SOLICITATION NOTICE
R -- Evaluation, Design, and Implementation of Internal Control System - Past Performance and Offeror's Instructions
- Notice Date
- 12/4/2009
- Notice Type
- Combined Synopsis/Solicitation
- NAICS
- 541211
— Offices of Certified Public Accountants
- Contracting Office
- United States International Trade Commission, Office of Facilities Management, Procurement, 500 E Street, SW, Room 414, Washington, District of Columbia, 20436
- ZIP Code
- 20436
- Solicitation Number
- ITC-RFP-10-0001
- Archive Date
- 1/2/2010
- Point of Contact
- Myra Lay, Phone: 202-205-2739, Janice Ogletree, Phone: 202-205-1838
- E-Mail Address
-
myra.lay@usitc.gov, janice.ogletree@usitc.gov
(myra.lay@usitc.gov, janice.ogletree@usitc.gov)
- Small Business Set-Aside
- N/A
- Description
- PAST PERFORMANCE INFORMATION REFERENCES AND INSTRUCTIONS TO OFFERORS The United States International Trade Commission is seeking a contractor to provide OMB Circular A-123 services. •1. INTRODUCTION OMB Circular A-123 is a U.S. Office of Management and Budget (OMB) Circular that defines the management responsibilities for internal financial controls in Federal agencies. It was issued by OMB's Office of Federal Financial Management on 21 December 2004 and addressed to all Federal Chief Financial Officers, Chief Information Officers, and Program Managers. The Circular is signed by then-Controller Linda M. Combs. Circular A-123 is a re-examination of the existing internal control requirements for Federal agencies and was initiated in light of the new internal control requirements for publicly-traded companies contained in the Sarbanes-Oxley Act of 2002. The Circular and the statute it implements, the Federal Managers' Financial Integrity Act of 1982, are at the center of the existing Federal requirements to improve internal financial controls. The winning contractor will be a Financial and Business Solutions (FABS) GSA Schedule holder. The contractor will be engaged by the U.S. International Trade Commission (Commission/USITC) for tasks related to ensuring statutory and operational compliance with OMB Circular A-123. The contractor shall assist the Commission in performing the following functions: review and evaluation of existing internal controls, risk assessment in accordance with OMB Circular A-123, design and implementation of a comprehensive, agency-wide internal control system that fully complies with OMB Circular A-123 and other applicable laws and regulations, and temporary staffing of the management position related to the creation of the new internal control system/internal control program. •2. BACKGROUND The Commission is an independent, quasi-judicial Federal agency established by Congress with a wide range of trade related mandates, Its mission is to: administer U.S. trade remedy laws within its mandate in a fair and objective manner; provide the President, the United States Trade Representative and the Congress with independent, quality analysis, information, and support on matters of tariffs and international trade and competitiveness; and maintain the Harmonized tariff Schedule of the U.S. In so doing, the Commission serves the public by implementing U.S. law and contributing to the development and implementation of sound and informed U.S. trade policy. The Commission is fairly unique in that it has independent budgetary authority. The Commission is not subject to executive (OMB) review of its budget. 19 U.S.C. § 2232. Appendix A of OMB Circular A-123 is not mandatory for the Commission. The Commission also receives a lump-sum appropriation of no-year funds and is self-apportioned. 31 U.SC. § 1513. In November 2009, an independent audit of the Commission's FY 2009 financial statements resulted in a disclaimer of opinion. The independent auditor identified the Commission's internal financial control system as an area of weakness that contributed to the finding. As a result, the Commission has decided to review its entire internal control system, including financial, operational, programmatic, and security controls, and design and implement a comprehensive new internal control system to bring the Commission into compliance with OMB Circular A-123 and all other applicable laws and regulations. The Commission's existing internal controls consist of internal rules (directives, administrative orders, etc.), an annually updated Management Control Plan, and other documented policies and initiatives throughout the Commission. Additional background on the Commission, its mission, organization, and structure are available online at www.usitc.gov, along with the Performance and Accountability Report detailing the independent auditor's statements with respect to the Commission's existing internal controls. •3. OBJECTIVES AND SCOPE The objective of this contract is to bring the Commission's system of internal controls into compliance with OMB Circular A-123 and all other applicable laws and regulations, and to retain contracted personnel to perform the annual OMB Circular A-123 review for at least one contract year and to develop ITC internal personnel to perform the function during a designated transitional period. The specific objectives of this contract are to: Assist the Commission in evaluating internal controls for the following areas at a minimum please see below: Identifying Data and Technology that Support Acquisition Management Decisions • i. Tracking Acquisition Data • ii. Translating Financial Data into Meaningful Formats • iii. Analyzing Goods and Services Spending Safeguarding the Integrity of Operations and Data • i. Ensuring Effective General and Application Controls • ii. Data Stewardship The USITC assessment procedures may include the following: •1. Assurance Requirement: The security control is in effect and meets explicitly identified functional requirements in the control statement. The control developer/implementer provides a description of the functional properties of the control with sufficient detail to permit analysis and testing of the control. The control developer/implementer includes as an integral part of the control, assigned responsibilities and specific actions supporting increased confidence that when the control is implemented, it will meet its required function or purpose. These actions include, for example, requiring the development of records with structure and content suitable to facilitate making this determination. •2. Assessment Expectations: Interviews, examinations, and tests are conducted at a level of depth and coverage sufficient to demonstrate that the security control is implemented and free of obvious errors, and that there are increased grounds for confidence that the security control is implemented correctly and operating as intended. •3. Assessment Objectives: •a. For specifications: • i. Determine if the specification exists. • ii. Determine if the specification, as written, has no obvious inconsistencies with the functional requirements in the security control and no obvious internal errors. • iii. Determine if the organization provides an assignment of responsibilities, specific actions, and appropriate documentation to support increased grounds for confidence that the specification is complete, internally consistent, correct, and meets its required function or purpose. • iv. Determine if the organization identifies and documents anomalies or problems with the application or use of the specification. •b. For mechanisms: • i. Determine if the mechanism is implemented and operational. • ii. Determine if the mechanism, as implemented, has no obvious inconsistencies with the functional requirements in the security control and no obvious implementation errors. • iii. Determine if the organization provides an assignment of responsibilities, specific actions, and appropriate documentation to support increased grounds for confidence that the mechanism is implemented correctly, operating as intended, and meets its required function or purpose. • iv. Determine if the organization identifies and documents anomalies or problems with the implementation or operation of the mechanism. •c. For activities: • i. Determine if the activity is being performed at its required levels. • ii. Determine if the activity, as performed, has no obvious inconsistencies with the functional requirements in the security control and no obvious execution errors. • iii. Determine if the organization provides an assignment of responsibilities, specific actions, and appropriate documentation to support increased grounds for confidence that the activity is being performed correctly and meets its required function or purpose. • iv. Determine if the organization identifies and documents anomalies or problems with the conduct or execution of the activity and to develop and recommend implementation tools for remedy. Assist the Commission in performing a risk assessment in accordance with OMB Circular A-123. Complete a detailed gap analysis based on this assessment of the Commission's OMB A-123 program in accordance with Guidelines for Assessing the Acquisition Function, dated May 2008. This assessment should include the following areas - Organizational Alignment and Leadership, Policies and Processes, and Human Capital. Develop a plan of action and milestones (POA&M's) for the weaknesses identified in the gap analysis. Assist the Commission in establishing a working group comprised of the Office of the CIO, Director of Administration, Director of Finance, Chief of Procurement, and Director of Human Resources to meet at a minimum bi-annually to discuss the progress of addressing weakness related to OMB A-123. Assist the Commission with designing and implementing a comprehensive internal control system that integrates new and existing policies, procedures, and controls, and is fully compliant with OMB Circular A-123 and other applicable laws and regulations, based on the results of the assessment/evaluation. This may include the development of new policies, procedures, performance measures, or any other areas found to be deficient. Develop a schedule of implementation for the proposed new system. Perform the annual OMB Circular A-123 review in the contract year and option years, if exercised, and provide a report on the results of that review. Assist the Commission by recommending internal personnel duties, responsibilities, and management of a new internal control system for a period to be determined by the Commission. This contract may be renewed at the Commission's discretion for the option year periods. •4. TASKS Tasks to be performed and necessary requirements for the assessment and analysis of the Commission's existing internal controls, as well as, the development and implementation of a new system of internal control will be completed in time to allow the Commission to use the new system to perform its OMB Circular A-123 review for FY 2010. The daily management of the new system will continue from its implementation until the end of the contract year or option years, if exercised. It is the responsibility of the contractor to ensure that the Commission meets the deadlines prescribed by OMB with respect to the new system, and to be aware of and meet any changes to those deadlines. Written products shall be submitted to the Director of Administration for review. The contract shall be performed in the following four phases: Planning, Assessment, and Analysis - the contractor will evaluate the effectiveness of the Commission's existing internal controls as well as the Commission's compliance with laws and regulations. The contractor will perform testing and interviews where necessary to form an opinion about the existing controls. The contractor will analyze its findings, including the performance of a gap analysis as described above. The contractor will report its findings to the Director of Administration. (4 weeks for planning/assessment, 2-4 weeks for analysis?) Development - the contractor will develop a comprehensive system of internal control based on the results of its analysis, which integrates effective existing controls, replaces or supplements ineffective controls, and implements new controls when they are found to be lacking. The contractor will also develop a schedule of implementation for the new system. The contractor will present the proposed new internal control program and schedule of implementation to the Director of Administration for review and comment. (3-4 weeks for contractor, 1-2 weeks for AD review/revisions?) Implementation - once the new system of internal control is approved by the Director of Administration, the contractor will assist the Commission with implementing the system. (4-8 weeks) A-123 Review - the contractor will assist the Commission with using the new system of internal control to perform the FY 2010 OMB Circular A-123 review in accordance with all applicable laws and regulations and within the prescribed time frame. Daily Management - the contractor will provide a full or part-time staff member, as determined by the Director of Administration, to oversee the day-to-day management of the new internal control program until the end of the contract year, and for each option year, if exercised by the Commission. This contract will be a one (1) year contract with four (4) option years. The contractor will perform tasks incidental to the requirements of this order, even if not specifically described in this order. It is the responsibility of the contractor to be aware of and/or determine additional requirements that may be necessary to bring the Commission into compliance with OMB Circular A-123 and all laws and regulations relevant thereto. •5. DELIVERABLES Report on Existing Internal Controls and Gap Analysis - the contractor will provide the Director of Administration with a report on the Commission's existing internal controls, including the results of the gap analysis, at the end of the Planning, Assessment, and analysis phase. This will include the gap analysis described above. Proposed System/Program of Internal Control - the contractor will provide the Director of Administration with a comprehensive proposal for a new System/Program of Internal Control and a proposed schedule of implementation at the end of the Development phase. This will include the plan of action and milestones (POA&M's) for the weaknesses identified in the gap analysis as well as proposed policies and procedures for testing the system of internal controls as required by OMB Circular A-123. A-123 Review Report - the contractor will perform a full A-123 review and provide a report on that review to the Director of Administration in the contract year and each exercised option year in time to meet the applicable deadlines prescribed by OMB and any other relevant laws or regulations. Additional Reporting - the contractor will provide additional relevant reports and documentation as requested by the Director of Administration throughout the term of the contract. Regular Progress Reports and weekly Status Meetings - the contractor will meet weekly with the Director of Administration or appointed Commission staff for a formal status meeting. The contractor will bring any urgent matters to the attention of the Director of Administration immediately. •6. PERIOD OF PERFORMANCE This order will be in effect for one (1) base year during FY 2010 and four (4) option years. Performance year(s) two (2) through four (4) are at the sole discretion of the U.S. International Trade Commission Director of Administration, subject to contractor performance, available budgetary resources, and Commission need. •7. EVALUATION CRITERIA Proposals will not be considered unless the proposal demonstrates that the contractor has a positive peer review and that Continuing Professional Education Requirements have been met. Selection will be based on a determination of the best value to the Government. The selection factors are as follows, including the assigned weight: •· Demonstrated Small Federal Agency A-123 Experience (30%) •· Personnel Experience and Qualifications (20%) •· Company Past Performance and Experience (20%) •· Technical Approach (20%) •· Price (10%) Contractors must ensure that pricing is provided for one (1) base year and four (4) option years. When evaluating firm/staff experience, the scoring will primarily be based on the experience of the team that will work directly on the job. Contractors should provide an estimate of hours by staff category and level. Contractors must have extensive experience with reviewing, designing, implementing, and testing comprehensive internal control plans in the Federal government. Contractors must also have extensive experience with OMB Circular A-123 review and compliance, especially as it relates to small agencies. The evaluation will be looking for demonstrated knowledge of and experience with A-123 evaluation and implementation. •8. KEY CONTRACTOR PERSONNEL The contractor shall designate individuals in the below Labor Categories as key personnel for purposes of this order. All key personnel must be approved by the Commission along with any key personnel changes. Labor Category The contractor shall also designate individuals in the below Labor Category as key personnel for each option year if invoked. Labor Category The contractor shall furnish all personnel, services, materials, equipment and facilities to meet the project objectives and to conduct the necessary work. Work shall be completed in accordance with a schedule of delivery dates to be submitted as part of this proposal. •9. SCHEDULE OF DELIVERABLES, DELIVERY DATES, AND PAYMENTS This order is a Time and Materials contracting vehicle for the first year and for any exercised option years. Work shall be completed in accordance with a schedule of delivery dates to be submitted as part of the proposal and subsequent contract. It is the responsibility of the contractor to plan the work to meet any applicable required statutory deadlines. •10. OTHER REQUIREMENTS 1. Personnel/Management/Past Experience At the time proposals are submitted, the contractor shall provide a resume for each individual it anticipates will perform work under this order.. The Commission retains the right to review and approve each proposed resume. Resumes should not exceed three (3) pages in length for each staff member. Resumes should include education, certifications, professional licenses, professional affiliations, relevant past experience, and proposed position on the team. Qualifications of contractor personnel will be considered in selecting a contractor. 2. Notifications The contractor shall notify the Director of Administration (AD) no fewer than ten (10) working days in advance of any personnel substitutions. The Commission retains the right to review and approve each proposed personnel substitution. The contractor shall submit a justification in sufficient detail to permit evaluation of the impact on purchase performance. The contractor shall not make any substitutions without the consent of the AD. An attempt to substitute personnel without prior consent of the AD may be deemed a material noncompliance. •11. SECURITY REQUIREMENTS 1 Clearance. All personnel provided by the Contractor to work under this contract shall be U.S. citizens and shall already be cleared to work in Government facilities. The contractor shall be required to complete the Personnel Identity Verification (PIV) Request Form for all Contracting Employees' who will have access to the USITC Building. The Contractor shall be responsible for Security Clearances for all employees who have access to National Security Information (NSI) materials at the USITC Building. 2. Identification of Nondisclosure Requirements. Because of the sensitive nature of the data and information being worked with on a daily basis, completion of nondisclosure statements will be required by on-site contractor personnel to ensure that information considered sensitive or proprietary is not compromised. 3. Badges. The Government shall provide identification badges for all full-time contractor employees. All Contractor personnel shall wear these badges when on duty at the Government site. Badges are required to identify the individual and must be clearly and distinctly marked as Contractor. Size, color, style, etc., are to be defined by the Government. 4. Privacy Act. Work on this project may require personnel to have access to privacy information. Contractor personnel shall adhere to the Privacy Act, Title 5 of the U.S. Code, Section 552a, and applicable USITC rules and regulations.
- Web Link
-
FBO.gov Permalink
(https://www.fbo.gov/spg/USITC/ITCOFM/ITCOFMP/ITC-RFP-10-0001/listing.html)
- Place of Performance
- Address: United States International Trade Commission, 500 E Street, SW, Washington, District of Columbia, 20436, United States
- Zip Code: 20436
- Zip Code: 20436
- Record
- SN02016814-W 20091206/091204234917-70f146fa5b7eb2366e8e7f2d9e117163 (fbodaily.com)
- Source
-
FedBizOpps Link to This Notice
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