USCA21R0018 10082020.pdf

SOLICITATION/CONTRACT/ORDER

OFFEROR TO COMPLETE BLOCKS 12, 17, 23, 24 & 30

1. REQUISITION NUMBER

5. SOLICITATION NUMBER

USCA21R0018

2. CONTRACT NO. 3. AWARD/EFFECTIVE DATE 4. ORDER NUMBER 6. SOLICITATION ISSUE

DATE

10/08/2020

7. FOR INFORMATION CALL: a. NAME Anita Middleton

b. TELEPHONE NUMBER (No collect calls) 202-502-3832

8. OFFER DUE DATE / LOCAL

TIME

10/21/2020 12:00:00

CODE PMD

Procurement Management Division Administrative Office of the United States Courts One Columbus Circle, N.E.

Suite 3-250 Washington, DC 20544-0001

9. ISSUED BY 10.

NOT USED

SEE

SCHEDULE

11. DELIVERY FOR FOB DESTINATION

UNLESS BLOCK IS MARKED

12. DISCOUNT TERMS 13.

NOT USED RFQ X RFP

14. METHOD OF SOLICITATION

CPMDCODE15. DELIVER TO

Court Personnel Management Division Administrative Office of the United States Courts One Columbus Circle, N.E.

Suite 5-560 Washington, DC 20544-0001

CODE16. ADMINISTERED BY (if other than Block 9)

FACILITY

CODE

CODE

Telephone No.

17a. CONTRACTOR/

OFFEROR

CPMDCODE18a. PAYMENT WILL BE MADE BY Court Personnel Management Division Administrative Office of the United States Courts One Columbus Circle, N.E.

Suite 5-560 Washington, DC 20544-0001

17b. CHECK IF REMITTANCE IS DIFFERENT AND PUT SUCH ADDRESS IN

OFFER

18b. SUBMIT INVOICES TO ADDRESS SHOWN IN BLOCK 18a UNLESS BLOCK BELOW IS

CHECKED

19. ITEM NO. 20. SCHEDULE OF SUPPLIES/SERVICES

(Use Reverse and/or Attach Additional Sheets as Necessary)

21. QUANTITY 22. UNIT 23. UNIT PRICE 24. AMOUNT

See Lines

25. ACCOUNTING AND APPROPRIATION DATA 26. TOTAL AWARD AMOUNT (For Govt. Use Only)

27. Applicable terms and conditions are as stated in the continuation pages.

28. 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 ADDITIONAL SHEETS SUBJECT TO THE

TERMS AND CONDITIONS SPECIFIED.

29. AWARD OF CONTRACT: REF. _____________________________ OFFER

DATED _________________ . YOUR OFFER ON SOLICITATION (BLOCK 5)

INCLUDING ANY ADDITIONS OR CHANGES WHICH ARE SET FORTH HEREIN,

IS ACCEPTED AS TO ITEMS:

30a. SIGNATURE OF OFFEROR/CONTRACTOR 31a. UNITED STATES OF AMERICA (SIGNATURE OF CONTRACTING OFFICER)

30b. NAME AND TITLE OF SIGNER (TYPE OR PRINT) 30c. DATE SIGNED 31b. NAME OF THE CONTRACTING OFFICER (TYPE OR PRINT) 31c. DATE SIGNED

AUTHORIZED FOR LOCAL REPRODUCTION

PREVIOUS EDITION IS NOT USABLE

USCA21R0018 - Page 1 of 29

CPMD210001

19.

ITEM NO.

20.

SCHEDULE OF SUPPLIES/SERVICES

21.

QUANTITY

22.

UNIT

23.

UNIT PRICE

24.

AMOUNT

32a. QUANTITY IN COLUMN 21 HAS BEEN

RECEIVED INSPECTED ACCEPTED, AND CONFORMS TO THE CONTRACT, EXCEPT AS NOTED: _________________________________

32b. SIGNATURE OF AUTHORIZED GOVERNMENT

REPRESENTATIVE

32c. DATE 32d. PRINTED NAME AND TITLE OF AUTHORIZED GOVERNMENT

REPRESENTATIVE

32e. MAILING ADDRESS OF AUTHORIZED GOVERNMENT REPRESENTATIVE 32f. TELEPHONE NUMBER OF AUTHORIZED GOVERNMENT

REPRESENTATIVE

32g. E-MAIL OF AUTHORIZED GOVERNMENT REPRESENTATIVE

PARTIAL FINAL

33. SHIP NUMBER 34. VOUCHER NUMBER 35. AMOUNT VERIFIED

CORRECT FOR

COMPLETE PARTIAL FINAL

36. PAYMENT 37. CHECK NUMBER

38. S/R ACCOUNT NUMBER 39. S/R VOUCHER NUMBER 40. PAID BY

41a. I CERTIFY THIS ACCOUNT IS CORRECT AND PROPER FOR PAYMENT 42a. RECEIVED BY (Print)

41b. SIGNATURE AND TITLE OF CERTIFYING OFFICER 41c. DATE

42b. RECEIVED AT (Location)

42c. DATE REC'D (YY/MM/DD) 42d. TOTAL CONTAINERS

USCA21R0018 - Page 2 of 29

Table of Contents

Section Description Page Number

B Supplies or Services and Prices/Costs C Descriptions/Specifications/Statement of Work

C-1 Statement of Work (SOW) D Packaging and Marking

2-45 Packaging and Marking E Inspection and Acceptance

2-10 Responsibility for Products 2-5B Inspection of Services

F Deliveries or Performance 2-60 Stop-Work Order 7-200 Judiciary Delay of Work

G Contract Administration Data 2-120 Submission of Invoice 3-305 Payment by Electronic Funds Transfer-System for Award Management (SAM) Registration ...17 7-1 Contract Administration 7-10 Contractor Representative 7-5 Contracting Officer's Representative 7-125 Invoices

H Special Contract Requirements 1-1 Employment by the Government 2-65 Key Personnel

I Contract Clauses B-20 Computer Generated Forms 1-5 Conflict of Interest 1-15 Disclosure of Contractor Information to the Public 1-10 Gratuities or Gifts 2-50 Continuity of Services 2-55 Privacy or Security Safeguards 3-25 Protecting the Judiciary's Interest When Subcontracting with Contractors Debarred, Suspended, or Proposed for Debarment 3-35 Covenant Against Contingent Fees 3-40 Restrictions on Subcontractor Sales to the Judiciary 3-45 Anti-Kickback Procedures 3-50 Cancellation, Rescission, and Recovery of Funds for Illegal or Improper Activity 3-55 Price or Fee Adjustment for Illegal or Improper Activity 3-105 Audit and Records 3-120 Order of Precedence 3-205 Protest after Award 3-300 Registration in the System for Award Management (SAM) 7-15 Observance of Regulations/Standards of Conduct 7-20 Security Requirements 7-25 Indemnification 7-30 Public Use of the Name of the Federal Judiciary 7-35 Disclosure or Use of Information 7-40 Judiciary-Contractor Relationships 7-85 Examination of Records 7-100B Limitation of Liability (Services) 7-110 Bankruptcy 7-130 Interest (Prompt Payment) 7-135 Payments 7-140 Discounts for Prompt Payment 7-150 Extras 7-160 Limitation on Withholding of Payments 7-175 Assignment of Claims 7-185 Changes 7-195 Excusable Delays 7-205 Payment for Judiciary Holidays 7-210 Payment for Emergency Closures 7-215 Notification of Ownership Changes 7-220 Termination for Convenience of the Judiciary (Fixed Price) 7-230 Termination for Default - Fixed-Price Products and Services

USCA21R0018 - Page 3 of 29

7-235 Disputes B-5 Clauses Incorporated by Reference 2-90D Option to Extend the Term of the Contract 4-170 Limitation of Judiciary Obligation

J List of Attachments J-1 W2 and 1099 Security Incident Response Plan

K Representations, Certifications and Other Statements of Offerors or Respondents 3-15 Place of Performance 3-5 Taxpayer Identification and Other Offeror Information 3-20 Certification Regarding Debarment, Suspension, Proposed Debarment, and Other Responsibility Matters 3-30 Certificate of Independent Price Determination 3-130 Authorized Negotiators

L Instructions, Conditions and Notices to Offerors or Respondents 3-85 Explanation to Prospective Offerors 3-95 Preparation of Offers 3-100 Instructions to Offerors 3-210 Protests 7-60 Judiciary Furnished Property or Services B-1 Solicitation Provisions Incorporated by Reference 4-1 Type of Contract L-1 Submission of Proposals

M Evaluation Factors for Award 2-85A Evaluation Inclusive of Options 3-70 Determination of Responsibility M-1 Basis for Award

USCA21R0018 - Page 4 of 29

Section B - Supplies or Services and Prices/Costs

CLIN NO. Supplies or Services Quantity Unit of Issue Unit Price Extended Amount

0001 Section C.1, paragraph 10 Deliverables: File Load and Test Files

1 Job

Period of Performance:11/01/2020 - 10/31/2021

CLIN NO. Supplies or Services Quantity Unit of Issue Unit Price Extended Amount

0002 Section C-1, paragraph 10 Deliverables: Printing and Mailing of W-2s Under 5 Separate FEINs (File

One)

37000 Service

Period of Performance:11/01/2020 - 10/31/2021

CLIN NO. Supplies or Services Quantity Unit of Issue Unit Price Extended Amount

0003 Section C-1, paragraph 10 Deliverables: Printing and Mailing of 1099-Rs (File Two)

2000 Service

Period of Performance:11/01/2020 - 10/31/2021

CLIN NO. Supplies or Services Quantity Unit of Issue Unit Price Extended Amount

0004 Section C-1, paragraph 10 Deliverables: Printing and Mailing of 1099-INT (File Three)

2000 Service

Period of Performance:11/01/2020 - 10/31/2021

CLIN NO. Supplies or Services Quantity Unit of Issue Unit Price Extended Amount

0005 Section C-1, paragraph 10 Deliverables: Printing and Mailing of 1099-MISC (File Four)

8000 Service

Period of Performance:11/01/2020 - 10/31/2021

CLIN NO. Supplies or Services Quantity Unit of Issue Unit Price Extended Amount

0006 Section C-1, paragraph 10 Deliverables: Printing 22000 Service

USCA21R0018 - Page 5 of 29 and Mailing of 1099-NEC (File Five)

Period of Performance:11/01/2020 - 10/31/2021

CLIN NO. Supplies or Services Quantity Unit of Issue Unit Price Extended Amount

0007 Section C-1, paragraph 10 Deliverables: Create

Data Files of Mailed Records

1 Job

Period of Performance:11/01/2020 - 10/31/2021

CLIN NO. Supplies or Services Quantity Unit of Issue Unit Price Extended Amount

1001 Section C.1, paragraph 10 Deliverables: File Load and Test Files

1 Job

Period of Performance:11/01/2021 - 10/31/2022

CLIN NO. Supplies or Services Quantity Unit of Issue Unit Price Extended Amount

1002 Section C-1, paragraph 10 Deliverables: Printing and Mailing of W-2s Under 5 Separate FEINs (File

One)

37000 Service

Period of Performance:11/01/2021 - 10/31/2022

CLIN NO. Supplies or Services Quantity Unit of Issue Unit Price Extended Amount

1003 Section C-1, paragraph 10 Deliverables: Printing and Mailing of 1099-Rs (File Two)

2000 Service

Period of Performance:11/01/2021 - 10/31/2022

CLIN NO. Supplies or Services Quantity Unit of Issue Unit Price Extended Amount

1004 Section C-1, paragraph 10 Deliverables: Printing and Mailing of 1099-INT (File Three)

2000 Service

Period of Performance:11/01/2021 - 10/31/2022

USCA21R0018 - Page 6 of 29

1005 Section C-1, paragraph 10 Deliverables: Printing and Mailing of 1099-MISC (File Four)

8000 Service

Period of Performance:11/01/2021 - 10/31/2022

CLIN NO. Supplies or Services Quantity Unit of Issue Unit Price Extended Amount

1006 Section C-1, paragraph 10 Deliverables: Printing and Mailing of 1099-NEC (File Five)

22000 Service

Period of Performance:11/01/2021 - 10/31/2022

CLIN NO. Supplies or Services Quantity Unit of Issue Unit Price Extended Amount

1007 Section C-1, paragraph 10 Deliverables: Create

Data Files of Mailed Records

1 Job

Period of Performance:11/01/2021 - 10/31/2022

CLIN NO. Supplies or Services Quantity Unit of Issue Unit Price Extended Amount

2001 Section C.1, paragraph 10 Deliverables: File Load and Test Files

1 Job

Period of Performance:11/01/2022 - 10/31/2023

CLIN NO. Supplies or Services Quantity Unit of Issue Unit Price Extended Amount

2002 Section C-1, paragraph 10 Deliverables: Printing and Mailing of W-2s Under 5 Separate FEINs (File

One)

37000 Service

Period of Performance:11/01/2022 - 10/31/2023

CLIN NO. Supplies or Services Quantity Unit of Issue Unit Price Extended Amount

2003 Section C-1, paragraph 10 Deliverables: Printing and Mailing of 1099-Rs (File Two)

2000 Service

Period of Performance:11/01/2022 - 10/31/2023

USCA21R0018 - Page 7 of 29

2004 Section C-1, paragraph 10 Deliverables: Printing and Mailing of 1099-INT (File Three)

2000 Service

Period of Performance:11/01/2022 - 10/31/2023

CLIN NO. Supplies or Services Quantity Unit of Issue Unit Price Extended Amount

2005 Section C-1, paragraph 10 Deliverables: Printing and Mailing of 1099-MISC (File Four)

8000 Service

Period of Performance:11/01/2022 - 10/31/2023

CLIN NO. Supplies or Services Quantity Unit of Issue Unit Price Extended Amount

2006 Section C-1, paragraph 10 Deliverables: Printing and Mailing of 1099-NEC (File Five)

22000 Service

Period of Performance:11/01/2022 - 10/31/2023

CLIN NO. Supplies or Services Quantity Unit of Issue Unit Price Extended Amount

2007 Section C-1, paragraph 10 Deliverables: Create

Data Files of Mailed Records

1 Job

Period of Performance:11/01/2022 - 10/31/2023

CLIN NO. Supplies or Services Quantity Unit of Issue Unit Price Extended Amount

3001 Section C.1, paragraph 10 Deliverables: File Load and Test Files

1 Job

Period of Performance:11/01/2023 - 10/31/2024

CLIN NO. Supplies or Services Quantity Unit of Issue Unit Price Extended Amount

3002 Section C-1, paragraph 10 Deliverables: Printing and Mailing of W-2s Under 5 Separate FEINs (File

One)

37000 Service

Period of Performance:11/01/2023 - 11/01/2024

USCA21R0018 - Page 8 of 29

3003 Section C-1, paragraph 10 Deliverables: Printing and Mailing of 1099-Rs (File Two)

2000 Service

Period of Performance:11/01/2023 - 10/31/2024

CLIN NO. Supplies or Services Quantity Unit of Issue Unit Price Extended Amount

3004 Section C-1, paragraph 10 Deliverables: Printing and Mailing of 1099-INT (File Three)

2000 Service

Period of Performance:11/01/2023 - 10/31/2024

CLIN NO. Supplies or Services Quantity Unit of Issue Unit Price Extended Amount

3005 Section C-1, paragraph 10 Deliverables: Printing and Mailing of 1099-MISC (File Four)

8000 Service

Period of Performance:11/01/2023 - 10/31/2024

CLIN NO. Supplies or Services Quantity Unit of Issue Unit Price Extended Amount

3006 Section C-1, paragraph 10 Deliverables: Printing and Mailing of 1099-NEC (File Five)

22000 Service

Period of Performance:11/01/2023 - 10/31/2024

CLIN NO. Supplies or Services Quantity Unit of Issue Unit Price Extended Amount

3007 Section C-1, paragraph 10 Deliverables: Create

Data Files of Mailed Records

1 Job

Period of Performance:11/01/2023 - 10/31/2024

CLIN NO. Supplies or Services Quantity Unit of Issue Unit Price Extended Amount

4001 Section C.1, paragraph 10 Deliverables: File Load and Test Files

1 Job

Period of Performance:11/01/2024 - 10/31/2025

USCA21R0018 - Page 9 of 29

4002 Section C-1, paragraph 10 Deliverables: Printing and Mailing of W-2s Under 5 Separate FEINs (File

One)

37000 Service

Period of Performance:11/01/2024 - 10/31/2025

CLIN NO. Supplies or Services Quantity Unit of Issue Unit Price Extended Amount

4003 Section C-1, paragraph 10 Deliverables: Printing and Mailing of 1099-Rs (File Two)

2000 Service

Period of Performance:11/01/2024 - 10/31/2025

CLIN NO. Supplies or Services Quantity Unit of Issue Unit Price Extended Amount

4004 Section C-1, paragraph 10 Deliverables: Printing and Mailing of 1099-INT (File Three)

2000 Service

Period of Performance:11/01/2023 - 10/31/2024

CLIN NO. Supplies or Services Quantity Unit of Issue Unit Price Extended Amount

4005 Section C-1, paragraph 10 Deliverables: Printing and Mailing of 1099-MISC (File Four)

8000 Service

Period of Performance:11/01/2024 - 10/31/2025

CLIN NO. Supplies or Services Quantity Unit of Issue Unit Price Extended Amount

4006 Section C-1, paragraph 10 Deliverables: Printing and Mailing of 1099-NEC (File Five)

22000 Service

Period of Performance:11/01/2024 - 10/31/2025

CLIN NO. Supplies or Services Quantity Unit of Issue Unit Price Extended Amount

4007 Section C-1, paragraph 10 Deliverables: Create

Data Files of Mailed Records

1 Job

Period of Performance:11/01/2024 - 10/31/2025

USCA21R0018 - Page 10 of 29

Section C - Descriptions/Specifications/Statement of Work

C-1 Statement of Work (SOW)

W-2 and 1099 (R/MISC/NEC/INT) Printing and Mailing Distribution Support

1. Introduction

The Administrative Office of the U.S. Courts (AOUSC) is seeking a contract for a contractor to provided sup-port services for the printing and mailing portion of the following Internal Revenue Service (IRS) information returns:

• W-2, Wage and Tax Statement

• 1099-INT, Interest Income

• 1099-MISC, Miscellaneous Income

• 1099-NEC, Nonemployee Compensation

• 1099-R, Distributions from Pensions, Annuities, Retirement or Profit Sharing Plans, IRAs, Insurance Con-tracts, etc.

The printing and mailing support service will allow the Federal Judiciary to accomplish a core requirement for its annual IRS tax reporting obligations.

This contract will be for printing and mailing services ONLY and DOES NOT contemplate the contractor providing any other tax related services. AOUSC will provide ready to print and mail W-2 and 1099 Portable Document File (PDF) data files to the contractor.

2. Background

The AOUSC’s Human Resources Office (HRO) generates and distributes a W-2 to each eligible active judicial officer and judiciary employee and a 1099-R to each eligible retired judicial officer annuitant and judicial of-ficer survivor annuitant annually. All W-2 and 1099-R forms are generated in the AOUSC’s Human Resources Management Information System (HRMIS). HRO performs this service on behalf of the following Federal Judi-ciary agencies and programs: AOUSC, U.S. court units and Federal Public Defender Organizations (FPDOs), Federal Judicial Center (FJC), United States Sentencing Commission (USSC), and Judicial Retirement and Sur-vivors Annuity System (JRSO).

The AOUSC’s Finance and Accounting Division (FAD) generates and distributes a 1099-INT, 1099-MISC and 1099-NEC to each eligible judiciary vendor and employee annually. All 1099-INT, 1099-MISC and 1099-NEC forms are generated in the Judiciary Integrated Financial Management System (JIFMS), a customized CGI Mo-mentum ® financial software. FAD performs this service on behalf of the following Federal Judiciary agencies:

AOUSC, U.S. court units and FPDOs, FJC, and USSC.

3. Scope of Work

The contractor shall only print and mail paper copies of the W-2, 1099-INT, 1099-MISC, 1099-NEC, and 1099-R forms for calendar years 2020-2024. The forms will be printed on paper from PDF data files provided by HRO and FAD and mailed to the correct recipient as directed by the Judiciary. The contractor must be able to mail W-2 and 1099 forms to addresses in the Continental United States (CONUS), Outside of Continental United States (OCONUS) and foreign countries as directed by the Judiciary. The contractor shall provide AOUSC with electronic copies of all W-2 and 1099 forms mailed to the recipients.

USCA21R0018 - Page 11 of 29

4. Specific Tasks

Each January 15th (or next business day if the 15th falls on a weekend day), the contractor will receive electron-ically transmitted secure data files containing approximately 71,000 information returns from the AOUSC. The information returns must be printed and mailed within SEVEN BUSINESS days after receipt of the electronic file. Note: This schedule may be changed at the AOUSC's discretion due to changes in processing schedules or other (un)planned events.

The contractor will print the information returns and any additional inserts as instructed by the Judiciary. The printed information return and insert, if any, will be folded into a 'Z' fold with the name and address from the in-formation return facing up.

The information return and insert, if any, will be inserted into an approved W-2 or 1099 double window envel-ope, with the words “IMPORTANT TAX DOCUMENT ENCLOSED” clearly showing on the front of the en-velope. The address for each recipient and the AOUSC must be fully visible through the windows in the provided envelope. Each envelope is to be completely sealed after the information return and insert, if any, is placed into the envelope.

Each sealed envelope is to be stamped using the AOUSC's USPS bulk mailing stamp; if not preprinted.

The contractor will batch the sealed and stamped envelopes and deliver them to a USPS facility to be mailed.

There shall be no loss of control over the stuffed envelopes at any time. The batch must remain in the exclusive control of the contractor until it is received by the USPS.

The Contractor shall obtain properly completed and signed Postal Service Form(s) 3606, Certificate of Bulk Mailing – International and 3606-D, Certificate of Bulk Mailing – Domestic and 3606 as proof of delivery to

USPS.

The contractor shall use sanitization and/or destruction methods allowable under the NIST Special Publication 800-88, Guidelines for Media Sanitization (or its successor) to delete and dispose of Judiciary information in their possession once printed, folded, sealed and delivered to USPS. The contractor shall provide procedures to the AOUSC COR on their sanitization/destruction processes.

Upon successfully completing the mailing process with the USPS, the contractor shall confirm completion by emailing the AOUSC COR, within 48 hours, and providing the following information:

• Number of information returns inserted into envelopes.

• Number of envelopes stamped.

• Number of envelopes delivered to USPS categorized by File Types provided in Section C.10.

• Postmaster’s Certification (i.e., Form(s) 3606 and 3606-D).

• Verification that the file was successfully purged from the contractor's systems in accordance with guidance contained in NIST 800.88, Guidelines for Media Sanitation Section 5, Methods for purging data. This veri-fication shall include a description of the data and the asset on which it was stored, the date and method of sanitization/destruction, and the name of the person who purged the data.

5. Contractor Personnel Security – Suitability for Work Requirements

In accordance with Clause 7-20, Security, all contractor staff working in performance of the contract a required to pass a suitability check by the AOUSC's Security Office prior to having access to any work to be performed on this contact.

6. Place of Performance

USCA21R0018 - Page 12 of 29

Primary performance shall be at the Contractor’s facility. All in-person meetings and presentations shall be held at the Thurgood Marshall Federal Judiciary Building located at One Columbus Circle NE Washington DC 20544. All other meetings and presentations may be held via teleconference.

All contract work performed under the contract shall take place inside the contiguous borders of the United States of America (USA). Any work performed outside of the contiguous borders of the USA shall be deemed a breach of contract.

Contractor provided travel is not anticipated and is therefore not authorized in performance of this contract.

7. Period of Performance

The Period of Performance is 12-months from the date of award with the potential for four one-year option peri-ods. Anticipated period of performance dates is:

Base Year – 11/01/2020 through 10/31/2021 Option Year 1 – 11/01/2021 through 10/31/2022 Option Year 2 – 11/01/2022 through 10/31/2023 Option Year 3 – 11/01/2023 through 10/31/2024 Option Year 4 – 11/01/2024 through 10/31/2025

C.8 Reporting

The contractor shall provide all written reports in PDF format. Presentation slides shall be provided in Mi-crosoft Office Power Point. Raw data shall be provided in Microsoft Office Excel.

9. Safeguard of Judiciary Data

In performance of this contract, the Judiciary will provide the contractor with proprietary data that includes Per-sonally Identifiable Information (PII) that is not available to the public. The contractor shall take every precau-tion to safeguard all judiciary provided data and adhere to the following judiciary clauses: 7-20, Security Re-quirements and 7-35, Disclosure or Use of Information.

In no event will the contractor permit any Judiciary data to be accessed, handled, used, processed, or viewed by any individual who has not been properly screened in accordance with clause 7-20, nor shall the contractor per-mit any data to be handled, stored, or processed except in strict adherence to the limitations provided in clause 7-35.

9.1 Information Security

The information contained in the W-2 and 1099 files are considered Judiciary sensitive information that con-tains personally identifiable information (PII) and payee earnings information. The contractor must protect pay-ee information and treat it with the highest of confidentiality. These W-2 and 1099 files shall never be printed or shared with an unauthorized third-party without permission from an authorized official from HRO or FAD.

The contractor shall not use or sell the information for any purpose. Violation of this may lead to criminal pro-secution.

The contractor shall verify that their file transfer and printing systems are secure, properly configured and oper-ating as intended. The contractor must comply with basic agency requirements provided by the Judiciary In-formation Security Framework requirements for Access Control (AC-2 Account Management, AC-3 Access En-forcement, AC-4 Data Flow Enforcement, AC-5 Separation of Duties, AC-6 Least Privilege) and System and Communication Protection (SC-8 Transmission Confidentiality and Integrity, SC-28 Protection of (information at Rest). Media Protection (MP-2 Media Access, MP-3 Media Marking, MP-4 Media Storage, MP-5 Media

USCA21R0018 - Page 13 of 29

Transport MP-6 Media Sanitization). These controls are meant to protect the confidentiality, integrity and avail-ability of judiciary sensitive data both in transit across the network, at rest within electronic storage media and while being handled by contract personnel.

The contractor shall make available their file transfer and printing system for remote AOUSC security testing and inspection by AOUSC's Information Technology Systems Office, at any time. In the event that remote ac-cess is not possible, the contractor must disclose all outstanding system security weaknesses and vulnerabilities to ASO-SDIS and DAS-ITSO prior to the execution of this contract. If security findings are discovered by AOUSC security personnel, then data transmission between systems can be postponed or delayed indefinitely until the risks to the Judiciary data have been mitigated to an acceptable level or remediated.

If the contractor has access to sensitive personally identifiable information (PII), the contractor shall certify that it has a security policy in place that contains procedures to promptly notify any individual whose PII was, or is reasonably believed to have been, breached. Any notification shall be coordinated with the COR, for both meth-od and content of notification, before the notification is released. The contractor assumes full responsibility for taking corrective action, which may include offering credit monitoring when appropriate.

All suspected or confirmed security incidents involving the unauthorized disclosure of W-2 and 1099 informa-tion by the contractor, must be reported immediately to the ASO Incident Response Team at AOml_ASO_Incident_Response@ao.uscourts.gov and the AOUSC Security Operations Center (SOC) at 202-502-4370 or email soc@ao.uscourts.gov in accordance with the AOUSC's Security Incident Response Plan.

The SOC is a 24-hour, 7-day-a-week support center that addresses information security incidents. The SOC works in collaboration with ASO to investigate and resolve any reported Security Incident.

Only ONE W-2 or 1099 will be inserted in each envelope. Due to privacy regulations, it is deemed a breach of contract if the AOUSC determines that any recipient received another person's tax statement inside the envelope with their own tax statement. These incidents must be reported immediately to the ASO Incident Response Team at AOml_ASO_Incident_Response@ao.uscourts.gov and the AOUSC Security Operations Center (SOC) at 202-502-4370 or email soc@ao.uscourts.gov the AOUSC Security Operations Center (SOC). An investiga-tion will be initiated by AOUSC to verify the circumstances surrounding the error.

10. Deliverables

The Contractor shall provide the following for the year of award and each option year.

CLIN 0001, 1001, 2001, 3001, 4001 – File load and test files

The Judiciary will provide the contractor with test files using digital encryption transfer protocols such as Se-cure Sockets Layer (SSL) or Secure File Transfer Protocol (SFTP) within 15 calendar days of contract award (award anniversary for option years). The items below must be completed to the satisfaction of the Judiciary within ten Business Days of receipt of the test files.

(a) The Contractor shall create five separate files with production-like copies of the following for review and approval prior to printing and mailing forms as defined on the following files:

(1) File One with ten W-2 samples from each of the five separate Federal Employment Identification Num-bers (FEINs), for a total of fifty, in a pre-defined file layout.

(2) File Two with twenty 1099-R samples in a pre-defined file layout.

(3) File Three with twenty 1099-INT samples in a pre-defined file layout.

(4) File Four with thirty 1099-MISC samples in a pre-defined file layout.

USCA21R0018 - Page 14 of 29

(5) File Five with thirty-five 1099-NEC samples in a pre-defined file layout.

(b) Provide correction and or file reload services if required.

CLIN 0002, 1002, 2002, 3002, 4002 - Printing and Mailing of W-2s Under 5 Separate FEINs (File One)

The contractor shall print and mail File One containing approximately 37,000 W-2 records in accordance with Paragraph 4 using Five separate FEINs. The items below must be completed to the satisfaction of the Judiciary within Seven Business Days of receipt of the production data files.

(a) Provide ten random samples from each FEIN, for a total of fifty forms, for review and approval prior to printing and mailing the W-2 forms.

(b) Provide confirmation of W-2 records printed and mailed by the contractor.

(c) Return certified mailing permit PS Form 3615 to the AOUSC.

CLINs 0003, 1003, 2003, 3003, 4003 - Printing and Mailing of 1099-Rs (File Two)

The contractor shall print and mail File Two containing approximately 2,000 1099-R records in accordance with Paragraph 4 using One FEIN. The items below must be completed to the satisfaction of the Judiciary within Seven Business Days of receipt of the production data files.

(a) Provide twenty random samples for review and approval prior to printing and mailing all forms.

(b) Provide confirmation of 1099-R records printed and mailed by the contractor.

(c) Return certified mailing permit PS Form 3615 to the AOUSC.

CLINs 0004, 1004, 2004, 3004, 4004 - Printing and Mailing of 1099-INT (File Three).

The contractor shall print and mail File Three containing approximately 2,000 1099-INT records in accordance with Paragraph 4 using One FEIN. The items below must be completed to the satisfaction of the Judiciary within Seven Business Days of receipt of the production data files.

(a) Provide twenty random samples for review and approval prior to printing and mailing all forms.

(b) Provide confirmation of 1099-INT records printed and mailed by the contractor.

(c) Return certified mailing permit PS Form 3615 to the AOUSC.

CLINs 0005, 1005, 2005, 3005, 4005 - Printing and Mailing of 1099-MISC (File Four).

The contractor shall print and mail File Four containing approximately 8,000 1099-MISC records in accordance with Paragraph 4 using One FEIN. The items below must be completed to the satisfaction of the Judiciary within Seven Business Days of receipt of the production data files.

(a) Provide thirty random samples for review and approval prior to printing and mailing all forms.

(b) Provide confirmation of 1099-MISC records printed and mailed by the contractor.

(c) Return certified mailing permit PS Form 3615 to the AOUSC.

CLINs 0006, 1006, 20006, 3006, 4006 - Printing and Mailing of 1099-NEC (File Five).

USCA21R0018 - Page 15 of 29

The contractor shall print and mail File Four containing approximately 22,000 1099-NEC records in accordance with Paragraph 4 using One FEIN. The items below must be completed to the satisfaction of the Judiciary within Seven Business Days of receipt of the production data files.

(a) Provide thirty random samples for review and approval prior to printing and mailing all forms.

(b) Provide confirmation of 1099-NEC records printed and mailed by the contractor.

(c) Return certified mailing permit PS Form 3615 to the AOUSC.

CLINs 0007, 1007, 2007, 3007, 4007 – Create Data Files of Mailed Records.

The items listed below must be completed to the satisfaction of the Judiciary within Three Business Days after delivery of the information returns to USPS.

(a) The Contractor shall create, format and submit the following:

• A data file for each of the five W-2 FEINs (Total of five separate data files).

• A data file for the one 1099-R FEIN (One data file).

• A data file for the one 1099-INT FEIN (One data file).

• A data file for the one 1099-MISC FEIN (One data file).

• A data file for the one 1099-NEC FEIN (One data file).

The Contractor shall submit a total of Nine Separate Data Files. The data files must be searchable using basic search criteria such as name and Social Security Number (SSN) and printable with form and data.

(b) Additionally, the five W-2 data files must be cataloged to allow search and bulk printing by state and loc-ality (box 15 or 20) in addition to basic search criteria such as name and SSN.

(c) The Contractor shall submit the data files to AOUSC via a secure file transfer system.

11. Quality Control

The Contractor shall develop and maintain an effective quality control plan to ensure services are performed in accordance with this SOW. This plan shall include:

(a) Assurance that only appropriately qualified and skilled personnel will be assigned to perform the tasks de-scribed in paragraph 4.

(b) Procedures to identify, prevent, and mitigate print errors such as smudges, poor image quality and faded type.

(c) A contingency for unexpected breakdown of printing and stamping equipment used to perform the re-quired tasks under this SOW.

The contractor shall submit the complete Quality Control Plan to the AOUSC COR no later than ten calendar days after contract award.

12. Liquidated Damages.

The contractor shall pay liquidated damages of 3.0% of the annual contract value per day for late deliveries to USPS, as verified by the Postmaster’s Certification. Total liquidated damages assessed will not exceed 75% of

USCA21R0018 - Page 16 of 29 the annual contract value. Note: Any delays due to inclement weather or other unexpected emergencies must be immediately communicated to the AOUSC COR by telephone and email to avoid assessment of the liquidated damages.

The Contractor shall also pay liquidated damages of $100 per processing error described in Paragraph 9.1 – In-formation Security and any information return reissued by AOUSC due to printing errors that caused the data to be illegible.

A report providing details of liquidated damages assessed will be provided to the Contractor at least 30 days be-fore a credit will be taken against the Contractor’s next invoice.

Section D - Packaging and Marking

Clause(s) Incorporated By Reference, see Clause B-5 Clause Title Date

2-45 Packaging and Marking AUG 2004

Section E - Inspection and Acceptance

Clause(s) Incorporated By Reference, see Clause B-5 Clause Title Date

2-10 Responsibility for Products JAN 2010

2-5B Inspection of Services APR 2013

Section F - Deliveries or Performance

Clause(s) Incorporated By Reference, see Clause B-5 Clause Title Date

2-60 Stop-Work Order JAN 2010

7-200 Judiciary Delay of Work JAN 2003

Section G - Contract Administration Data

Clause(s) Incorporated By Reference, see Clause B-5 Clause Title Date

2-120 Submission of Invoice OCT 2006

3-305 Payment by Electronic Funds Transfer-System for Award

Management (SAM) Registration

APR 2013

7-1 Contract Administration JAN 2003

7-10 Contractor Representative JAN 2003

7-5 Contracting Officer's Representative APR 2013

7-125 Invoices APR 2011

Section H - Special Contract Requirements

USCA21R0018 - Page 17 of 29

Clause(s) Incorporated By Reference, see Clause B-5 Clause Title Date

1-1 Employment by the Government JAN 2003

2-65 Key Personnel APR 2013

(a) Individuals identified below as key personnel and accepted for this contract are expected to remain dedicated to this contract. However, in the event that it becomes necessary for the contractor to replace any of the indi-viduals designated as key personnel, the contractor shall request such substitutions in accordance with this clause. Substitution of key personnel will be considered under the following circumstances only:

(1) All substitutes shall have qualifications at least equal to those of the person being replaced.

(2) All appointments of key personnel shall be approved in writing by the contracting officer, and no substitu-tions of such personnel shall be made without the advance written approval of the contracting officer.

(3) Except as provided in paragraph (4) of this clause, at least 30 days (60 days if security clearance is required) in advance of the proposed substitution, all proposed substitutions of key personnel shall be submitted in writ-ing to the contracting officer, including the information required in paragraph (5) of this provision.

(4) The following identifies the requirements for situations where individuals proposed as key personnel be-come unavailable because of sudden illness, death or termination of employment. The contractor shall within 5 work days after the event, notify the contracting officer in writing of such unavailability. If the event happens after award, the contracting officer will determine if there is an immediate need for a temporary substitute and a continuing requirement for a permanent substitute for the key personnel position. The contracting officer will promptly inform the contractor of this determination. If the contracting officer specifies that a temporary substi-tute is required, the contractor shall as soon as is practical identify who will be performing the work as a tem-porary substitute. The temporary substitute will then start performance on a date mutually acceptable to the con-tracting officer and the contractor. Within 15 work days following the event, if the contracting officer specifies that a permanent substitute is required, the contractor shall submit, in writing, for the contracting officer's ap-proval, the information required in (5) and (6) below, for a proposed permanent substitute for the unavailable individual. The approval process will be the same as (7) below.

(5) Request for substitution of key personnel shall provide a detailed explanation of the circumstances necessit-ating substitution, a resume of the proposed substitute, and any other information requested by the contracting officer to make a determination as to the appropriateness of the proposed substitute's qualifications. All resumes shall be signed by the proposed substitute and his/her formal (per company accepted organizational chart) direct supervisor or higher authority.

(6) As a minimum (or as otherwise specified in the solicitation), resumes shall include the following:

(a) name of person;

(b) functional responsibility;

(c) education (including, in reverse chronological order, colleges and/or technical schools attended (with dates), degree(s)/certification(s) received, major field(s) of study, and approximate number of total class hours);

(d) citizenship status;

(e) experience including, in reverse chronological order for up to ten years, area(s) or work in which a person is qualified, company and title of position, approximate starting and ending dates (month/year), concise descrip-tions of experience for each position held including specific experience related to the requirements of this con-tract; and

(f) certification that the information contained in the resume is correct and accurate (signature of key person and date signed, and signature of the supervisor or higher authority and date signed will be accepted as certifica-tion).

(7) The contracting officer will promptly notify the contractor in writing of his/her approval or disapproval of all requests for substitution of key personnel. All disapprovals will require re-submission of another proposed substitution within 15 days by the contractor.

(b) The following individuals are designated as key personnel under this contract:

[Contracting Officer to add names upon contract award]

(END)

Section I - Contract Clauses

USCA21R0018 - Page 18 of 29

Clause(s) Incorporated By Reference, see Clause B-5

B-20 Computer Generated Forms JAN 2003

1-5 Conflict of Interest AUG 2004

1-15 Disclosure of Contractor Information to the Public AUG 2004

1-10 Gratuities or Gifts JAN 2010

2-50 Continuity of Services JAN 2003

2-55 Privacy or Security Safeguards JAN 2003

3-25 Protecting the Judiciary's Interest When Subcontracting with

Contractors Debarred, Suspended, or Proposed for Debarment

JUN 2014

3-35 Covenant Against Contingent Fees JAN 2003

3-40 Restrictions on Subcontractor Sales to the Judiciary JUN 2014

3-45 Anti-Kickback Procedures JUN 2012

3-50 Cancellation, Rescission, and Recovery of Funds for Illegal or

Improper Activity

JUN 2012

3-55 Price or Fee Adjustment for Illegal or Improper Activity JUN 2012

3-105 Audit and Records APR 2011

3-120 Order of Precedence JAN 2003

3-205 Protest after Award JAN 2003

3-300 Registration in the System for Award Management (SAM) APR 2013

7-15 Observance of Regulations/Standards of Conduct JAN 2003

7-20 Security Requirements APR 2013

7-25 Indemnification AUG 2004

7-30 Public Use of the Name of the Federal Judiciary JUN 2014

7-35 Disclosure or Use of Information APR 2013

7-40 Judiciary-Contractor Relationships JAN 2003

7-85 Examination of Records JAN 2003

7-100B Limitation of Liability (Services) JAN 2003

7-110 Bankruptcy JAN 2003

7-130 Interest (Prompt Payment) JAN 2003

7-135 Payments APR 2013

7-140 Discounts for Prompt Payment JAN 2003

7-150 Extras JAN 2003

7-160 Limitation on Withholding of Payments APR 2013

USCA21R0018 - Page 19 of 29

7-175 Assignment of Claims JAN 2003

7-185 Changes APR 2013

7-195 Excusable Delays JAN 2003

7-205 Payment for Judiciary Holidays APR 2013

7-210 Payment for Emergency Closures APR 2013

7-215 Notification of Ownership Changes JAN 2003

7-220 Termination for Convenience of the Judiciary (Fixed Price) JAN 2003

7-230 Termination for Default - Fixed-Price Products and Services JAN 2003

7-235 Disputes JAN 2003

B-5 Clauses Incorporated by Reference OCT 2010

This procurement 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 their full text available. Also, the full text of a clause may be accessed electronically at this address:

http://www.uscourts.gov/procurement.aspx.

(END)

2-90D Option to Extend the Term of the Contract APR 2013

(a) The judiciary may extend the term of this contract by written notice to the contractor no later than 30 calen-dar days prior to the contract's current expiration date; provided that the judiciary gives the contractor a prelim-inary written notice of its intent to extend at least 60 calendar days [60 days unless a different number of days is inserted] before the contract expires. The preliminary notice does not commit the judiciary to an extension.

(b) If the judiciary exercises this option, the extended contract shall be considered to include this option clause.

(c) The total duration of this contract, including the exercise of any options under this clause, shall not exceed October 2025.

(END)

4-170 Limitation of Judiciary Obligation. JUN 2014

(a) Contract line item(s) __ is/are incrementally funded. The sum of __ is presently available for payment and allotted to this contract. An allotment schedule is contained in paragraph (j) of this clause.

(b) For item(s) identified in paragraph (a) of this clause, the contractor agrees to perform up to the point at which the total amount payable by the judiciary, including reimbursement in the event of termination of those item(s) for the judiciary’s convenience, approximates the total amount currently allotted to the contract. The contractor is not authorized to continue work on those item(s) beyond that point. The judiciary will not be oblig-ated in any event to reimburse the contractor in excess of the amount allotted to the contract for those item(s) re-gardless of anything to the contrary in the clause entitled “Termination for Convenience of the Judiciary.” As used in this clause, the total amount payable by the judiciary in the event of termination of applicable contract line item(s) for convenience includes costs, profit, and estimated termination settlement costs for those item(s).

(c) Notwithstanding the dates specified in the allotment schedule in paragraph (j) of this clause, the contractor will notify the contracting officer in writing at least ninety days prior to the date when, in the contractor’s best judgment, the work will reach the point at which the total amount payable by the judiciary, including any cost for termination for convenience, will approximate 85 percent of the total amount then allotted to the contract for performance of the applicable item(s). The notification will state: (1) the estimated date when that point will be

USCA21R0018 - Page 20 of 29 reached; and (2) an estimate of additional funding, if any, needed to continue performance of applicable line items up to the next scheduled date for allotment of funds identified in paragraph (j) of this clause, or to a mutu-ally agreed upon substitute date. The notification will also advise the contracting officer of the estimated amount of additional funds that will be required for the timely performance of the item(s) funded pursuant to this clause, for a subsequent period as may be specified in the allotment schedule in paragraph (j) of this clause or otherwise agreed to by the parties. If after such notification additional funds are not allotted by the date iden-tified in the contractor’s notification, or by an agreed substitute date, the contracting officer will terminate any item(s) for which additional funds have not been allotted, pursuant to the clause of this contract entitled “Termination for Convenience of the Judiciary.”

(d) When additional funds are allotted for continued performance of the contract line item(s) identified in para-graph (a) of this clause, the parties will agree as to the period of contract performance which will be covered by the funds. The provisions of paragraphs (b) through (d) of this clause will apply in like manner to the additional allotted funds and agreed substitute date, and the contract will be modified accordingly.

(e) If, solely by reason of failure of the judiciary to allot additional funds, by the dates indicated below, in amounts sufficient for timely performance of the contract line item(s) identified in paragraph (a) of this clause, the contractor incurs additional costs or is delayed in the performance of the work under this contract and if ad-ditional funds are allotted, an equitable adjustment will be made in the price or prices (including appropriate tar-get, billing, and ceiling prices where applicable) of the item(s), or in the time of delivery, or both. Failure to agree to any such equitable adjustment hereunder will be a dispute concerning a question of fact within the meaning of the clause entitled “Disputes.”

(f) The judiciary may at any time prior to termination allot additional funds for the performance of the contract line item(s) identified in paragraph (a) of this clause.

(g) The termination provisions of this clause do not limit the rights of the judiciary under the clause entitled “Termination for Default.” The provisions of this clause are limited to the work and allotment of funds for the contract line item(s) set forth in paragraph (a) of this clause. This clause no longer applies once the contract is fully funded except with regard to the rights or obligations of the parties concerning equitable adjustments ne-gotiated under paragraphs (d) and (e) of this clause.

(h) Nothing in this clause affects the right of the judiciary to terminate this contract pursuant to the clause of this contract entitled “Termination for Convenience of the Judiciary.”

(i) Nothing in this clause shall be construed as authorization of voluntary services whose acceptance is other-wise prohibited under 31 U.S.C. § 1342.

(j) The parties contemplate that the judiciary will allot funds to this contract in accordance with the following schedule:

On execution of contract [$] [Month, Day, Year] [$] [Month, Day, Year] [$] [Month, Day, Year] [$]

(end)

Section J - List of Attachments

J-1 W2 and 1099 Security Incident Response Plan

In the event of an actual or suspected Security Incident that involves any data under the control of the Contract-or, the Contractor's technical staff shall, within one hour, notify the Judiciary Security Operations Center (JSOC) by telephone. If telephone response is not immediately available, an email may be initiated, and must be followed up with a phone call as soon as practical. When a security incident is detected or reported, the JSOC

USCA21R0018 - Page 21 of 29 will take steps to determine whether the contractor's system and/or data has been compromised and will work with the Contractor to implement appropriate security precautions. No additional processing under this contract will be initiated until the Security Incident is resolved and the JSOC has cleared the incident.

The Contractor will also report the incident to the AOUSC's Contracting Officer and Contracting Officer's Rep-resentative within 2 hours of notification to the JSOC.

The Contractor shall conform to the requirements set forth for federal Executive Branch civilian agencies as de-tailed under US-CERT Federal Incident Notification Guidelines, specified at: ht-tps://www.us-cert.gov/incident-notification-guidelines

The Federal Information Security Modernization Act of 2014 (FISMA) defines "incident" as "an occurrence that (A) actually or imminently jeopardizes, without lawful authority, the integrity, confidentiality, or availabil-ity of information or an information system; or (B) constitutes a violation or imminent threat of violation of law, security policies, security procedures, or acceptable use policies." [1] FISMA requires federal Executive Branch civilian agencies to notify and consult with US-CERT regarding information security incidents involving their information and information systems, whether managed by a federal agency, contractor, or other source. [2] This includes incidents involving control systems, which include supervisory control and data acquisition (SCADA) systems, distributed control systems (DCS), programmable logic controllers (PLCs) and other types of industrial measurement and control systems. Reporting by entities other than federal Executive Branch civil-ian agencies is voluntary.

These guidelines support US-CERT in executing its mission objectives and provide the following benefits:

Greater quality of information - Alignment with incident reporting and handling guidance from NIST 800-61 Revision 2 to introduce functional, informational, and recoverability impact classifications, allowing US-CERT to better recognize significant incidents.

Improved information sharing and situational awareness - Establishing a one-hour notification time frame for all incidents to improve US-CERT's ability to understand cybersecurity events affecting the government.

Faster incident response times - Moving cause analysis to the closing phase of the incident handling process to expedite initial…