Attachment_C.docx

Attachment-C Instructions and Evaluation Strategy

PROPOSAL INSTRUCTIONS

The Offeror assumes full responsibility for ensuring all electronic materials and attachments submitted are formatted in accordance with the Bureau of the Fiscal Service Security Requirements. The following file extensions are not allowable and application materials/data submitted with these extensions cannot be considered:

.bat, .cmd, .com, .exe, .pif, .rar, .scr, .vbs, .hta, .cpl, html, mhtml, and .zip files

The Government does not allow 3rd party messaging systems/secure mail, other than when authorized by the Government. In those cases, the Government's 3rd party message system will be used when requested.

Microsoft Office non-macro enabled compatible documents and .PDF documents are acceptable. If the Offeror determines that other formats are necessary, it is the Offeror’s responsibility to verify with Fiscal Service that those formats are acceptable. Proposal materials with unacceptable or unreadable formats may be found non-responsive.

In addition to the items specified in the solicitation provision above, the following information is necessary to enable proper evaluation:

Offerors shall, in relation to providing clear and sufficient information that their personnel meet the minimum qualifications stated in the PWS.

(a) NOT send by email a copy of an identification card with a photograph such as a driver's license, social security card, or passport, or prior government security clearance documents, etc., and

(b) NOT include their physical home and mailing address, social security number, etc. in their supporting resumes and education attainments.

i. Mark out with permanent black marker their physical or mailing address in their educational attainments, leaving the individual’s name on the document(s).

(c) NOT include any information that can be used to distinguish or trace an individual’s identity, either alone or when combined with other information that is linked or linkable to a specific individual that would be considered Personally Identifiable Information (PII).

i. Examples are, but not limited to, education attainment documents that contain the individual’s name and home address, financial transactions, medical history, and criminal or employment history and information; which can be used to distinguish or trace an individual’s identity, such as their name, social security number, national ID number, date and place of birth, mother’s maiden name, biometric records, photograph, physical home and/or email address, phone number, driver’s license, etc., including any other personal information which is linked or linkable to an individual.

(a) Price shall be shown in U.S. dollars with a maximum of two decimal points.

(b) Include the following:

1) Per unit and extended pricing for each item.

2) Delivery terms _________________

3) DUNS #

4) Invoice Terms

5) Payment Terms

6) Confirmation of registration with the Securities and Exchange Commission (SEC) in accordance with the Securities Exchange Act of 1934.

7) Confirmation of a Euroclear account or an equivalent to process foreign securities.

8) Confirmation of Medallion Signature Guarantee Stamp with a surety limit/coverage of $10 million to handle, safe keep and liquidate domestic &/or foreign securities transactions up to $100 million.

9) Confirmation of 5 years of experience in the domestic and/or 5 years of experience in foreign securities exchange industry.

10) Confirmation of the ability to safe keep securities transferred to them from the Government.

11) Confirmation as a registered member with an active status with all other applicable regulatory authorities for conducting business transaction in as a broker-dealer (i.e. State Security Commissions, etc.) and are in compliance with all applicable federal, state, and foreign securities exchanges, laws, and regulations to safe keep, liquidate and financially report transactions for all domestic and/or foreign securities.

12) Resumes of Key Personnel. Contractor Key Personnel (Contractor & subcontractor personnel) shall have at least 5 years of domestic and/or 5 years of foreign securities experience and are properly registered with the Financial Industry Regulatory Authority (FINRA) and all applicable SROs and State Securities Commission(s). The Government reserves the right to request a list of all security professionals that are performing broker-dealer services at any time during the life of the IDIQ contract for verifying registration. Include the resumes of employees that will work with the Bureau of the Fiscal Service on a regular basis.

13) Provide Same Day Turnaround Plan.

14) Provide Risk Mitigation Plan.

15) Provide three (3) recent (work performed within the last 5 years) and relevant (work very similar to that requested here) references for whom the offeror has performed brokerage services. For each reference the offeror must provide the following information: agency/business name, contact name, telephone number, e-mail address, project title, and date the services were performed.

16) Provide specifics on experience working closely with institutional clients with few to large volume open market stock trades, whereas the firm was able to minimize the impact on a company’s market price.

17) Provide specifics on ability to work closely with institutional clients to research and liquidate stock certificates or other securities of a closely-held or privately-held company.

18) Provide specifics on their experience liquidating foreign securities.

19) Completed Attachment A – Securities/Instruments & Commissions spreadsheet.