1131PL24RCP91094 - Amendment 0001.pdf

Offers must acknowledge receipt of this amendment prior to the hour and date specified in the solicitation or as amended, by one of the following methods:

(a) By completing items 8 and 15, and returning or (c) By separate letter or electronic communication which includes a reference to the solicitation and amendment numbers. FAILURE OF YOUR ACKNOWLEDGMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER. If by virtue of this amendment you desire to change an offer already submitted, such change may be made by letter or electronic communication, provided each letter or electronic communication makes reference to the solicitation and this amendment, and is received prior to the opening hour and date specified.

E. IMPORTANT: Contractor is not is required to sign this document and return copies to the issuing office.

AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT 1. CONTRACT ID CODE

2. AMENDMENT/MODIFICATION NUMBER 3. EFFECTIVE DATE 4. REQUISITION/PURCHASE REQUISITION NUMBER 5. PROJECT NUMBER (If applicable)

7. ADMINISTERED BY (If other than Item 6) CODE

STANDARD FORM 30 (REV. 11/2016)

Prescribed by GSA FAR (48 CFR) 53.243

FACILITY CODE

9A. AMENDMENT OF SOLICITATION NUMBER

9B. DATED (SEE ITEM 11)

10A. MODIFICATION OF CONTRACT/ORDER NUMBER

10B. DATED (SEE ITEM 13)

11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS

The above numbered solicitation is amended as set forth in Item 14. The hour and date specified for receipt of Offers is extended. is not extended.

12. ACCOUNTING AND APPROPRIATION DATA (If required) copies of the amendment; (b) By acknowledging receipt of this amendment on each copy of the offer submitted;

13. THIS ITEM APPLIES ONLY TO MODIFICATIONS OF CONTRACTS/ORDERS.

IT MODIFIES THE CONTRACT/ORDER NUMBER AS DESCRIBED IN ITEM 14.

CHECK ONE A. THIS CHANGE ORDER IS ISSUED PURSUANT TO: (Specify authority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE CONTRACT ORDER

NUMBER IN ITEM 10A.

B. THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES (such as changes in paying office, appropriation data, etc.) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b).

C. THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF:

D. OTHER (Specify type of modification and authority)

Except as provided herein, all terms and conditions of the document referenced in Item 9A or 10A, as heretofore changed, remains unchanged and in full force and effect.

15C. DATE SIGNED

15A. NAME AND TITLE OF SIGNER (Type or print)

16C. DATE SIGNED

16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or print)

14. DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings, including solicitation/contract subject matter where feasible.)

PAGE OF PAGES

6. ISSUED BY CODE

8. NAME AND ADDRESS OF CONTRACTOR (Number, street, county, State and ZIP Code) (X)

CODE

15B. CONTRACTOR/OFFEROR

(Signature of person authorized to sign)

16B. UNITED STATES OF AMERICA

(Signature of Contracting Officer)

Previous edition unusable

1131PL

The purpose of this amendment is to extend the due date of the solicitation and provide answers the prospective offerors questions. The new due date for offers is Friday, April 12, 2024, 12:00 Noon Arlington, VA Time/EST.

Questions and answers are contained in pages 2 thru 4.

1131PL

U.S. Trade and Development Agency 1101 Wilson Blvd, Ste 1100 Arlington, Virginia 22209

U.S. Trade and Development Agency 1101 Wilson Blvd, Ste 1100 Arlington, Virginia 22209

1131PL22RCP91094

1 6

03/28/2024

03/19/2024

Solicitation: 1131PL24RCP91094 Amendment: A0001

Questions & Answers:

1. Reference: Section E.1.2, Page 23, Paragraph 1 Question: In order to compile a comprehensive proposal, is it possible to extend the deadline of this RFP?

Answer: RFP due date will be extended to Friday, April 12, 2024, at 12:00 Noon Arlington, VA Time/EST,

2. Reference: Section D.2, Attachment 1, Page 16 Question: In the text of the RFP, the ask specifically calls out LexisNexis access to get commonly accessed public data such as litigation or other basic public records. Lexis is one of several services which can be utilized for this purpose. Is there a reason why Lexis was specifically called out instead of just allowing the prospective bidders to leverage whichever public records data provider they choose?

Answer: Offerors’ may utilize whichever search platform deemed necessary to supports performance of the services required by the RFP. RFP, Section D2, Attachment 1, referring the agency’s existing Due Diligence Guidelines, which do indeed reference Lexis as the platform we currently use to conduct various public records searches, will be updated once a prospective awardee is identified, to reflect required changes like search platform utilized.

3. Reference: Section D.1.1. Background, Page 18, Paragraph 5 Question: USTDA states that “All prospective USTDA contractors and grantees (including their officials and shareholders/parent entities) are subject to basic level DD searches, though contractors and their principal officers are also to be screened against internal USTDA records (audit list, success fee delinquency report)”. Will USTDA give the awarded vendor access to the internal USTDA records or any other USTDA platforms?

Answer: USTDA will provide the awarded vendor access to internal USTDA records to complete screening requirements, upon signing a non-disclosure agreement (NDA).

4. Reference: Section D.1.1. Background, Page 18, Paragraph 6 Question: In regards to USTDA’s current DD process of vetting any parent entities and upstream shareholders that hold 10% or more beneficial ownership in a target entity, will USTDA be providing the awarded vendor these subject names or is the awarded vendor expected to identify these subjects?

Answer: Each target entity for a USTDA grant is required to self-identify its complete ownership structure and the names of all shareholders (individuals and entities) with 10% or more beneficial ownership. Currently, shareholder information is provided to USTDA via PDF forms completed and signed by the target entity, which USTDA reviews to ensure completeness and accuracy. As part of the due diligence screening of the target entity and its upstream owners, USTDA compares the shareholder information provided against search results to look for any discrepancies or red flags.

Going forward, the awarded vendor will be responsible for directly collecting shareholder information from the target entity, either via the awarded vendor’s secure online portal (whenever possible) or via PDF forms as needed. The awarded vendor will also be responsible for ensuring the shareholder information provided by the target entity is complete and accurate, and it shall work with the target entity and USTDA to obtain any missing shareholder information not initially provided. The awarded vendor will also cross-reference the shareholder information provided with the due diligence search results to look for any discrepancies or red flags concerning the entity’s ownership and will alert USTDA of any such findings.

5. Reference: Section D.1.1. Background, Page 17- Question: What are USTDA’s pain points with your current process?

Answer: USTDA’s previous pain points in terms of handling due diligence has been handling the volume of entities needing to be screened. The volume of entities involved in USTDA-funded activities and the time involved screening those entities created delays in moving projects forward for future funding consideration.

6. Reference: Section D.1.1. Background, Page 17-19 Question: Does USTDA send / receive questionnaires as part of your third-party due diligence process?

Answer: Yes, we do have forms/questionnaires that we use to gather information from potential participants and/or recipients of USTDA funding. USTDA wishes to have the selected vendor adapt these forms, or offer suggested alternatives to these forms to provide a more efficient means of collecting the information for screening entities.

7. Reference: Section D.1.3 Scope of Work, Page 20, Paragraph 4 Question: USTDA states that the vendor should be able to “Obtain background information on requested entities and individuals via secure electronic platform for gathering relevant “KYC” information”. What subject information would USTDA provide to the awarded vendor to enable due diligence searches to commence?

Answer: Currently, “KYC” information is provided to USTDA via PDF forms completed and signed by the target entity. USTDA forms require standard business information about the target entity including, but not limited to, full legal name, address, phone number, website, business type, shareholder information, and principal officers. Going forward, the awardee will be responsible for directly collecting KYC information from the target entity, either via the awardee’s secure online portal or via PDF forms as needed. The awarded vendor would commence due diligence searches after USTDA has authorized work on the target entity/individual to begin and upon provision of sufficient KYC information from the target entity to the awardee.

8. Reference: Section Payment Schedule (Block 20), Page 2, Paragraph NA Question: What is the budgeted value of this contract?

Answer: The Independent Government Cost Estimate is source selection sensitive information and cannot be shared with prospective offerors at this time. Please submit pricing structure per the guidance contained in the RFP.

9. Reference: Section D.1.1. Background, Page 17, Paragraph 2 Question: Regarding the requirement for Due Diligence on individuals – Will Due Diligence be required on singular persons (IOW will data such as Social Security Numbers, Date of Birth, etc. be a component of the Due Diligence process), or will it be focused on individuals associated with businesses/entities?

Answer: USTDA assesses an individual both in his/her personal capacity and via his/her association with businesses/entities. USTDA’s review of individuals varies across the Agency’s diverse set of domestic and foreign partners, with the breadth and scope depending on the type of engagement (e.g., foreign delegates, sole proprietors, officers at a target entity, officers at upstream parent entities, etc.). For example, officers of an upstream parent entity are typically subject to limited searches (Google/internet, SAM.gov, OFAC/watchlists). In comparison, the principal officers of a proposed USTDA Contractor are subject to those screenings plus the following additional searches (collectively, the “Public Records Searches”) given their proximity to the USTDA activity: State and Federal court cases, bankruptcy, judgments and liens, and criminal records.

USTDA screens individuals using the person’s full name. Results may be filtered for accuracy as needed based on other available information (e.g., employer, LinkedIn profile, public records). USTDA neither requests nor collects social security numbers or dates of birth for individuals. However, for the limited number of individuals that require Public Records Searches, USTDA’s screenings will sometimes uncover Personally Identifiable Information like date of birth on a secure public records database. USTDA neither stores nor retains any such Personally Identifiable Information. However, pursuant to the Agency’s risk assessments, USTDA may cross-reference any such Personally Identifiable Information for the limited purpose of confirming or ruling out search hits associated with a searched name (e.g., ruling out a criminal record common name hit by date of birth). The awarded vendor must have the ability to conduct the Public Records Searches and have its own secure electronic platform for protecting any Personally Identifiable Information on individuals.

10. Reference: Section E.1.1. General Information, Page 23, Paragraph 1 Question: Who is the incumbent(s)? If there is an incumbent, would USTDA please provide the contract number under which it resides?

Answer: This is a new stand-alone requirement. Previously, due diligence was performed under the Research Analyst Support Service contract (1131PL18CCP91173) by Ascendant Program Services, LLC. However, the current requirement/RFP differs from the format of services previously solicited.

11. Reference: Section E.1.6. Proposal Submission, Page 24, Paragraph 1 Question: Would USTDA consider providing an extension to the proposal submission deadline to April 12, 2024? We would like to ensure our proposal response is in full alignment with USTDA’s needs and requirements based on the Q&A responses and the provision of this additional time will be helpful in facilitating this.

Answer: See response to Question 1.

12. Reference: Section D.1.3. Scope of Work, Page 20, Paragraph 4 Question: Would USTDA expand on the types of DD searches that would be conducted in local language? What types of sources would need to be searched?

Answer: As noted in USTDA’s Due Diligence Guidelines, searches in local languages are conducted as part of general internet/Google screenings for negative news items.

Such local language searches may also be supplemented via negative news screenings on a diligence research platform. Just as with English-language news sources, it will be the responsibility of the awarded vendor to ensure that its local language searches are relying upon reputable and objective news sources. International, national, and local news sources may all be utilized for local language screenings, so long as they are generally considered to be reputable and objective sources.

13. How many FTE'S are expected for this requirement?

Answer: This solicitation is not for staffing; therefore, we have no expectations regarding the number of FTE’s an offeror has on its staff.

14. Where does USTDA expect work to be performed? Government site or contractor site?

Remote or hybrid?

Answer: Wherever prospective awardee’s operations are located and required services are currently being performed.

15. Do you want resumes included?

Answer: This solicitation is not for staffing; therefore, no resumes were requested nor are any required.

16. What is maximum pages for technical, volume I?

Answer: There is no page limit listed in the RFP.

17. Can a contractor's CPARS be submitted in lieu of attachment 2? My government POC retired during COVID. Please advise.

Answer: Relevant CPARS completed within the last three years may be submitted in lieu of the Past Performance Questionnaire.

18. On average, how long does it take to process/screen one unique individual case/entity?

Answer: This is dependent upon the vendor’s internal staffing/processing procedures.

The timeframe will also vary significantly depending on how common or uncommon the individual’s or entity’s name is, or if the searched subject is low- or high-profile.

Moreover, the breadth and scope of each screening will vary depending on the type of engagement with USTDA. For example, the Agency anticipates that the timeframe for screening an individual delegate who may be participating in a USTDA-sponsored reverse trade mission would be very different from the timeframe to screen a private sector grantee or a U.S. contractor receiving USTDA grant funding.