Appendix E - Respondent Questionnaire - Transmission to IRIS Services RFP.docx

APPENDIX E

RESPONDENT QUESTIONNAIRE

Appendix E – Respondent Questionnaire Page 3 of 6 ERS Transmission to Information Returns Intake System (IRIS) Services RFP

APPENDIX E

RESPONDENT QUESTIONNAIRE

Respondent shall reference Appendix A, Section B for a list of definitions applicable to this appendix.

General Information

A.1. Organizational and Proposal Contact Information. Provide Respondent’s organizational and contact information for purposes of the Proposal in the table below for the organization(s) that will provide the Services.

Note: The Proposal contact is responsible for communicating with ERS via Euna in a timely manner. This individual must be available during the entire RFP evaluation process.

A.2. Legal Contact Information. Provide Respondent’s contact information for legal and/or contractual purposes in the table below:

A.3. Veteran Heroes United in Business. As appropriate, provide the following information:

A.3.a. If Respondent is certified as a State VetHUB, it shall provide its CPA Vendor Identification Number.

A.3.b. For the selected Respondent, ERS reserves the right to request a VetHUB Subcontracting Plan. This can be found at: https://comptroller.texas.gov/purchasing/vendor/hub/forms.php.

Minimum Requirements

Respondent must meet all Minimum Requirements listed below as of the Proposal submission deadline stated in RFP Section A.5. ERS will not accept Deviations to the Minimum Requirements. Failure to satisfy the Minimum Requirements shall result in the disqualification of Respondent’s Proposal. ERS evaluates Minimum Requirements during the Preliminary Review Phase. However, if ERS discovers a Proposal does not meet the Minimum Requirements during the Proposal Review Phase or Finalists Review Phase, ERS will then disqualify the Proposal.

B.1. Respondent’s Systems Security. Respondent’s systems utilized to fulfill the services in this RFP fully comply with IRS security standards.

☐ Confirm ☐ Cannot confirm

B.2. Respondent Experience. Confirm that, at the time of Proposal submission, Respondent has been securely transmitting files to the IRS using the Information Return Intake System (IRIS) for at least 50,000 records for at least one (1) tax year.

☐ Confirm ☐ Cannot confirm

B.2.a. Provide the information in the table below to confirm the Minimum Requirement in Section B.2. above. Respondent may duplicate the table below for each client provided.

B.3. Licenses, Permits, and/or Certifications. Confirm that Respondent, its staff and, if applicable, its proposed subcontractors hold and will continue to hold all required business and professional licenses, permits and/or certifications necessary to provide the Services during the Contract Term.

☐ Confirm ☐ Cannot confirm

Relevant Qualifications, Experience and Services

C.1. Experience. Provide Respondent’s experience with 1099-R transmission to Information Return Intake System (IRIS) in the table below. Respondent may duplicate the table below for each client/entity provided. Respondent should highlight its experience with government entities (federal, state, county, and/or city), if any.

C.2. Optional Services. If proposing to provide, describe Respondent’s experience with format design, printing, inserting and mailing (a fully optional offering) Form 1099-Rs to recipients.

C.2.a. If proposing to provide digital e-delivery portal (secure recipient portal hosting, multi-factor authentication access), (a fully optional offering), describe Respondent’s experience with digital delivery of Form 1099-Rs to recipients.

C.2.b. If proposing to provide optional services above, Respondent shall provide its pricing in Sections D.2. and/or D.2.b. below.

C.3. Subcontractors. Provide the information below for each subcontractor Respondent proposes to use for the Services. Any planned or proposed use of subcontractors by Respondent shall be clearly disclosed and documented in Respondent’s Proposal, including specification of the services that may be performed by each subcontractor. If this is not applicable, answer this question “N/A”.

Services

C.4. Respondent shall explain how it plans to provide the Services by completing one of the following:

Explain how Respondent would provide the Services described in RFP Section C.

; or ☐ Provided Respondent’s standard scope of services.

C.4.a. If proposing to provide delivery of 1099-R to recipients via print and mail fulfillment (a fully optional offering), Respondent shall explain how it plans to provide Optional Services referenced in Section D.2.

C.4.b. If proposing to provide delivery of 1099-R to recipients via digital e-delivery (a fully optional offering), Respondent shall explain how it plans to provide Optional Services referenced in Section D.2.a.

Information Security

C.5. Describe how Respondent controls access to ERS’ confidential data.

C.7. Has Respondent ever experienced a cybersecurity attack or data breach in the last three (3) years?

C.8. Provide the information in the table below for any business and/or administrative functions performed outside the U.S. State “not applicable” if no functions are performed outside the U.S.

Price Proposal

D.1. Fees. Respondent shall provide its standard pricing, including but not limited to any one-time implementation costs or recurring maintenance costs to provide the Services required for each year of the Contract Term.

☐ Provided

D.2. Optional Services (Informational Only). Respondent shall provide the cost of any optional services. in the table below or state “N/A”:

Print & Mail Fulfillment (CASS Validation, IMB, Pressure-Seal, USPS First Class Postage)

D.2.a. Optional Services (Informational Only). Respondent shall provide the cost of any optional services. in the table below or state “N/A”:

Digital e-Delivery Portal (Secure recipient portal hosting, multi-factor authentication access)

Legal Requirements and Regulatory Compliance

E.1. Standing. Confirm Respondent is not presently debarred, suspended, proposed for debarment, declared ineligible or voluntarily excluded from contracting with any federal, state or local department or agency.

☐ Confirm

E.1.a. Confirm Respondent represents and warrants that it is and shall continue to be in good standing and authorized to conduct business in Texas and the state in which it was incorporated or formed, if not formed in Texas. This includes: active registration in good standing with the Texas Secretary of State; an active franchise tax account status with the CPA; and all required equivalent registrations in good standing with applicable government entities in Respondent’s state of formation, if not formed in Texas.

☐ Confirm

E.1.b. If Respondent has ever had its authority to conduct business in any state revoked, cancelled, suspended or forfeited, it shall provide an explanation. If Respondent has not had its authority to conduct business in any state revoked, cancelled, suspended or forfeited, it shall answer this interrogatory “N/A.”

E.2. For Respondent and any of Respondent’s officers, directors, parent companies, affiliates, and subcontractors and any person identified by Respondent who will be performing any service under the RFP and Contract, disclose all matters responsive to Sections E.2.a. – E.2.a.i. below:

E.2.a. During the past five (5) years all matters that:

(a) Resulted in a felony conviction or included any allegation of criminal conduct, fraud, embezzlement, money laundering, a violation of any securities law or regulation, a violation of any fiduciary duty, or an intentional tort involving moral turpitude:

(b) Involved any: civil litigation or action alleging Respondent breached a contract; state or federal civil or criminal litigation, action, or prosecution; any regulatory proceeding or investigation; disciplinary action; violation of a rule of any self-regulatory organization; license revocation; or governmental inquiry:

E.2.a.i. All matters that would have a material adverse effect on Respondent or the ability of Respondent to deliver the Services as described in the RFP.

E.2.b. For each matter disclosed in Sections E.2.a. – E.2.a.i. above:

E.2.b.i. Indicate specifically whether the matter:

(a) Resulted in a felony conviction or included an allegation of criminal conduct, fraud, embezzlement, money laundering, a violation of any securities law or regulation, a violation of any fiduciary duty, or an intentional tort involving moral turpitude; or

☐ Confirm

E.2.d. Confirm that Respondent shall promptly notify ERS if Respondent becomes involved in litigation the outcome of which may have a material effect on this Contract.

☐ Confirm ☐ Cannot confirm (requires explanation)

E.3. Data Privacy and Security. As applicable, describe in detail Respondent’s policies, procedures and/or systems used to ensure compliance with any of the following laws that are or may be applicable to the Contract and/or the Services: the Gramm-Leach-Bliley Act, also known as the Financial Services Modernization Act of 1999 [Pub. L. No. 106-102, 113 Stat. 1338], the federal Health Insurance Portability and Accountability Act of 1996 [Pub. L. No. 104-191], amended by the Health Information Technology for Economic and Clinical Health Act, as incorporated in the American Recovery and Reinvestment Act of 2009, and the implementing regulations issued and amended by the U.S. Department of Health and Human Services Secretary (45 C.F.R. parts 160 and 164), as amended; the Privacy Act of 1974 as amended by the Computer Matching and Privacy Protection Act of 1988; the Identity Theft Enforcement and Protection Act, Chapter 521, Tex. Bus. & Com. Code; information security standards as outlined in Tex. Admin. Code, Title 1, Part 10, ch. 202; and all other federal and state privacy and security laws.

E.3.a. Provide a full description of any breach involving Respondent requiring notification to five hundred (500) or more individuals during the past five (5) years. Respondent should not limit its response to breaches as defined under HIPAA, but include any breach requiring notification under any federal or state privacy or data security law. Respondent shall not refer to any third-party websites or other sources in order for ERS to obtain this information. For each, duplicate the table below and Respondent’s description shall include, but not be limited to:

E.3.b. Provide a general description of breaches requiring notification to less than five hundred (500) affected individuals during the past five (5) years that is not described in the table above. These may be summarized, but should give ERS a clear understanding of the number of breaches, the number of affected individuals per breach, the types of actions that led to the breaches, and any mitigation completed by Respondent to prevent such breaches in the future. Respondent shall not refer to any third-party websites or other sources in order for ERS to obtain this information.

E.4. Previous State Employment. Pursuant to Tex. Gov’t Code Sections 572.069 and 669.003, if any of the individuals who will perform the Services have been employed by ERS at any time during the two (2) years preceding the Proposal submission date or, in the case of a former Executive Director of ERS during the preceding four (4) years of the Proposal submission date, provide the information in the table below or state “N/A”:

E.5. Location of Certain Information Subject to the PIA. The following information is not subject to public disclosure under the PIA: date of birth, driver’s license number, license plate number, credit card number, insurance policy number, bank account number, bank routing number, and social security number. If Respondent includes any of these in its Proposal, specify the location of such information below.

E.6. Contractual Documents. Provide the following documents as described below:

E.6.a. Respondent’s Contractual Documents. Provide Respondent’s Master Services Agreement, EULA, and all other agreements, terms, and conditions.

|_| Provided |_| Unable to provide (requires explanation)

E.6.a.i. Confirm that Respondent agrees to include the Contract provisions set forth in Appendix C in the final Contract, if selected for contract award.

|_| Confirm |_| Cannot confirm (requires explanation)

E.6.b. Respondent’s Service Level Agreements. Provide Respondent’s standard Service Level Agreements, if applicable.

☐ Provided; or ☐ Not applicable.

E.6.c. Respondent’s Scope of Services. Provide Respondent’s standard scope of services, if applicable.

☐ Provided; or ☐ Provided description of Services instead in Appendix E, Section C.4.

Appendix E – Respondent Questionnaire Page 1 of 6 ERS Transmission to Information Returns Intake System (IRIS) Services RFP