Attachment 7 Questions from Industry.pdf

Department of Justice (DOJ) U.S. Trustees

15JPSS25R00000087

# Technical, Cost, or Admin RFP Section, Page Question / Comments DOJ Answers / Responses

1 Admin Question: Is there a set aside for this procurement? Yes, this is a small business set aside under NAICS 541211 which has a size standard of under $26.5M.

2 Admin Section L.1 Type of Contract, Page 46, First Paragraph

Question: The solicitation states "The Government contemplates awarding up to six multiple award Indefinite-Delivery, Indefinite-Quantity (IDIQ) type contracts resulting from this solicitation." Can offerors submit proposals for multiple geographical groups listed in Section 4.3 of the SOW, or must offerors select only one geographical group? If multiple groups are permitted, should separate technical proposals be submitted for each geographical group?

Yes, offerors can propose on one or more geographic regions.

The offerors will need to distinguish the differences between the proposals for each geographical region.

3 Admin Section B.2 Contract Type, Page 2, Second Paragraph

Question: The section states "The Government anticipates up to six multiple award Indefinite-Delivery Indefinite-Quantity (IDIQ) contracts." Will there be one contract awardee per geographical group as defined in SOW Section 4.3, or could multiple firms receive contract awards within the same geographical group?

There will be only one award per geographical region. If an award is contemplated for a vendor for more than one geographical region, the awards will be combined on one contract.

4 Admin Section L.3.2 (RFP Page 58, first paragraph)

Question: Please identify the current incumbent contractor(s) for Chapter 7 trustee audits (e.g., the three CPA firms noted in OIG reports), including predecessor contract number(s), period of performance, and total obligated value to date across all awards.

15JUST20F00000384McBride, Lock & Assoc, LLC 15JUST20F00000388Seber Tans, PLC 15JUST20F00000387Tronconi Segarra & Associates LLP

5 Admin

Electronic File Access in Asset Case Reviews SOW §1.2 (Attachment 2, Page 2, third bullet, third sentence;

Page 2, second bullet); SOW §1.3 (Page 4, final paragraph, citing Handbook Ch.

5.A)

Question: What secure, read-only access protocols will be provided for trustee case management systems, emails, and time records, particularly where UTC entries differ from paper Form 1 summaries?

The nature of access to the trustee's case management systems, emails, and time records, will vary from trustee to trustee. Under the Statement of of Work, the contractor is directed to inquire about access to the trustee's paper and electronic estate files in the entrance conference. However, trustees are generally expected to make records available in an appropriate medium that provides auditor access, while maintaining appropriate safeguards. See also Handbook Chapter 6.C.

6 Admin

Sampling for Regional Practice Variations SOW §1.2 (Attachment 2, Page 3, final two bullets); SOW §1.3 (Page 3, second paragraph; Page 4, second-to-last paragraph, re:

§554(a) abandonments)

Question: How should contractors stratify sampling across the 21 USTP regions to account for stricter regional practices, and will the Government provide a regional matrix of such variations?

Generally, the contractor will be informed of any applicable variations in regional practices upon commencement of audits, in coordination with local office supervisory audit coordinators, where necessary. The Government does not provide a regional matrix of such variations.

# Technical, Cost, or Admin RFP Section, Page Question / Comments DOJ Answers / Responses

7 Admin

UTC Compliance in Cash Receipts/Disbursements SOW §1.2 (Page 2, fourth bullet; Page 2, first bullet); SOW §1.3 (Page 4, final paragraph, citing Handbook Ch. 5)

Question: What thresholds of UTC miscoding (e.g., §345 deposits/investments) trigger mandatory notification to the UST Representative, especially for cases open more than 120 days post-§341(a) meeting without a No-Asset Report?

See Statement of Work, Section 2.2.3, Part C (Receipts), Question 5.e.5.

(Receipts) and Part D (Disbursements), Question 3.d.4.

8 Admin

Hybrid CLIN Determination at Task Order Level Section B.2 (RFP Page 2, second paragraph); Section B.3.A (RFP Page 3, first paragraph);

Section B.3.C (RFP Page 3, third paragraph)

Question: How will reimbursable vs. fixed elements be specified in task orders requiring travel to trustee facilities, and what documentation is required for COR approvals?

The fixed cost is for each audit that is asked to be performed. The travel cost is reimbursable at rates the government would pay per GSA per diem rates. Email and/or written correspondence between contractor and COR is sufficient for approval.

9 Admin

SCA Wage Determination Verification for Options Section B.3.C (RFP Page 3, third paragraph); Section B.3.D (RFP Page 4, first sentence and final paragraph)

Question: Will region-specific DOL Wage Determinations be issued 90 days before each option exercise, and how will variances be reconciled if contractor facilities span multiple USTP regions?

The SCA WD will be updated annually on the anniversary of the contract.

Each SCA WD rate is specific for the performance area.

10 Admin

Transition Plan Milestones Tied to TIR Continuity Section B.1.c (RFP Page 2, third paragraph); Section L.3.2 (RFP Page 58); SOW §1.2 (Page 2, fifth bullet); Section B.3 Minimum Amounts. A (RFP Page 3, first paragraph under subheader)

Question: What specific milestones (e.g., incumbent handoff of open asset cases/Form 3) must be included in the Transition Plan, and will transition funding be provided via a separate CLIN beyond the $1,000 minimum?

There is no incumbent handoff necessary for purposes of performing these audits. The transition plan generally shall describe how the firm will manage the planning, scheduling, and coordination of audits, and timely completion thereof. No transition funding will be available.

# Technical, Cost, or Admin RFP Section, Page Question / Comments DOJ Answers / Responses

11 Admin Attachment 2 SOW USTP Chapter 7 Audit, 2.1.1 Engagement Team, Question: The SOW states, “At least one person supervising each audit that holds a valid Certified Public Accountant credential and has at least 5 years’ experience performing audits of bankruptcy trustees appointed under chapter 7, 12, or 13 of the Bankruptcy Code.”

Would the Government consider allowing the Audit Team Supervisor to have at least 5 years’ experience performing audits of bankruptcy trustees appointed under chapter 7, 12, or 13 of the Bankruptcy Code or 5 years in performing audits for the federal government?

Under the Statement of Work, the USTP retains discretion to accept similar audit experience: "In the discretion of the Office of Oversight, Executive Office for U.S. Trustees, similar experience auditing fiduciaries or working on bankruptcy-related matters may be accepted as substitute experience."

12 Admin Solicitation, Page 1 of 63 Question: In the event of a federal government shutdown, will the Government allow an extension to the proposal due date of October 20, 2025 to account for any delays caused by the shutdown?

There is no extension for the government shutdown.

13 Admin Solicitation, Section L.3.2 Volume II - Technical Proposal, Subsection Staffing Plan, Page 52 of 63

Question: Section L.3.2, Staffing Plan, C.1 states, “The proposed Audit Team Supervisor shall hold a valid Certified Public Accountant credential and has at least 5 years’ experience performing audits of bankruptcy trustees appointed under chapter 7, 12, or 13 of the Bankruptcy Code.”

Would the Government consider allowing the Audit Team Supervisor to have at least 5 years’ experience performing audits of bankruptcy trustees appointed under chapter 7, 12, or 13 of the Bankruptcy Code or 5 years in performing audits for the federal government?

Under the Statement of Work, the USTP retains discretion to accept similar audit experience: "In the discretion of the Office of Oversight, Executive Office for U.S. Trustees, similar experience auditing fiduciaries or working on bankruptcy-related matters may be accepted as substitute experience."

14 Admin Solicitation, Section L.3.2 Volume II - Technical Proposal, Subsection Staffing Plan, Page 52 of 63

Question: Section L.3.2, Staffing Plan C.3 states that the resumes have a two-page maximum.

Would the Government consider allowing resumes not to exceed three pages?

No, the information needs to be recent and relevant and the 2-pages maximum is reasonable.

# Technical, Cost, or Admin RFP Section, Page Question / Comments DOJ Answers / Responses

15 Admin

Solicitation, Section M.2 52.212-2 Addendum Evaluation--Commercial Products and Commercial Services, Subsection Past Performance (paragraph 4), Page 60 of 63

Question: Section B states, “The Offeror shall complete Attachment 4 Past Performance Questionnaire (PPQ) Sheet and send it to each of the three customer references for the assessment. The customer references will then complete Section 4 of the form for the contracts identified on Attachment 3 Past Performance Data (PPD) sheet.”

For government customers with recent layoff/turnovers, would CPARS be an acceptable method, instead of completing a past performance questionnaire?

The Government can accept a CPARS if it is attached in the Past Performance volume and provided directly to the Government.

16 Admin SOW Pg 8, Section 2.1.1 – Staffing Plan, Subsection B

Question: Is it possible to get a waiver for an individual without a bachelor’s degree, but has the requisite experience and several certifications (CFE and CAMS) to work on this engagement under the supervision of a CPA with relevant experience?

See Section 2.1.1 of the Statement of Work regarding the minimum qualifications for the Audit Firm and of Audit Fieldwork. Such individual may be able to work on the engagement if the Audit Firm itself ,and the Audit Fieldwork team, fit within the criteria.

17 Admin SOW Section 2.2.4 – Audit Report and Post Fieldwork, Subsection C

Question: Per GAGAS Performance Audit Standards, no opinion is issued as a result of these audits, but rather a reasonable basis for any findings and conclusions. Would the Department allow the Contractor to adjust the reporting templates to be compliant with GAGAS standards?

No. The USTP maintains its own template for purposes of these audits and would not accept adjustments to the template as proposed.

18 Admin SOW Pg. 33 Section 3.1 – Conflicts of Interest

Question: Will the contractor be barred from being retained by any Chapter 7 Trustee to do bankruptcy work? (Even if not being audited)

Section 3.1 of the Statement of Work prescribes the nature and extent to which contractors will hold disqualifying conflicts of interest in performing an audit. With respect to being retained by a trustee to do bankruptcy work, the contract states that "[t]he Contractor or its employees may not have performed services, within the past two years, for the trustee or a debtor in a case administrated by the chapter 7 trustee, unless the engagement team is subject to an information barrier from that part of the audit firm that provides non-chapter 7 trustee audit services."

19 Admin SOW Pg. 37 Section 4.3 Place of Performance

Question: This section states that work will be performed in person at the trustee’s offices.

Can you please confirm that 100% of the work is expected to be completed on-site?

Generally, the USTP expects for the audit field work to be performed 100% onsite at the business locations maintained by the trustees.

However, certain aspects of the audit, including, pre-field work and post-field work, may be conducted at the contractor's business location.

20 Admin SOW Pg. 37 Section 4.3 Place of Performance

Question: Is the expectation that there will be one contractor to audit all groups (1-6), or do bidders have the ability to propose on the audits for specific groups?

Offerors are expected to propose on geographical regions. One or more is acceptable.

# Technical, Cost, or Admin RFP Section, Page Question / Comments DOJ Answers / Responses

21 Admin SOW Pg. 34 Section 3.1 – Conflicts of Interest, Subsection F

Question: Under the previous contract, how many times was the Contractor required to testify, if any?

To USTP's knowledge, no contractor was required to testify under the previous contract.

22 Admin Solicitation Section B.3 - Pricing Question: On average, how many hours did each audit take to complete for the Contractor under the previous contract?

The average number of hours required for the completion of each audit under the prior contract is not measured by USTP.

23 Admin G.7 Ordering Procedures, Pg. 14 Question: Is the travel reimbursement included in the ceiling of $7.1M? No.

24 Admin Attachment 1 Price Chapter 7 Audits (Pricing Sheet)

Question: Should we expect to audit approximately 199 per option year as well? If not, could you please provide an estimated number of audits for the option years?

The number of audits scheduled each year will vary based on the number of new trustees appointed and the number of trustees that resign or retire.

Although USTP currently anticipates scheduling a similar number of audits each year, USTP reserves the right under the contract to exercise or to not exercise one or more options, and, with respect to each option, to establish the number of audits required.

25 Admin General/Not Applicable Question: Are all the incumbents eligible to bid/receive a follow-on award? Yes, they are.

26 Admin General/Not Applicable

Question: We recommend that USTP develop a secure web-based portal to streamline case management and oversight. The portal would code some of the standard audit requirements, automate routine checks, and prompt trustees to correct deficiencies, as well as centralize correspondence to ensure a complete audit trail. It would also support remote fieldwork, consistent with the SOW, to improve coordination and efficiency.

This solution would deliver measurable cost savings to USTP by reducing manual audit hours, cutting administrative overhead, and lowering travel expenses, while also improving timeliness, consistency, and transparency across trustee audits nationwide.

Thank you for submitting a suggestion for the Program's consideration.