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Cover Page Attachment D - Price/Cost Schedule Template
Step 1 - Price Assump INSTRUCTIONS: Quoters shall quote the most advantagous pricing APPROACH for each Plan. You shall quote a % of plan assets rate OR a per participant rate approach individually for each Plan. You CANNOT quote both a "% of plan assets rate" approach AND a "per participant rate" approach for the SAME Plan (see example below). The 401(k) plan growth assumptions below shall be used to normalize the price evaluation.
| For example, Quoters would complete the first table (column E) if quoting Approach 1 for the OCC Plan, and the second table (column G) if quoting Approach 2 for the OTS Plan. If quoting Approach 1 for BOTH plans, Quoters would only complete table one and disregard table 2. | | | | | | | |
| TABLE 1: 401(k) Plan Asset Growth Pricing Assumptions (assumes 20% plan asset growth year over year) | | | | | | | |
| CLIN Reference | Period | OCC Plan | OTS Plan | APPROACH 1: OCC % of Plan Assets Rate (Basis Points) | OCC Total Fee | APPROACH 1: OTS % of Plan Assets Rate (Basis Points) | OTS Total Fee |
| 0001 | Base Period | $ 1,000,000,000.00 | $ 400,000,000.00 | 0.000% | $ - 0 | 0.000% | $ - 0 |
| 1001 | Option Period 1 | $ 1,200,000,000.00 | $ 480,000,000.00 | 0.000% | $ - 0 | 0.000% | $ - 0 |
| 2001 | Option Period 2 | $ 1,440,000,000.00 | $ 576,000,000.00 | 0.000% | $ - 0 | 0.000% | $ - 0 |
| 3001 | Option Period 3 | $ 1,728,000,000.00 | $ 691,200,000.00 | 0.000% | $ - 0 | 0.000% | $ - 0 |
| 4001 | Option Period 4 | $ 2,073,600,000.00 | $ 829,440,000.00 | 0.000% | $ - 0 | 0.000% | $ - 0 |
| Total Fee | | | | | $ - 0 | | $ - 0 |
| TABLE 2: 401(k) Plan Active Participant Growth Assumptions (based on historical data) | | | | | | | |
| CLIN Reference | Period | OCC Plan | OTS Plan | APPROACH 2: OCC Per Participant Rate | OCC Total Fee | APPROACH 2: OTS Per Participant Rate | OTS Total Fee |
| 0002 | Base Period | 4800 | 800 | $ - 0 | $ - 0 | $ - 0 | $ - 0 |
| 1002 | Option Period 1 | 4925 | 750 | $ - 0 | $ - 0 | $ - 0 | $ - 0 |
| 2002 | Option Period 2 | 5050 | 700 | $ - 0 | $ - 0 | $ - 0 | $ - 0 |
| 3002 | Option Period 3 | 5175 | 650 | $ - 0 | $ - 0 | $ - 0 | $ - 0 |
| 4002 | Option Period 4 | 5300 | 600 | $ - 0 | $ - 0 | $ - 0 | $ - 0 |
| Total Fee | | | | | $ - 0 | | $ - 0 |
Step 2 - Tier Fee Schedule INSTRUCTIONS: The Quoter shall also quote a tier fee schedule for each period of performance. Quoter shall consider but is not required to reduce or increase its fee schedule due to positive/negative growth in plan assets, plan participants or other market conditions during each period of performance. The Quoter shall select the same APPROACH from "Step 1 - Price Assump" Tab (% of plan assets OR per participant fee) for each Plan.
| Base Period | | | |
| Total Assets Average Daily Qtr Balance (excluding company stock, Self-Directed Brokerage Acccounts and loans) | APPROACH 1: OCC Basis Point Tier Fee Schedule (if applicable) | Total Assets Average Daily Qtr Balance (excluding company stock, Self-Directed Brokerage Acccounts and loans) | APPROACH 1: OTS Basis Point Tier Fee Schedule (if applicable) |
| [State N/A if not quoting a gliding fee schedule based on increase in plan assets] | [If not quoting a gliding fee schedule based on increase in plan assets, state fee one time] | [State 'N/A' if not quoting a gliding fee schedule based on increase in plan assets for either plan] | [If not quoting a gliding fee schedule based on increase in plan assets, state fee one time] |
| Total Participants with a balance during the quarter | APPROACH 2: OCC Per Participant Fee Schedule (if applicable) | Total Participants with a balance during the quarter | APPROACH 2: OTS Per Participant Fee Schedule (if applicable) |
| [State 'N/A' if not quoting a gliding fee schedule based on increase in plan participants] | [If not quoting a gliding fee schedule based on increase in plan participants, state fee one time] | [State 'N/A' if not quoting a gliding fee schedule based on increase in plan participants] | [If not quoting a gliding fee schedule based on increase in plan participants, state fee one time] |
| Option Period One | | | |
| Total Assets Average Daily Qtr Balance (excluding company stock, Self-Directed Brokerage Acccounts and loans) | APPROACH 1: OCC Basis Point Tier Fee Schedule (if applicable) | Total Assets Average Daily Qtr Balance (excluding company stock, Self-Directed Brokerage Acccounts and loans) | APPROACH 1: OTS Basis Point Tier Fee Schedule (if applicable) |
| [State N/A if not quoting a gliding fee schedule based on increase in plan assets] | [If not quoting a gliding fee schedule based on increase in plan assets, state fee one time] | [State 'N/A' if not quoting a gliding fee schedule based on increase in plan assets for either plan] | [If not quoting a gliding fee schedule based on increase in plan assets, state fee one time] |
| Total Participants with a balance during the quarter | APPROACH 2: OCC Per Participant Fee Schedule (if applicable) | Total Participants with a balance during the quarter | APPROACH 2: OTS Per Participant Fee Schedule (if applicable) |
| [State 'N/A' if not quoting a gliding fee schedule based on increase in plan participants] | [If not quoting a gliding fee schedule based on increase in plan participants, state fee one time] | [State 'N/A' if not quoting a gliding fee schedule based on increase in plan participants] | [If not quoting a gliding fee schedule based on increase in plan participants, state fee one time] |
| Option Period Two | | | |
| Total Assets Average Daily Qtr Balance (excluding company stock, Self-Directed Brokerage Acccounts and loans) | APPROACH 1: OCC Basis Point Tier Fee Schedule (if applicable) | Total Assets Average Daily Qtr Balance (excluding company stock, Self-Directed Brokerage Acccounts and loans) | APPROACH 1: OTS Basis Point Tier Fee Schedule (if applicable) |
| [State N/A if not quoting a gliding fee schedule based on increase in plan assets] | [If not quoting a gliding fee schedule based on increase in plan assets, state fee one time] | [State 'N/A' if not quoting a gliding fee schedule based on increase in plan assets for either plan] | [If not quoting a gliding fee schedule based on increase in plan assets, state fee one time] |
| Total Participants with a balance during the quarter | APPROACH 2: OCC Per Participant Fee Schedule (if applicable) | Total Participants with a balance during the quarter | APPROACH 2: OTS Per Participant Fee Schedule (if applicable) |
| [State 'N/A' if not quoting a gliding fee schedule based on increase in plan participants] | [If not quoting a gliding fee schedule based on increase in plan participants, state fee one time] | [State 'N/A' if not quoting a gliding fee schedule based on increase in plan participants] | [If not quoting a gliding fee schedule based on increase in plan participants, state fee one time] |
| Option Period Three | | | |
| Total Assets Average Daily Qtr Balance (excluding company stock, Self-Directed Brokerage Acccounts and loans) | APPROACH 1: OCC Basis Point Tier Fee Schedule (if applicable) | Total Assets Average Daily Qtr Balance (excluding company stock, Self-Directed Brokerage Acccounts and loans) | APPROACH 1: OTS Basis Point Tier Fee Schedule (if applicable) |
| [State N/A if not quoting a gliding fee schedule based on increase in plan assets] | [If not quoting a gliding fee schedule based on increase in plan assets, state fee one time] | [State 'N/A' if not quoting a gliding fee schedule based on increase in plan assets for either plan] | [If not quoting a gliding fee schedule based on increase in plan assets, state fee one time] |
| Total Participants with a balance during the quarter | APPROACH 2: OCC Per Participant Fee Schedule (if applicable) | Total Participants with a balance during the quarter | APPROACH 2: OTS Per Participant Fee Schedule (if applicable) |
| [State 'N/A' if not quoting a gliding fee schedule based on increase in plan participants] | [If not quoting a gliding fee schedule based on increase in plan participants, state fee one time] | [State 'N/A' if not quoting a gliding fee schedule based on increase in plan participants] | [If not quoting a gliding fee schedule based on increase in plan participants, state fee one time] |
| Option Period Four | | | |
| Total Assets Average Daily Qtr Balance (excluding company stock, Self-Directed Brokerage Acccounts and loans) | APPROACH 1: OCC Basis Point Tier Fee Schedule (if applicable) | Total Assets Average Daily Qtr Balance (excluding company stock, Self-Directed Brokerage Acccounts and loans) | APPROACH 1: OTS Basis Point Tier Fee Schedule (if applicable) |
| [State N/A if not quoting a gliding fee schedule based on increase in plan assets] | [If not quoting a gliding fee schedule based on increase in plan assets, state fee one time] | [State 'N/A' if not quoting a gliding fee schedule based on increase in plan assets for either plan] | [If not quoting a gliding fee schedule based on increase in plan assets, state fee one time] |
| Total Participants with a balance during the quarter | APPROACH 2: OCC Per Participant Fee Schedule (if applicable) | Total Participants with a balance during the quarter | APPROACH 2: OTS Per Participant Fee Schedule (if applicable) |
| [State 'N/A' if not quoting a gliding fee schedule based on increase in plan participants] | [If not quoting a gliding fee schedule based on increase in plan participants, state fee one time] | [State 'N/A' if not quoting a gliding fee schedule based on increase in plan participants] | [If not quoting a gliding fee schedule based on increase in plan participants, state fee one time] |
Step 3 - Price Table
| CLIN | Type | Task Description | Qty | Unit | Unit Price | Extended Price | INSTRUCTIONS FOR CLINs |
| 0001 | FFUP | OCC 401(k) Plan recordkeeping, administration, investment, and trustee services (ref. RFQ 4.0) | 1 | NTE | | $ - 0 | DO NOT COMPLETE. The 401(k) Plan recordkeeping, administration, investment and trustee services are to be paid via plan forfeitures to the maximum extent possible. Obligated amounts for CLINs x001 will be determined by the Government. |
0002 FFUP OTS 401(k) Plan recordkeeping, administration, investment, and trustee services (ref. RFQ 4.0) 1 NTE $ - 0 DO NOT COMPLETE. The 401(k) Plan recordkeeping, administration, investment and trustee services are to be paid via plan forfeitures to the maximum extent possible. Obligated amounts for CLINs x002 will be determined by the Government.
| 0003 | T&M | Travel – Reimbursable based on actuals (ref RFQ 5.1) | 1 | NTE | $15,000 OR $0 | $15,000 OR $0 | If you intend to invoice separately for Travel, insert $15,000 for the Unit and Extended Price. If Travel is Not Separate Priced (NSP) insert $0. Apply same methodology to option periods. |
| 0004 | FFP | Transition In (ref. RFQ 5.0) | 6 | MO | | $ - 0 | Insert pricing for Transition In (no supplemental pricing worksheet required). If transitioning at no cost, insert $0 for unit price. |
| TOTAL ESTIMATED COST FOR BASE PERIOD | | | | | | $ - 0 | |
| CLIN | Type | Task Description | Qty | Unit | Unit Price | Extended Price | |
| 1001 | FFUP | OCC 401(k) Plan recordkeeping, administration, investment, and trustee services (ref. RFQ 4.0) | 1 | NTE | | $ - 0 | |
| 1002 | FFUP | OTS 401(k) Plan recordkeeping, administration, investment, and trustee services (ref. RFQ 4.0) | 1 | NTE | | $ - 0 | |
| 1003 | T&M | Travel – Reimbursable based on actuals (ref RFQ 5.1) | 1 | NTE | $15,000 OR $0 | $15,000 OR $0 | |
| TOTAL ESTIMATED COST FOR OPTION PERIOD ONE | | | | | | $ - 0 | |
| CLIN | Type | Task Description | Qty | Unit | Unit Price | Extended Price | |
| 2001 | FFUP | OCC 401(k) Plan recordkeeping, administration, investment, and trustee services (ref. RFQ 4.0) | 1 | NTE | | $ - 0 | |
| 2002 | FFUP | OTS 401(k) Plan recordkeeping, administration, investment, and trustee services (ref. RFQ 4.0) | 1 | NTE | | $ - 0 | |
| 2003 | T&M | Travel – Reimbursable based on actuals (ref RFQ 5.1) | 1 | NTE | $15,000 OR $0 | | |
| TOTAL ESTIMATED COST FOR OPTION PERIOD TWO | | | | | | $ - 0 | |
| CLIN | Type | Task Description | Qty | Unit | Unit Price | Extended Price | |
| 3001 | FFUP | OCC 401(k) Plan recordkeeping, administration, investment, and trustee services (ref. RFQ 4.0) | 1 | NTE | | $ - 0 | |
| 3002 | FFUP | OTS 401(k) Plan recordkeeping, administration, investment, and trustee services (ref. RFQ 4.0) | 1 | NTE | | $ - 0 | |
| 3003 | T&M | Travel – Reimbursable based on actuals (ref RFQ 5.1) | 1 | NTE | $15,000 OR $0 | $15,000 OR $0 | |
| TOTAL ESTIMATED COST FOR OPTION PERIOD THREE | | | | | | $ - 0 | |
| CLIN | Type | Task Description | Qty | Unit | Unit Price | Extended Price | |
| 4001 | FFUP | OCC 401(k) Plan recordkeeping, administration, investment, and trustee services (ref. RFQ 4.0) | 1 | NTE | | $ - 0 | |
| 4002 | FFUP | OTS 401(k) Plan recordkeeping, administration, investment, and trustee services (ref. RFQ 4.0) | 1 | NTE | | $ - 0 | |
| 4003 | T&M | Travel – Reimbursable based on actuals (ref RFQ 5.1) | 1 | NTE | $15,000 OR $0 | $15,000 OR $0 | |
| 4004 | FFP | Transition Out (ref. RFQ 5.0) | 3 | MO | NSP | $ - 0 | |
| TOTAL ESTIMATED COST FOR OPTION PERIOD FOUR | | | | | | $ - 0 | |
| TOTAL OVERALL ESTIMATED COST | | | | | | $ - 0 | |
Step 4 - Ad Hoc Fees
| INSTRUCTIONS: The following table lists sample ad hoc fees. Using the template below or one of the Quoters own choosing, the Quoter shall define and disclose pricing for all ad hoc fees (including those not listed below) that are not bundled into the existing CLIN fees on the "Step 2 - Price Table" Tab. If any known ad hoc fees increase throughout the life of the contract, state fees for each period of performance. Since the OCC requires an open investment architecture platform, the Quoter is not required to disclose fees charged by the fund companies in its price quote. | | | | | |
| Ad Hoc Expense Type | Base Period Rate | Option Period 1 Rate (if applcable) | Option Period 2 Rate (if applcable) | Option Period 3 Rate (if applcable) | Option Period 4 Rate (if applcable) |
| Daily valuation | $ | $ | $ | $ | $ |
| Payroll processing | $ | $ | $ | $ | $ |
| Balance inquiry | $ | $ | $ | $ | $ |
| Investment transfer | $ | $ | $ | $ | $ |
| Contract administration charge | $ | $ | $ | $ | $ |
| Distribution processing | $ | $ | $ | $ | $ |
| QDRO processing | $ | $ | $ | $ | $ |
| Participant statements | $ | $ | $ | $ | $ |
| Plan sponsor reports | $ | $ | $ | $ | $ |
| VRU/Internet services | $ | $ | $ | $ | $ |
| Participant education materials/distribution | $ | $ | $ | $ | $ |
| Education meetings (frequency _x_ ) | $ | $ | $ | $ | $ |
| Investment advice programs | $ | $ | $ | $ | $ |
| Certified annual trust statement | $ | $ | $ | $ | $ |
| Safekeeping of plan assets | $ | $ | $ | $ | $ |
| Nondiscrimination testing | $ | $ | $ | $ | $ |
| Signature ready form 5500 | $ | $ | $ | $ | $ |
| Annual audit | $ | $ | $ | $ | $ |
| Plan amendment fee | $ | $ | $ | $ | $ |
| Loan origination fee | $ | $ | $ | $ | $ |
| Loan processing fee | $ | $ | $ | $ | $ |
| Start-up/conversion education program | $ | $ | $ | $ | $ |
| Start-up/conversion enrollment expense | $ | $ | $ | $ | $ |
| Installation fee | $ | $ | $ | $ | $ |
| Start-up/conversion plan document fee/filing fee | $ | $ | $ | $ | $ |
| Contract termination charges | $ | $ | $ | $ | $ |
| Back-end load | $ | $ | $ | $ | $ |
| Product termination fee | $ | $ | $ | $ | $ |
| Service provider termination charge | $ | $ | $ | $ | $ |
| Service contract termination charge | $ | $ | $ | $ | $ |
| Misc. Mailing Fees | $ | $ | $ | $ | $ |
| Other (specify) | $ | $ | $ | $ | $ |
