ATTACHMENT L-5 AMENDMENT 00001 Questions and Answers RFP No 50310221R0014 7-14-2021.pdf

ATTACHMENT L-5 - Amendment 00001 Questions and Answers RFP No. 50310221R0014

# Section Page Question Government Answers 1 Sample

Task 1 Page 2-3 Will the contractor be responsible for designing the disclosure documents?

For the purposes of the sample task budget and scope: assume no.

However, contractor should have the capacity to bring in experts if needed.

2 Sample Task 1

Page 3-4 Will the contractor be responsible for developing the online survey?

In the case of the sample task: assume that OIAD has an initial set of draft questions, but will require support for refining the questions, and placing the instrument into the field.

3 Sample Task 1

Page 4, final paragraph

How will the variable payment incentives be calculated?

The design of the experiment well-orders responses in terms of “correctness” for participants, which determines “performance.” For the purposes of budgeting for the sample task, assume that participants are assigned to performance quintiles (increasing in performance).

Take your typical incentive payment for a 15 minute survey. Quintiles will then receive: 0, .25, .5, 1, and 2 multiples of the 15 minute bonus payment. For example, if your normal incentive for 15 minutes is $5, the quintiles would receive $0, $1.25, $2.50, $5, $10, respectively.

Note that after the experiment is more fully scoped, the actual payment scheme may be configured differently (For example, see:

https://www.nber.org/system/files/working_papers/w14859/w14859.pdf for an example of an alternative incentive scheme).

4 Sample Task 1

Page 5, top paragraph

What format is required for the weekly progress reports?

The contractor will provide an oral report and a weekly call agenda.

More detailed reporting would be required for lower frequency reports.

5 Sample Task 1

Page 5, second paragraph

The SEC appears to be requesting PII here, but specifies that PII should not be shared in other parts of the RFP. Is the SEC requesting PII?

The SEC does not require PII for creation of a longitudinal structure.

The contractor may need PII for this purpose. The SEC will need a unique panel identifier that does not include PII for each individual in the sample (e.g. each participant gets an ID unique to the panel so that the individual participant can be tracked over time, but this does not have to link to any PII – e.g. Panelist 1, Panelist 2, Panelist 3,….

6 Sample Task 1

Page 5, paragraph 3

Are all missing data (all variables) in the dataset to be imputed?

For budgeting purposes, contractors may assume that 5% of variables for “complete” participants will be subject to imputation, and that the contractor will provide both the original and imputed values to the government.

7 Sample

Page 5, paragraph 4

Will the SEC provide an analytic plan that specifies the variables to be used in the regressions, including any recoding, as well

Yes.

https://www.nber.org/system/files/working_papers/w14859/w14859.pdf

# Section Page Question Government Answers as the analytic methodology to be used?

8 Sample Task 1

Page 6, first paragraph

For budgeting purposes, can the SEC specify more detail on ‘research-related technical assistance’, including LOE (either part or full-time, for what duration) and location (offsite or onsite)?

This is a time and materials contract with varying LOE for specific stages of research (for example, if a dataset is rich enough and initial analysis is promising, the SEC may request additional subgroup analysis). The purpose of this paragraph is to clarify that additional skills, labor categories or competencies may be required for completion of the analysis and report described in the paragraph.

*** THIS RESPONSE IS AN EXAMPLE AND IS TO BE USED

FOR ESTIMATION PURPOSES ONLY BECAUSE IT IS NOT

CONCRETE. THE GOVERNMENT HAS PROVIDED AN

OVERALL ESTIMATED LOE IN ATTACHMENT L-1 FOR

SAMPLE TASK 1. For the purposes of estimating/budgeting, account for the following offsite:

120 hours for research assistant 60 hours for analyst 15 hours for statistician 15 hours for subject matter expert

9 Sample

Page 7, Stage 4 Should this Task be included in the Sample Task Order budget?

Yes.

10 Sample Task 1

General Can the SEC provide a timeline for this Task Order, including the timing of deliverables?

Stages 1-3 completion by FY2022 Q2; CY 2022 Q1. 5 additional months for Stage 4. If multiple awards are made on the sample task, the timeline may differ by award.

11 Sample Task 2

Page 3, paragraph 6

What format is required for the weekly progress reports?

The contractor will provide a verbal report and a weekly call agenda. A more detailed reporting is required for lower frequency reports.

12 Sample Task 2

Page 3, paragraph 6

Can the SEC provide more detail on ‘unannounced visits’?

Contractors will keep us informed of when you’re doing the work, and we show up without telling contractor to observe data collection. If other data capture is integrated (e.g. in-depth-interviews), we observe.

This does not apply to online-only survey data capture. At the same time, if the contractor is billing for time, we have the right to observe to ensure that the government’s work is being performed adequately and in accordance with protocols. We will not be visiting during COVID conditions.

# Section Page Question Government Answers 13 Sample

Task 2

Page 3, paragraph 7

The SEC appears to be requesting PII here, but specifies that PII should not be shared in other parts of the RFP. Is the SEC requesting PII?

The SEC does not require PII for creation of a longitudinal structure.

The contractor may need PII for this purpose. The SEC will need a unique panel identifier that does not include PII for each individual in the sample (e.g. each participant gets an ID unique to the panel so that the individual participant can be tracked over time, but this does not have to link to any PII – e.g. Panelist 1, Panelist 2, Panelist 3,….

14 Sample Task 2

Page 4, Administrative Data Integration

Is this task to be included in the Sample Task Order budget?

Contractors should identify specific datasets that have the potential to be integrated in their proposal. While not required, it is strongly recommended that contractors identify at least one specific administrative dataset that: has the potential to inform OIAD on matters of household finance; is obtainable by the contractor; can feasibly be linked to individual-level survey observations; and, ideally, that the contractor has had experience using in the past. The contractor should discuss benefits and limitations of this data (e.g. if consent is required, expected consent rates, variables that would be included/excluded, measurement issues,…). The contractor is recommended to provide pricing for acquisition and integration of this data.

15 Sample Task 2

General Can the SEC provide a timeline for this Task Order, including the timing of deliverables?

Please clarify question, the timeline is indicated on p2, paragraph 2 of attachment C-3. This is expected to be an ongoing need.

16 Sample Task 2

Page 5, first paragraph

For budgeting purposes, can the SEC specify more detail on ‘research-related technical assistance’, including LOE (either part or full-time, for what duration) and location (offsite or onsite)?

If requested, the contractor will provide at least one full-time Type II research assistant on site to assist the PI(s) with research tasks. Note “on-site” is subject to COVID precautions. The contractor will also make available other labor categories for the execution of the survey design and data collection (e.g. statistician, data analysts, etc.)

*** THIS RESPONSE IS AN EXAMPLE AND IS TO BE USED

FOR ESTIMATION PURPOSES ONLY BECAUSE IT IS NOT

CONCRETE. THE GOVERNMENT HAS PROVIDED AN

OVERALL ESTIMATED LOE IN ATTACHMENT L-1 FOR

SAMPLE TASK 2. For the purposes of estimating/budgeting, account for the following:

1 FTE hours for research assistant for 1 year 30 hours for analyst per survey 10 hours for statistician per survey

# Section Page Question Government Answers 10 hours for subject matter expert per survey

17 Sample Tasks 1 and

General Can the SEC further explain how the inclusion of external subject matter experts should be budgeted?

For each sample task, budget for 200 hours of SME per year in addition to the time assumptions noted above. If the question is about pricing, assume the time allocation is split evenly for each of the SME indicative resumes included with the proposal in the specified subject areas.

18 OIAD

POSITIER

RFP

Page 67 Will subcontractors also need to complete Section K – Representations and Certifications? Please confirm.

This section is informational only because offerors shall have already completed representations and certifications because they must already have a valid SAM.gov registration at the time of proposal submission.

See updated RFP via Amendment 00001.

19 OIAD

POSITIER

RFP

Page 13, top paragraph

Will the reporting requirements, including format, due dates, acceptance criteria, and frequency, for each Task Order be specified in RFPs, including Ad Hoc reports?

Any additional requirements not specified in the IDIQ, will be specified at the TO RFP level. Additional reporting, if necessary, will be determined subsequent to award at the TO level.

20 OIAD

POSITIER

RFP

Page 52, section H.30

What software is being referred to in this section?

The software that will be used in performance of the requirements.

21 OIAD

POSITIER

RFP

Page 39, section H.20

Are all staff who work on the project required to complete the trainings listed on pages 39-40?

If not, which staff are required to complete these trainings?

All staff assigned to perform services against the contract are required to complete the trainings.

22 OIAD

POSITIER

RFP

Pages 9, section B4 and subsequent

(a) The RFP makes multiple references to “Attachment B- 1, Labor Rate Tables,” which seemingly is the list of labor categories for which ceiling rates are to be proposed.

However, Attachment B-1 is not included in the RFP documents on SAM.gov and page 66 of the RFP states that

(a) Attachment L-1 will be used to put together Attachment B-1 in awarded contracts.

(b) The prime contractor labor rates also serve as the ceiling rates for any/all proposed subcontractors.

(c) (i) The ceiling rates proposed in the labor rate table apply to both the prime contractor and any/all subcontractors. (ii) The proposed ceiling indirect rate(s) applicable to direct materials, subcontracts for supplies, and other direct costs applies to the prime contractor and subcontractors. The government will not pay a different or higher ceiling for any subcontractors.

# Section Page Question Government Answers Attachment B-1 is “Reserved.

To be completed at contract award by the Government”.

However, the RFP does include Attachment L-1; is Attachment L-1 to be inserted into the contract upon award?

(b) Does each proposed subcontract requires its own set of labor rates in the labor rate table for any labor categories for which it will supply labor or may the prime contractor labor rates also serve as the ceiling rates for any/all proposed subcontractors (as seems to be indicated by section B.5.1(b) “Subcontractor Rates. All rates shall be proposed and billed at the Prime level”)?

(c) Please confirm (i) the ceiling rates proposed in the labor rate table apply to both the prime contractor and any/all subcontractors and (ii) the proposed ceiling indirect rate(s) applicable to direct materials, subcontracts for supplies, and other direct costs applies to the prime contractor only (ie, such

# Section Page Question Government Answers indirect rate(s) for subcontractors are not subject to the prime contractor ceiling nor any other ceiling).

23 OIAD

POSITIER

RFP

Attachment L-1 (a) Does the Government have minimum requirements (say, in terms of education and years of relevant experience) for the labor categories listed?

For example, what distinguishes a “Senior sampling statistician” from a “Sampling statistician”?

(b) Please clarify what offerors are expected to insert in the column marked “Proposed Labor Category”? How might this be different than what is listed in the column marked “SEC Labor Cateogry”?

(c) The labor category list includes “Regular on-site staff, Regular off-site staff, Intermittent staff.” However, these are not typically labor categories per se, but characteristics that affect the level of fringe benefits and indirect cost loading on a particular labor category.

Also, as noted in section B.4.b (page 9), offerors are required to propose “Government Site

(a) See Attachment B-2 that was added via this Amendment 00001.

(b) “Proposed labor category” shall be completed with the name of the quoters actual labor category, which may be different than the name the government used. Quoters shall keep in mind that the SEC provided labor categories are just a starting point and they should add additional labor categories they determine necessary to ensure the appropriate labor categories will be available throughout the life of the contract.

(c) Quoters shall propose one set of rates for all Government Site work (on-site work in Attachment L-1) and one set of rates for all Contractor Site work (off-site work in Attachment L-1). The Regular on-site staff, Regular off-site staff, or Intermittent staff labor categories were removed from Attachment L-1 via Amendment 00001 to this RFP.

# Section Page Question Government Answers Rates” (off-site staff in our cost accounting structure) and “Contractor Site Rates” (on-site staff in our cost accounting structure). Please confirm that offerors should propose one set of rates for all Government Site work and one set of rates for all Contractor Site work and indicate whether these rates are categorized as Regular on-site staff, Regular off-site staff, or Intermittent staff (ie, Regular on-site staff, Regular off-site staff, Intermittent staff are not treated as specific labor categories, but as types of labor burdening for each labor category). For the sake of clarity, we request that the Government consider removing Regular on-site staff, Regular off-site staff, Intermittent staff as “labor categories” (worksheet rows 34-36) from Attachment L-1.

24 OIAD

POSITIER

RFP

Page 96, section L.9.1.(b)(2)(a)

The RFP states “(d) The Offeror shall identify the indirect rates, for both the Offeror and the Subcontractor(s), used in the proposal. The Offeror shall identify whether the indirect rates proposed are FPRAs or ACO/DCAA recommended rates, This applies to all indirect rates incorporated in the proposal including those included in the ceiling labor rates.

# Section Page Question Government Answers or Offeror proposed rates. The Offeror must provide an explanation of what costs are included in each overhead pool.”

Please clarify if this applies to all indirect rates incorporated in the proposal (including those included in the ceiling labor rates) or only to the indirect rate(s) applied to direct materials, subcontracts for supplies, and other direct costs.

25 Reference: RFP Attachment L- 1 Tab “Sample Task 1 pricing Base”, Row 23

The RFP document indicates Other Direct Costs (ODCs) are not to exceed $190,000, however Attachment L-1 ODC total is pre-filled as $166,000. Please clarify the maximum amount allowed for ODCs in task order 1.

The $190,000 on the SF 1449 is not the same as the $160,000 ODC amount in Attachment L-1 for the sample tasks. The maximum ODC amount for sample task 1 per year is $166,000. The $190,000 on the SF 1449 represents the maximum amount of ODCs at the IDIQ level.

26 Reference: RFP Section H.29, Pages 46-52

Will the contractor be expected to participate in a certification and accreditation (C&A) effort? If so, what is the expected level of involvement from the contractor?

Are there any ongoing C&A activities that should be included in the proposed budget?

No.

27 Reference: RFP

Will the contractor be required to submit a Privacy Act Assessment?

Yes

# Section Page Question Government Answers 28 Reference: RFP

What is the FIPS 199 security categorization level for this system?

This is not a system being developed.

29 Reference: RFP Section I.2 Clauses Incorporated by Full Text, On page 60 of the RFP, the Service Contract Act FAR Clauses 52.222-41 and 52.222-43 are marked as being incorporated in the contract, however, a Wage Determination is not referenced or attached. Please specify which Wage Determination(s) are applicable.

Although the clauses are checked, at this time there are no anticipated SCA labor categories and therefore no need for a Wage Determination.

30 Reference: RFP Section L.8.2 General Format Instructions, Pages 89-94

How should each volume of the proposal be submitted: Should bidders provide a single file for each volume, or should each tab be a separate file?

As long as the tabs are clearly labeled/identified and the emails submitted are within the maximum size limit of 12MB and all page limitations are followed, it is up to the quoter to decide whether to provide a single file for each volume or a separate file for each tab.

31 Reference: RFP Attachment L- 1, Tab “IDIQ BASE Labor Rates”, Rows 34-35

For pricing purposes, should bidders assume on-site is work completed within SEC’s facilities and off-site is work to be conducted outside of SEC facilities?

Correct. Bear in mind that COVID restrictions may limit access to the SEC or OIAD work status. In such circumstances, most or all work would be conducted remotely. For the purposes of planning and budgeting, assume that COVID restrictions are no longer in place.

32 Reference: RFP Attachment L- 1 Tab “Sample Task 2 pricing Base”, Row 22

The RFP document indicates Other Direct Costs (ODCs) are not to exceed $190,000, however Attachment L-1 ODC total is pre-filled as $166,000. Please clarify the maximum amount allowed for ODCs in task order 2.

The $190,000 on the SF 1449 is not the same as the $160,000 ODC amount in Attachment L-1 for the sample tasks. The maximum ODC amount for sample task 1 and sample task 2 per year is $166,000. The $190,000 on the SF 1449 represents the maximum amount of ODCs at the IDIQ level.

# Section Page Question Government Answers

33 Reference: RFP Attachment C- 2, Paragraph 1, Page 1 and RFP Section L.9.1;

Tab D – Sample Task 1 Pricing Template, Paragraph 1, Per attachment C-2, sample task order 1 states “For Pricing purposes assume a 12 month Base Period and four 12 month long Option Periods”, however the main RFP document states “For pricing purposes, offerors shall assume 12 month Base Period and nine (9), 12 month long Option Periods for Sample Task 1.”. Please clarify which should be submitted for task order 1.

Quoters shall assume a 12 month Base Period and nine (9), 12 month long Option Periods for Sample Task 1. Attachment C-2 has been revised via Amendment 00001.

34 Reference: RFP Attachment C- 2, Paragraph 1, Page 1 and RFP Section L.9.1;

Tab E – Sample Task 2 Pricing Template, Paragraph 1, Per attachment C-2, sample task order 2 states “For Pricing purposes assume a 12 month Base Period and four 12 month long Option Periods”, however the main RFP document states “For pricing purposes, offerors shall assume 12 month Base Period and nine (9), 12 month long Option Periods for Sample Task 1.” Please clarify which should be submitted for task order 2.

Quoters shall assume a 12 month Base Period and nine (9), 12 month long Option Periods for Sample Task 1. Attachment C-3 has been revised via Amendment 00001.

# Section Page Question Government Answers 35 Reference: RFP

Attachment C- 2: Sample Task 1 “Disclosure” Description

What is the period of performance for the sample task order 1?

Base period of 12 months with nine 1 year options. Assume a base period award of September 30, 2021.

36 Reference: RFP Attachment C- 3: Sample Task 2 “Survey” Description

What is the period of performance for the sample task order 2?

Base period of 12 months with nine 1 year options. Assume a base period award of September 30, 2021.

37 Reference: RFP Attachment L- 1, Tab “IDIQ BASE Labor Rates”

Could SEC please provide definitions for each labor category in the Labor Rates Table?

See Attachment B-2 that was added via this Amendment 00001.

38 RFP, Section B.4 Contract Pricing (page 9)

Section B.4 Contract pricing refers to Attachment B-1 Labor Rate Tables, however this attachment was not provided.

Can SEC please provide the B-1 attachment?

Attachment B-1 does not exist yet and will not exist until contract award which is why it is reserved. Attachment L-1 of the RFP will be used to develop Attachment B-1 that will become part of the contract for the quoter or quoters that receive a contract award.

39 RFP, Section L.9.1 Tab B (page 95)

#7 for Tab B--Contract Documents lists a completed signed copy of Attachment H-2 Nondisclosure Agreement.

However this section of the RFP also states that this NDA will be required for all personnel at Task Order Award. Can SEC please confirm whether contractors are required to submit employee NDAs with their proposal submission?

Contractor employee NDAs will be required at the Task Order level and are not required at this time unless a quoter earns a TO award as a result of this RFP and then the employee NDAs will be requested prior to Task Order performance.

# Section Page Question Government Answers 40 RFP, Section

L.9.1 Tab E (page 105)

The scope of the RFP covers both evaluation and survey research.

Yet the corporate experience requirements are defined soley in terms of collecting "high quality, scientific quality survey data…" Moreover, this is operationalized as extensive experience collecting and preparing "probability-based large scale Public Use Microdatasets that have been widely used by the academic community." This requirement seems (1) to not cover the scope of the services under the RFP, and (2) an unduly restrictive interpretatation of "high-quality surveys" (many agencies contract for rigorous survey research but they do not result in PUMS). We urge the Government to more closely align the corporate experience requirements by (1) requiring vendors to demonstrate experience conducting evaluations, particularly in the consumer financial sector, and

(2) removing the requirement that demonstration of expertise in survey research is defined only in terms of the production of PUMS with academic publications.

The RFP is intended to cover both evaluation and survey research. In response to this comment, we have clarified the requirements in Tab D (Corporate Experience, Past Performance, and Technical Expertise). In particular, offerors who have experience with high quality, non-survey projects are encouraged to state that information in a description of their past performance. Additional information on survey capabilities and PUMS can also be included as per the instructions in that section. Note, however, that OIAD strongly encourages contractors to build capacities or form teams to be able to deliver at a high quality level across all task areas that are stated in the RFP.

RFP Section L.9.2, Tab E which addresses this information, has been revised slightly via this Amendment 00001.