deliverable items rejected under resulting task shall be corrected in accordance with the applicable clauses.

E.2 FAR 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 CO will make their full text available. In addition, the full text of a clause may be accessed electronically at http://www.arnet.gov.

CLAUSE TITLE AND DATE

52.246-4 Inspection of Services—Fixed-Price (AUG 1996) 52.246-6 Inspection – Time-and-Material & Labor-Hour (MAY 2001)

SECTION F -- DELIVERIES OR PERFORMANCE

F.1 TERM OF THE CONTRACT

The base period of the contract shall be from date of award through twelve months. Four one-year option periods may be exercised by the Government.

F.2 CONTRACT DELIVERABLES

Contract Level Deliverables:

- Monthly Contract Status Report. The Contractor shall report each month, current with submission of its invoice, the status for all task orders as of the end of the previous month:

• Hours and dollars spent, including cumulative totals of each and a forecast of future costs through the next month and total cost at completion;

• Current contractor personnel engaged, including management of contractor and subcontractor on-boarding and exiting processes based on Treasury procedures, including any required background investigations; and:

• Subcontracts, including socioeconomic category of subcontractor and dollar value;

• Any contract issues; and

• Monthly transactions and accomplishments.

See Attachment J-9 – Contract Status Report

- Status of Mitigation Plan. In accordance with Section H.7 and 31 C.F.R. Part 31, the Contractor shall provide documentation related to conflicts of interest throughout the term of the contract.

- Subcontract Consent. In accordance with FAR clause 52.244-2 “Subcontracts (June 2007)” within Section I of this solicitation, the Contractor shall obtain Treasury’s written consent in advance for any proposed cost reimbursement, time and materials, or labor hour subcontracts, and for any proposed fixed-price subcontracts that would exceed $100,000 or 5% of the total value of a task order.

- Future Deliverables. All other future deliverables will be in accordance with the scope of work discussed above and will be identified in any resulting task orders issued against the ID/IQ contract.

F.3 FAR 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 CO will make their full text available. In addition, the full text of a clause may be accessed electronically at http://www.arnet.gov.

CLAUSE TITLE AND DATE

52.242-15 Stop-Work Order (AUG 1989)

SECTION G -- CONTRACT ADMINISTRATION DATA

G.1 CONTRACTOR’S PROPOSAL

The Contractor’s proposal, or portions thereof, may be incorporated into the contract at the discretion of the Contracting Officer.

G.2 ORDER PRICING

The Treasury will order work within the scope of this contract on a Fixed Price, Time and Materials, or Labor Hour basis, as specified in individual Task Orders.

G.2.1 OTHER DIRECT COSTS (TIME AND MATERIALS TASK ORDERS ONLY)

For task orders priced on a Time and Materials basis, the Contractor will be reimbursed only for the types of disbursements, expenses and charges as designated in each task order. Moreover, any reimbursement will be limited to actual costs incurred by the Contractor that are necessary to effect the services under this contract and that are not accounted for as overhead costs in the Contractor’s fixed labor rates. All invoices shall be fully documented by including receipts evidencing payment by the contractor and shall identify the action with which the expenditure is connected.

Treasury will not reimburse:

• Word processing charges;

• Overtime charges;

• Secretarial/clerical charges, except with regard to labor hour charges for hours performed under the appropriate labor category in the contract;

• Fax communication charges (except long distance telephone charges);

• Local travel costs, including car service;

• Local telephone charges;

• Local meal costs;

• Entertainment expenses;

• Books or subscription charges;

• Membership fees;

• Costs of office supplies;

• Storage charges; or

• Costs associated with a lease or purchase of equipment or office space.

G.3 KEY PERSONNEL

The Contractor shall list below the name(s) of the person(s) who will be assigned the responsibility for success of the work product(s). The individual(s) named shall be recommended by the Contractor in its proposal and subject to discussions and agreement by the Government prior to award. These individual(s) shall be in responsible positions so as to allocate and control personnel. The below listed individual(s) are designated as “Key Personnel”:

Employee Name Labor Category

(a) The individuals named as Key Personnel shall be recommended by the Contractor in its Task Order proposal and subject to approval by the Government prior to award. These individuals shall be in responsible positions so as to allocate and control personnel.

(b) The Contractor shall identify and propose critical or senior-level Contractor staff assigned to each Task Order.

(c) For planned Key Personnel replacements, the Contractor shall provide the Government with a minimum of 30 calendar days advance notice. Substitutions or additions to approved key personnel under this BPA shall not be accepted unless specifically approved in writing by the Contracting Officer or a Contracting Officer Technical Representative. Any substitutions and/or additions shall be subject to the terms and conditions of this clause.

(d) All notification requests for substitutions and additions must provide a justification and detailed explanation of the circumstances necessitating the proposed substitution or addition, a complete resume for the proposed substitute or addition, and any other information requested by the Contracting Officer needed to approve or disapprove the request. Resumes submitted shall identify the education and experience of the Key Personnel candidate(s) relative to the contract position proposed. At a minimum, resumes shall include the name of the candidate, contract position and labor category level proposed, experience, education, and citizenship status. All proposed substitutes and additions must have qualifications equal to or better than the person to be replaced.

(e) The Contracting Officer or his authorized representative will evaluate such requests and promptly notify the contractor of the approval or disapproval thereof.

G.4 DTAR 1052.201-70 CONTRACTING OFFICER'S TECHNICAL

REPRESENTATIVE (COTR) DESIGNATION AND AUTHORITY (MAR 2002)

(a) The Contracting Officer's Technical Representative/Project Officer is:

To be provided at time of contract award.

(b) Performance of work under this contract must be subject to the technical direction of the COTR identified above, or a representative designated in writing. The term ″technical direction" includes, without limitation, direction to the contractor that directs or redirects the labor effort, shifts the work between work areas or locations, fills in details and otherwise serves to ensure that tasks outlined in the work statement are accomplished satisfactorily.

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

COTR does not have authority to issue technical direction that:

(1) constitutes a change of assignment or additional work outside the specification(s)/work statement;

(2) constitutes a change as defined in the clause entitled ″Changes";

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

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

(5) interferes with the contractor's right to perform under the terms and conditions of the contract; or

(6) directs, supervises or otherwise controls the actions of the contractor's employees.

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

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

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

G.5 ORDERING PROCEDURES

Work will commence under this contract only through the issuance of task orders. Subject to the exceptions set forth at FAR 16.505(b)(2), task orders over $3,000.00 will be issued in compliance with the Fair Opportunity Procedures in FAR 16.505(b)(1), and in accordance with the procedures outlined in this section.

Treasury anticipates awarding two or more contracts to qualified small businesses in response to this solicitation. These small businesses will be considered as part of the fair opportunity process as required by the Small Business Act and FAR Subpart 19.5. Should two or more small businesses receive base contract awards, the "rule of two" will apply. This rule will govern whether task order requirements are set-aside for small businesses. A task order will be set-aside for small business if the Contracting Officer (CO) determines that there is a reasonable expectation that (1) offers to perform a specific task order will be received from two or more small businesses that demonstrate sufficient expertise to successfully perform the work required and do not appear, based on proposals received in response to this RFP or other information received from the contractor, to have a conflict of interest, and (2) award will be made at a fair market price. The CO will utilize all available information in making the set-aside determination, including the proposals submitted by small businesses in response to this RFP.

Should the CO determine that further information is necessary, capability statements may be requested from small businesses who hold contracts.

The following ordering process will be used to issue task orders:

• For all task orders with an estimated value of over $3,000.00, the CO will apply the "rule of two" and determine whether the task order should be set aside for small business.

• The CO, in consultation with technical evaluator(s), will review the contract technical proposals that were submitted in response to this RFP and any subsequent information submitted from contractors and identify the firms that have expertise in the area(s) relevant to the task order requirement.

• The CO, in consultation with Conflicts of Interest evaluator(s), will review all available conflict of interest information concerning the identified firms and will eliminate those that have conflicts that would prevent or significantly hinder task order performance.

The CO may at any time request from a contractor information concerning conflicts of interest, regardless of whether an RFQ has been or will be issued for a specific requirement.

• The CO will calculate an evaluated price for each of the remaining firms by applying the each contractor’s established labor rates to the estimated hours required for the task order.

• Depending on the nature and urgency of the task order requirement, the CO may: (a) negotiate a task order with the identified firm with the lowest evaluated price, or (b) issue an RFQ to two or more identified firms with the lowest evaluated prices, seeking additional technical information and any proposed price discounts as well as specifying any additional evaluation criteria.

This ordering process is designed to provide Treasury with the ability to issue task orders to the most highly qualified firms with the highest possible efficiency, while complying with small business requirements and fair opportunity procedures. The CO will make use of the information submitted in response to this RFP, information learned throughout life of the contract, and information submitted to the CO by contractors. The CO may, in the CO’s sole discretion, request additional information from contractors or issue an RFQ as discussed above.

Contractors are encouraged to regularly provide updated information about their capabilities, conflicts of interest, and discounts offered (if the firm desires to further discount their rates from what is in their contract) in order to maximize Treasury’s consideration of such firms.

Nothing in these ordering procedures shall limit the ability of Treasury to issue task orders directly to a firm should one of the statutory exceptions to the fair opportunity process apply.

These exceptions can be found in FAR 16.505(b)(2).

In accordance with 41 U.S.C. § 253j and FAR 16.505(b)(5), Treasury has designated the following “Task and Delivery Order Ombudsman” to review any concerns or complaints raised by contractors about the fair opportunity process under this procurement:

Thomas A. Sharpe, Jr.

Senior Procurement Executive Office of the Procurement Executive

G.6 CONTENTS OF TASK ORDERS

Government awarded Task Orders (TO) will include the following (as applicable):

(a) Contract and Task Order Number;

(b) Responsible Treasury Organization for the TO and TO Point of Contact’s e-mail address and phone number;

(c) Government officials’ (e.g., cognizant CO and TO COTR) contact information;

(d) Total TO Price (and identify funding by increment or fully funded);

(e) Obligated funding amount(s) and applicable Accounting Codes(s);

(f) TO resources table (including labor categories, fully loaded labor rates, number of labor hours, and total labor cost);

(g) Period of performance;

(h) Place of Performance;

(i) Performance Work Statement (PWS) or Statement of Work (SOW) with deliverables;

(j) Applicable performance and performance metrics detail;

(k) Special Requirements/Relevant Information (e.g., waivers);

(l) Government‐furnished Property, if any, to be furnished to the contractor;

(m) TO work schedule as applicable;

(n) Key/essential TO personnel; and/or

(o) Payment Office information.

G.7 INVOICING AND PAYMENT INSTRUCTIONS

(a) Invoices shall be submitted electronically to the following address:

VendorPay@do.treas.gov.

(b) A copy of the invoice shall also be submitted to the COTR and CO simultaneously.

(c) Submission of proper invoices shall be rendered on a percentage complete basis in an amount equal to the value of the work performed.

(d) Each invoice submitted shall be supported by appropriate documentation.

Documentation necessary to substantiate an invoice shall include, but is not limited to, project name and number, invoice number, percentage complete, original contract amount, modification amounts, retainage amount and percent cumulative, labor categories, labor hours worked per labor category, labor rate, value of work in place, contractor's name, and contract number. Such documentation shall meet the approval of the Contracting Officer.

SECTION H -- SPECIAL CONTRACT REQUIREMENTS

H.1 CONTRACTOR PERSONNEL BACKGROUND INVESTIGATIONS

The Contractor shall ensure that all applicable personnel working on this contract, including subcontractors, meet the following security requirements for contractors to protect against unauthorized disclosure of Sensitive But Unclassified (SBU) data. SBU data includes, but is not limited to, information that is protected from disclosure by the Privacy Act, 5 U.S.C. § 552a.

(1) All applicable personnel shall be United States citizens or have lawful permanent resident status.

(2) All applicable personnel shall be subject to a National Agency Check, Law and

Credit (NACLC) investigation in accordance with the Department of the Treasury Security Manual (TD P 15-71). Applicable personnel shall not begin working on this requirement until all security forms have been properly completed and submitted to the Contracting Officer’s Technical Representative for processing, unless otherwise specified by the Contracting Officer. The forms are as follows:

(a) Completed fingerprint cards

(b) Fair Credit Reporting Act Release

(c) SF 85-P, “Questionnaire for Public Trust Positions”

(3) Applicable personnel shall wear Treasury issued identification badges when working in Government facilities.

(4) Applicable personnel who undergo NACLC investigations that reveal, but are not limited to, the following may be unacceptable under this contract: conviction of a felony, a crime of violence or a serious misdemeanor; a record of arrests for continuing offenses; or failure to file or pay Federal income tax. The Government reserves the right to determine if a Contractor employee assigned to a task shall continue with the task. The Contractor shall agree to remove the person assigned within one day of official notification by the Government and provide a replacement within five days. New hires or substitutions of personnel are subject to the NACLC investigation requirement.

Certain information collected under this contract shall be considered procurement sensitive. Contractor staff must be a United States citizen or possess alien status in the United States and be able to pass a Government background investigation, if required, by the Department of the Treasury.

During the period of this contract, access to Department of the Treasury facilities for Contractor representatives shall be granted as deemed necessary by the Government. All contractor employees whose duties under this contract require their presence at any Treasury, or Treasury Bureau facility shall be clearly identifiable by a distinctive badge furnished by the Government. In addition, corporate identification badges shall be worn on the outer garment at all times. It is the sole responsibility of the Contractor to provide this corporate identification. Upon the termination of the employment of any contractor personnel working on this task, all government furnished identification shall be returned to the issuing office. All on-site contractor personnel shall abide by security regulations applicable to that site.

The contractor may be requested to sign a non-disclosure agreement regarding all deliverables and other pertinent information relative to this requirement. All information provided by the government shall be returned to the government at the conclusion of this contract. In addition the contractor must have provided the personnel associated with this contract, all security awareness training and all other requirements contained in the FISMA regulations, NIST guidelines and all other public law which shall include those requirements of the Federal Acquisition Regulation (FAR). Classified information will NOT be made available to the contractor.

H.2 PERSONAL IDENTITY VERIFICATION OF CONTRACTOR PERSONNEL

(OCTOBER 2005)

The Contractor shall comply with Treasury and Bureau personal identity verification procedures that implement HSPD-12, OMB guidance memorandum M-05-24 and FIPS Pub 201.

The Contractor shall insert this provision in all subcontracts when the subcontractor is required to have physical access to a Federally controlled facility or access to a Federal information system.

H.3 NON-DISCLOSURE

The Contractor recognizes that, in performing this contract, the Contractor may obtain access to non-public information that is confidential or proprietary in nature. Except as permitted by the contract, the Contractor agrees that it, its employees, its subcontractors, and its subcontractors’ employees (“Contractor”) will not disclose to any third party, or otherwise use, any information it obtains or prepares in the course of performance of the contract or task order for any purpose other than to perform work under the contract without first receiving written permission from the Contracting Officer. The Contractor shall secure information received from or prepared or gathered for the Treasury Department (Treasury) under this contract in a secure location with access limited to only those personnel with a “need to know.” Notwithstanding any other language contained herein, the Contractor shall comply with 31 C.F.R. § 31.217, including the requirement that the Contractor obtain a certification from each “management official” and “key individual” performing work under the contract or task order, as those terms are defined in 31 C.F.R. § 31.201, stating that he or she will comply with the requirements of section 31.217(b).

The Contractor shall obtain such certifications from management officials and key individuals before they perform work under the contract and then annually thereafter.

H.4 KEY PERSONNEL

During the contract performance period, any substitution or replacement of key personnel must first be proposed by the Contractor and authorized by the Contracting Officer.

H.5 COOPERATION WITH OTHER ORGANIZATIONS

The Contractor agrees to cooperate with representatives of other contractors, Federal Reserve Banks, Federal agencies, governmental entities, and other organizations when the Treasury determines it to be in the best interest of the Government.

H.6 LABOR RATES

Labor provided under this contract and its task orders shall be billed at the same or lower labor rates and shall use the same labor categories provided in each Contractor’s proposal as set forth in the Labor Rate Table. Labor rates billed by a contractor under this contract may not exceed those set forth in its Labor Rate Table.

H.7 CONFLICTS OF INTEREST

1. The Treasury HAS NOT WAIVED any potential conflicts of interest as defined by the Federal Acquisition Regulation (FAR) or 31 C.F.R. Part 31. Further, the Contractor agrees that its relationship with the Treasury will be governed by the FAR, 31 C.F.R. Part 31, and this contract. The Contractor agrees to negotiate in good faith concerning the inclusion of any different or additional conflict of interest policies and procedures that may be issued by the Treasury pursuant to Section 108(b) of the Emergency Economic Stabilization Act of 2008.

2. Prior to work being performed under any new task order, the Contractor shall prepare a detailed written explanation of all actual conflicts, potential conflicts, or matters that may present the appearance of a conflict under the FAR or 31 C.F.R. Part 31, and shall provide a detailed written plan explaining any and all steps the Contractor will undertake to avoid or mitigate such conflicts. The Contractor’s disclosure submission shall include but is not limited to the information specified in 31 C.F.R. § 31.211(b)(1) – (b)(6), and shall include at a minimum the following:

a) The Contractor and any proposed or actual subcontractor’s or consultant’s relationship to any related entities as such term is defined in 31 C.F.R. § 31.201;

b) The categories of troubled assets owned or controlled by the Contractor including any proposed or actual subcontractor or consultant, or any related entity of the Contractor, if the arrangement relates to the acquisition, valuation, disposition, or management of troubled assets;

c) Information…