UCE RFI SOW DRAFT - Final.pdf
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- Solicitation number
- 2031JW24N00003
About this file
This document is a draft Statement of Work (SOW) for a Uniform Commission Examination (UCE) Validation services requirement by the Office of the Comptroller of the Currency (OCC), a bureau of the Department of the Treasury.
The purpose of this requirement is to acquire services to validate the UCE, which is the certification program that assesses competencies for bank examiners to be commissioned as National Bank Examiners (NBEs). The contractor will be responsible for providing a comprehensive validation analysis report, including professional advice and recommendations on the validity of the UCE. The SOW outlines the contractor's responsibilities, which include reviewing the competency model, providing progress reports, and facilitating validation analysis sessions. The deliverables include a preliminary validation analysis report, a final validation analysis report, and facilitation sessions. The work is to be performed at the contractor's facility, with meetings held at the OCC's location in Washington, D.C. The period of performance is 12 months, with an optional 26-month extension. This is a special notice to obtain industry feedback on the draft SOW and potential solutions for this requirement.
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SPECIFICATION / STATEMENT OF WORK STATEMENT
1.0 BACKGROUND
The Office of the Comptroller of the Currency (OCC) is a Bureau of the Department of the Treasury responsible for ensuring that national banks and federal savings associations operate in a safe and sound manner, provide fair access to financial services, treat customers fairly, and comply with applicable laws and regulations.
2.0 PURPOSE
The purpose of this requirement is to acquire Uniform Commission Examination (UCE) Validation services. The OCC’s regulatory responsibility is discharged through formulation of a flexible banking regulatory structure and examination process. A work force of approximately 3,500 is employed with roughly 64% being in the Financial Institutions Examiner occupation within OCC, employees in this occupation are called Bank Examiners (BE), Associate and Assistant National Bank Examiners (ANBE), and National Bank Examiners (NBE).
3.0 SCOPE OF WORK
The OCC started a project in 2022 to evaluate and modernize the UCE, the certification program that validates that an examiner exhibits the competencies necessary to be commissioned as an NBE. The OCC is seeking expert assistance to perform a validation analysis and confirm that the credentialing process can be effectively executed without bias.
Validation is a necessary step in upholding the rigorous standards required to administer the UCE and validating that design and delivery are fair and reflective of the qualification that the commission signifies.
The Generalist UCE is a several part certification test to assess the candidate’s knowledge of federal banking law, banking and OCC operations, financial performance, and application of risk assessment and rating criteria for regulated institutions. The parts are comprised of multiple-choice tests, and simulation exercises.
This expert assistance must be provided by a third party that has experience with the commissioning, certification, or credentialing processes of federal regulatory agencies.
The contractor will work closely with an internal validation committee(s) comprised of Subject Matter Experts to provide the following:
3.1 CONTRACTOR RESPONSIBILITY:
Base Line Items (twelve (12) month period of performance)
The contractor shall use relevant results from the competency model for commissioning track examiners (2021 update) to confirm current job analysis for newly commissioned NBEs.
The contractor will be responsible for providing a comprehensive report that includes the contractor’s professional advice, guidance and recommendations as to the validity of the UCE.
The contractor will be responsible for providing a comprehensive report that includes the contractor’s professional advice, guidance and recommendations as to the validity of the UCE.
Optional Line Items (twenty-six (26) month period of performance)
The contractor will be responsible for reviewing and advising as to the limitations of reasonable accommodations for individuals with disabilities that can be granted without threating the validity of the UCE.
After completion of the one-year period of performance to complete validation, the contractor will consult with the Agency on the new process and aid in the continued successful performance of the UCE.
3.2 CONTRACTOR DELIVERABLES
3.2.1 Periodic Progress Reports: Once the team has begun conducting validation services, the Contractor must provide written monthly progress reports to the Point of Contact/Contracting Officer Representative (POC/COR) documenting the status of the validation analysis.
3.2.2 Preliminary Validation Analysis Report: The Contractor shall provide three (3) written copies (one original, two copies) of the preliminary findings of validation analysis to the POC/COR. The POC/COR and validation team will review the draft report. The POC/COR will notify the contractor, in writing, of any revisions to the preliminary findings.
3.2.3 Final Validation Analysis Report: The Contractor shall provide three (3) written copies (one original, two copies) of the final validation analysis report, which incorporates results of the feedback by OCC POC/COR from the review of the preliminary findings.
3.2.4 Facilitation Session: If the OCC POC/COR identify significant findings from the final report that needs to be incorporated into the validation analysis, the Contractor must meet with OCC POC/COR to discuss a strategy detail at OCC headquarters, located in Washington, DC or the specified location.
4.0 DELIVERABLES
The following deliverables apply to this contract and are considered important to the successful completion of the project.
Item
No.
SOW
Section
Deliverables (D) Schedule
1 3.2.1 Contractor submits Monthly Progress Reports/s
Every 30 days during the POP
2 3.2.2 Contractor submits Preliminary Analysis Report
Within 120 days after award
3 3.2.2 COR submits Comments on Preliminary Validation Analysis Report
Within 20 days of receipt of report
4 3.2.2 Contractor submits final Preliminary Validation Analysis Report
Within 15 days of receipt of comments
5 3.2.3 COR Comments on Final Report Within 20 days after COR comments
6 3.2.3 COR and Validation Team Meeting Within 20 days of receipt of final report
7 3.2.3
Contractor submits final Validation Analysis Report
Within 45 days of receipt of POC/COR Comments
8 3.2.4 Facilitation Validation Analysis Session Within 30 days of receipt of the final report.
5.0 SERVICE LOCATION
Work shall be performed at the Contractor facility. Meetings will be held with the OCC team and subject matter experts at the location below:
Constitution Center Office of Comptroller of Currency (OCC) 400 7th Street SW Washington, D.C 20219
5.1 HOURS OF OPERATIONS
The OCC requires that work under this agreement shall be performed during business hours Monday - Friday 8:00am – 5:00pm excluding observed holidays.
The OCC observes the following Holidays:
New Year’s Day Labor Day Martin Luther King Jr. Columbus Day Washington’s Day Veterans Day Memorial Day Thanksgiving Day
Juneteenth National Independence Day Christmas Day Independence Day
Holidays that fall on Saturday are observed on Friday and holidays that fall on Sunday are observed on Monday.
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