Solicitation__CC13HQR0004_Offeror_QA_Version_0002.docx

Offeror Q&A, Version 0002 Solicitation # CC13HQR0004 Page 3 of 3

Issued Date: 3/25/2013

1. Can the requirements contained in the Pre-solicitation Notice (items 2 and 3) be waived?

Only the items identified in the final released solicitation are requirements. Since items 2 and 3 in the pre-solicitation notice do not appear in the final released solicitation, they are not requirements. While the OCC may consider these and other items when making its best value determination, offerors that do not satisfy the criteria listed in the pre-solicitation notice are not precluded from submitting a proposal. Each proposal will be evaluated in accordance with the stated evaluation criteria to determine to what extent it offers overall best value to government, price and other factors considered.

1. Can you please provide the number of employees within each district (Denver, Dallas, Chicago, New York and Washington)?

1. Are the employees located in London eligible for the plan?

Yes.

1. Do you currently have dedicated Retirement Education Counselor(s) on the OCC and OTS plans? If yes, how many group and one-on-one meeting were conducted in 2012?

OCC and OTS do have dedicated Retirement Education Counselors. We conducted approximately 50 (inclusive of one-on-one and group) sessions in 2012.

1. Is the integration of the OCC and OTS plans complete? If not can you outline what components are still separated? Is there a plan to bring them together?

The OTS population was transitioned to the OCC as of July 2012. However, by Law (Dodd Frank), the two 401(k) Plans must remain separate. OCC will not combine them. We are harmonizing the two Plans to make them as similar as possible. Nonetheless, there will be features that remain unique to each plan such as loan policies, fund lineups, vesting constraints, participant eligibility, etc. Details regarding the nuances between plans are provided in the Statement of Work (SOW) beginning on page 5 of solicitation document and in the solicitation attachments.

There are no plans to merge the two plans into a single plan. The successful awardee will administer both plans separately under one contract issued by the OCC.

1. Can you provide the names of the retirement committee members?

The OCC provides the following titles:

Committee members 1- Senior Deputy Comptroller & Chief Financial Officer (OCC & OTS Plans) 1- Director for Administrative and Internal Law (OCC & OTS Plans) 1- Deputy Director for Risk Analysis - Economics (OCC Plan) 4 - National Bank Examiners; Large Banks and MCBS (OCC Plan) 2 – Bank Thrift Examiners (OTS Plan) 1 – Bank Examiner FDIC (OTS Plan) 1 – Bank Examiner CFPB (OTS Plan) 1 – Licensing Examiner (OTS Plan)

Advisors to the committee members 1- Director Compensation & Benefits (OCC & OTS Plans) 1- Retirement Program Manager (OCC Plan) 1- Benefits Manager (OTS Plan) 1- Senior Attorney, Administrative & Internal Law (OCC & OTS Plans) 1- Attorney, Administrative & Internal Law (OCC & OTS Plans)

1. How does the retirement committee make investment decisions concerning fund additions and fund replacements?

A sub-Committee meets on a quarterly basis to review the funds and determine if changes are needed. They utilize the Plan Sponsor to assist with research and analysis. This committee reports back to the full Committee.

1. Per page 14 of the Evaluation Questionnaire a reference is made to a ‘Voluntary Product Accessibility Template’ (attachment 6). Can you please forward attachment 6 since this was not included with the original information?

The attachment reference is incorrect. The link as well as additional guidance is provided on page 63 of 70 of the solicitation document in the section entitled, Section 508 Voluntary Product Accessibility Template (VPAT). The applicable 508 standards are located in section H.10 on page 29 of 70.

1. Please confirm that the completion of the Non-Disclosure Agreement is required for the incumbent.

Attachment 1 – Non-Disclosure Agreement needs to be thoroughly reviewed and completed by all offerors. Any offeror exceptions to the NDA terms should also be issued prior to the solicitation closing date and time.

1. Given there is an existing Services Agreement in place today outlining all the services performed, is it a requirement to complete those specific sections of the Solicitation No CC13HQR0004 document, specifically section B through section M, or will a copy of the current Service Agreement satisfy this requirement?

It is a requirement for all offerors to complete those specific sections of the solicitation document.

1. Under A2 Technical Capabilities – Investment manager/Trustee Services ‘1. Investments’ Question “g” refers to a Fee Worksheet. I do not see one provided or referenced other than here. Along these lines is it easier for you to work with data (i.e. manager benchmark, r-squared, alpha) in a word.doc format (simply observed) or excel (data to be manipulated in some way, i.e. ranked)?A worksheet implies excel, but the 8.5”X11” 12-font standard makes this prohibitive, calling for a word.doc.

Fees shall be disclosed on the ‘401(k) Plan Fee Disclosure Form’. The form is listed as Attachment 1 (one) on page 43 of 70 of the solicitation document with a hyperlink to access the PDF template. General data requested where a template is not provided may be submitted in a MS Word or Excel format, but all data submitted must conform to the paper size and font standards set forth in Section L of the solicitation.