Combined Synop-Audit Management Software.pdf

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Audit Management Software

Solicitation # 34300025Q0003

The United States International Trade Commission (USITC or Commission) is issuing this Request for Quotations (RFQ) to obtain an audit management software.

(i) This is a combined synopsis/solicitation for commercial items prepared in accordance with the format at FAR Subpart 12.6, as supplemented with additional information included in this notice. This announcement constitutes the only solicitation. Quotations are being requested and a written solicitation will not be issued.

(ii) The Solicitation Number is 34300025Q0003. This solicitation is issued as a Request for Quotation (RFQ) for the purpose of procuring audit management software described within.

The Government anticipates award of a Firm Fixed Price Purchase Order.

(iii) The solicitation contains provisions and clauses in effect through Federal Acquisition Circular (FAC) 2024-07, effective 08/29/2024.

(iv) This procurement is a full and open competition, NAICS Code 513210, Software Publisher.

(v) LINE ITEMS: Offerors shall propose a single fixed price for the entirety of the requirement.

CLIN DESCRIPTION QTY UNIT UNIT PRICE

00001 Audit Management Software Base Year 1 YR $

00002 Implementation

1 EA $

10001 Audit Management Software Option Year 1 1 YR $

20001 Audit Management Software Option Year 2 1 YR $

30001 Audit Management Software Option Year 3 1 YR $

40001 Audit Management Software Option Year 4 1 YR $

Total Base Year Plus Option Years Firm Fixed Price Amount: $

FEDRAMP: The Federal Risk and Authorization Management Program.

The proposed software solution shall be FEDRAMP Moderate or higher certified at the time of award.

Non-FEDRAMP certified solutions will not be considered.

(vi) Statement of Work:

Introduction The United States International Trade Commission (USITC or Commission) is an independent, quasi-judicial federal agency with broad investigative responsibilities on matters of trade. The Commission investigates the effects of dumped and subsidized imports on domestic industries and conducts global safeguard investigations. The Commission also adjudicates cases involving imported goods that are alleged to infringe U.S. intellectual property rights. The Commission’s mandate, among other things, is

2 | P a g e to provide the President, the United States Trade Representative (USTR), and Congress with independent, quality analysis and information regarding international trade. In doing so, the Commission contributes to the development of sound and informed U.S. trade policy. The Office of Inspector General (OIG) conducts audits, evaluations, and reviews and investigations relating to the programs and operations of the USITC. The OIG’s work is generally based on statutory mandates, requests from the Commission officials, Congress, and other stakeholders, allegations received from USITC personnel and other sources, or the Inspector General’s initiative.

Scope of Work The Commission seeks audit management software, which the OIG staff will use to manage its end-to-end audit processes, create and manage audit working papers, store evidence, attachments, and other supporting documents. The software will provide workflow management capabilities for reviewing, commenting, and approving workpapers. The Contractor shall furnish all necessary software, installation, set-up guides, training, and live support for approximately 8-10 end-users. The software will have a mechanism for long-term archival storage and retention by the OIG. The anticipated period of performance is one base year and four option years.

Background The OIG is seeking the most competitive and best-valued audit software services. The OIG conducts audits, inspections, evaluations, and reviews of the Commission's management and strategic operations.

The OIG is subject to the federal government audit standards and consolidates, tracks, and manages its work papers and other documents centrally.

Functional Requirements I. Licenses, roles, and permissions

1) 8-10 concurrent user licenses.

2) Role-based access control, e.g., auditors, lead auditor, manager, etc.

3) Multiple users can work on the same project (audit) simultaneously.

4) Proper segregation of duties including but not limited to:

a. Creator cannot approve the same audit step.

b. Once the audit step is approved, the creator cannot make subsequent edits.

c. Only administrative users can delete/remove approved working papers/audit steps.

II. Audit Management

1) Customizable workflows, templates, and checklists.

a. Checklists should be:

i. Customizable based on project/engagement (audit) requirements, e.g., financial statements audit, performance audit, and

ii. Able to meet any existing or new Generally Accepted Government

Auditing Standards (GAGAS) (also known as the Yellow Book standards).

2) Customizable milestones and assigned dates (planned and actual) for various phases of the audit project, such as background research, fieldwork, reporting, etc.

3) Hyperlinking between working papers within the audit application and to/from other applications, e.g., Microsoft Word, Excel, PDF, JPG, etc.

4) Custom workflows based on business rules, e.g., email notifications when a working paper or audit program is ready for review/approval.

5) Standard elements of a working paper to include the title of the audit step, purpose, source, scope, and conclusion at the minimum.

6) Automatic/system-generated numbering system for working papers.

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7) Audit report indexing and independent referencing

a. Index audit report to source working papers.

b. Document independent review of indexes.

8) Track management review/ review notes and auditors’ responses within the working papers.

9) Capability to mark the audit steps/ documents sensitive or private and limit access, as appropriate.

III. Reporting

1) Working paper status – in progress, completed/ready for review, reviewed with comments, approved.

2) Working paper details – History of creation, review, and approval activities, e.g., creator, date created, date approved, approver, etc.

a. Project (audit) status – complete v. incomplete checklist items.

b. Custom reports by selecting data attributes.

IV. Data Management

a. Ability to import and export audit-related data into various formats that can be viewed independently of the audit software program.

b. Regular automated backup of the audit data.

c. Retrieve and restore to a backup, if needed.

d. Ability to archive audit data, including but not limited to working papers, checklists, attachments, and evidence of supervisory review and approval.

Non-functional Requirements

1) Access –

a. 24/7 access to the application.

b. Application Hosting

i. Software as a Service (SAAS)/cloud-based interface; or

ii. Hosted by the vendor or a third party.

2) Technical support

a. Availability during normal business hours, preferably between 9 am ET to 5

PM ET.

b. Support is available via telephone, online chat, and email.

3) Security

a. Securely maintain and store data for at least 7 years.

b. Compliance with applicable Federal government security requirements/FedRAMP certified.

4) Training and Resources

a. Live virtual and/or in-person training.

b. On-demand self-paced training.

c. User manual, short instructional videos/clips, tip sheets, or SOPs.

5) Access Logs - Maintain detailed access logs for auditing purposes.

6) Compatibility – Compatible with Windows OS.

Service Level Agreements

1) Availability – 99% system availability/uptime.

2) Planning – Written transition-in and transition-out plans for entering into and concluding the audit services and software program use.

3) Support Response Time –

i. Provide an initial response to the inquiry within 24 hours of submitting the ticket.

ii. Provide a resolution to the submitted tickets within 2 business days.

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(vii) Period of Performance:

Base Year: January 28, 2025 to January 27, 2026 Option Year 1: January 28, 2026 to January 27, 2027 Option Year 2: January 28, 2027 to January 27, 2028 Option Year 3: January 28, 2028 to January 27, 2029 Option Year 4: January 28, 2029 to January 27, 2030

Location/Delivery (FOB Destination):

U.S. International Trade Commission Office of the Inspector General 500 E Street, SW Washington, DC 20436

(viii) FAR 52.212-1 Instructions to Offerors -Commercial Products and Commercial Services (MAR 2023) applies to this acquisition.

(ix) FAR 52.212-2 Evaluation -Commercial Products and Commercial Services (Nov 2021).

BEST VALUE - Award shall be made to the responsible Offeror whose offer, in conforming to this Request for Quotations, provides an overall best value to the Government, technical evaluation factors, and price considered. The Government's objective is to obtain the highest technical quality considered necessary to achieve the project objectives, with a realistic and reasonable price.

QUOTATION PREPARATION INSTRUCTIONS

TECHNICAL VOLUME

The quotation shall consist of a technical volume, which provides the following:

• Technical Capability

(1) Fully describe your understanding of the work required and qualifications that you will bring to the planned execution of the requirements stated in section 2 of this RFQ.

(2) Provide proof of FedRamp Certification status

(3) Features and functionality – Ease of use, efficiency, etc.

• Past Experience/Past Performance

Complete Attachment 1 entitled “Past Experience/Performance Reference Information Form.” This form should be completed with information on two to three contracts/task orders that are the same or similar in nature, scope and cost to the work required under this RFQ and were performed during the last four years for Government agencies or private companies.

PRICING VOLUME

General Requirements

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The Pricing Volume shall be a separate volume from the Technical Volume. Offerors shall propose a pricing structure in accordance with the CLINs of this RFQ. Offerors may propose alternate pricing structures consistent with standard commercial practice.

EVALUATION FACTORS FOR AWARD

All evaluation factors other than price, when combined are more important than price.

Quotes will be evaluated and scored on technical factors and price. Quotes will be evaluated on the information provided by Offerors and obtained through reference checks and other available information.

The following evaluation criteria will be utilized in order to determine which offer received is considered to be the best overall value.

1. Technical Capability o Reference Statement of Work o Fedramp Certification Status

2. Past Experience/Past Performance

3. Price

Past Experience/Past Performance

The past performance evaluation will be based on the relevancy of recent effort accomplished by the Offeror. The USITC will contact some or all of the customers listed as past performance references provided by the Offeror. The USITC will ask questions such as whether or not they believe that:

• The Offeror was capable, timely, efficient, and effective;

• The Offeror’s performance conformed to the terms and conditions of the contract;

• The Offeror was reasonable and cooperative during the performance;

• The Offeror was committed to customer satisfaction; and

• Whether the services provided by the Contractor and its employees were of high quality.

Price

The Government will conduct a price evaluation of all quotations with satisfactory past performance.

The Government reserves the right not to make an award as a result of this competition if, in the opinion of the Government, none of the offers would provide satisfactory performance at a price that is considered fair and reasonable and/or economically feasible.

(x) The Offeror shall submit, with its offer, a completed copy of the FAR provision 52.212-3 Offeror Representations and Certifications – Commercial Items, with its quotation.

(xi) FAR 52.212-4, Contract Terms and Conditions-Commercial Products and Commercial Services (Nov 2023) applies to this acquisition

(xii) FAR Clause 52.212-5, Contract Terms and Conditions Required to Implement Statutes or Executive Orders-Commercial Items, (May 2024), Paragraph (a), and the following clauses in Paragraph (b): 52.219-6; 52.219-28; 52.222-3; 52.222-21; 52.222-26; 52.222-35; 52.222-36;

52.222-50; 52-223-18; 52.232-33. The full text of the referenced FAR clause may be https://www.acquisition.gov/far/part-52#FAR_52_219_6 https://www.acquisition.gov/far/part-52#FAR_52_219_28 https://www.acquisition.gov/far/part-52#FAR_52_222_26

6 | P a g e accessed electronically at https://www.acquistion.gov/far/.

Clauses Incorporated by Reference

Clause Database Clause Number Clause Title

FAR 52.204-19 Incorporation by Reference of Representations and Certifications. (Dec 2014)

FAR 52.212-4 Contract Terms and Conditions - Commercial Products and Commercial Services. (Nov 2023)

FAR 52.225-25

Prohibition on Contracting with Entities Engaging in Certain Activities or Transactions Relating to Iran—Representation and Certification (Jun 2020)

FAR 52.232-39 Unenforceability of Unauthorized Obligations. (JUN 2013)

FAR 52.232-40 Providing Accelerated Payments to Small Business Subcontractors. (Mar 2023)

52.252-2 -- Clauses Incorporated by Reference (Feb 1998)

This contract incorporates one or more clauses by reference, with the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available. Also, the full text of a clause may be accessed electronically at this/these address (es):

www.farsite.hill.af.mil www.acquisition.gov

(xiii) Additional Contract Requirements

CORRESPONDENCE

To promote timely and effective administration, correspondence shall be subject to the following procedures:

(a) Technical correspondence shall be addressed to the Contracting Officer’s Representative

(COR) with an information copy to the Contracting Officer (CO);

(b) All contractual correspondence, shall be addressed to the Contracting Officer listed below.

POINTS OF CONTACT

Contracting Officer’s Representative (COR) https://www.acquistion.gov/far/ http://www.farsite.hill.af.mil/ http://www.acquisition.gov/

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Notwithstanding the Contractor’s responsibility for total management during the performance of this contract, the administration of the contract shall require maximum coordination between the Commission and the Contractor.

The COR shall be designated on authority by the CO to monitor all technical aspects and assist in the administration of this contract. A copy of the COR’s letter of designation shall be issued to the COR with a copy furnished to the Contractor, stating the responsibilities and limitations of the COR. This letter shall clarify to all parties of the contract, the responsibilities of the COR. The duties of the COR include but are not limited to: 1) assuring the Contractor’s compliance with the technical requirements; 2) performing or arranging necessary inspections in connection with the technical performance; 3) maintaining both written and oral communications with the Contractor;

4) notifying the Contractor and the CO of any deficiencies observed; 5) monitoring the Contractor’s overall performance; and 6) certifying all invoices/vouchers for acceptance of services provided for payment.

The COR does NOT have the authority to alter the Contractor’s obligations, direct changes that fall within purview of the General Provisions clause entitled “Changes,” or modify any of the expressed terms, conditions, specifications, or cost under this contract.

If because of technical discussions it is desirable to alter/change contractual obligations within the Scope of Work, the CO shall issue such changes in writing.

Contracting Officer (CO)

All contract administration shall be effected by the CO. Communications pertaining to contract administration matters shall be addressed to the CO. No changes in or deviations from this contract are authorized unless directed in writing by the CO.

The CO is the only person authorized to make or approve any changes in any of the requirements of the contract and notwithstanding any provisions contained elsewhere in this contract. The said authority remains solely with the CO. The CO is authorized to appoint a Contract Specialist to perform administrative contracting functions for this contract. In the event, the Contractor makes any changes at the direction of any person other than the CO, the change shall be considered to have been made without the authority of the CO and no adjustment shall be made in the contract price to cover any increase in costs incurred as a result thereof. The CO is also responsible for making the final decisions on matters under dispute, unsatisfactory conformance, as well as contract terminations for convenience or default.

Meaghann Peak is hereby designated as the CO. The CO may change at any time by the Government without prior notice to the Contractor, but notification of the change, including the name and address of the successor CO, shall be promptly provided to the Contractor in writing.

Name: Meaghann Peak Title: Contracting Officer Location: U S International Trade Commission 500 E Street, SW

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Washington, DC 20436 Phone: 202-708-2208 Email: meaghann.peak@usitc.gov

AUTHORITY TO OBLIGATE THE GOVERNMENT

The Contracting Officer is the only individual who can legally commit or obligate the Government to the expenditure of public funds. No cost chargeable to the contract can be incurred before receipt of a fully executed contract or specific authorization from the Contracting Officer.

SUBMISSION OF INVOICES

Invoice(s) shall be submitted through the U. S. Department of Treasury’s Invoice Processing Platform (IPP), which provides for secure electronic submission and receipt of invoices.

https://www.ipp.gov/vendors/

IPP Customer Support may be reached at 866-973-3131 or IPPCustomerSupport@fiscal.treasury.gov, is available to assist users of the system.

PLEASE NOTE: When entering the invoice(s) in IPP, ensure the period of performance being invoiced is included in the Description field. Please use the format “MM/DD/YYYY to

MM/DD/YYYY.”

i. Name and address of the contractor

ii. Invoice date and invoice number

iii. Purchase Order Number (34300025Pxxxx)

iv. Description, price, and quantity of services/supplies actually rendered/delivered

v. Delivery date/period of performance covered by the invoice

vi. Payment terms

vii. Name and address of the contractor’s Point of Contact, and a “Remit To” address that corresponds to the remittance address of the Purchase Order

viii. Name, title, phone number, email address of contact person to be notified in the event of a defective invoice.

ix. Electronic funds transfer (EFT) banking information.

ACCEPTANCE

Following inspection and evaluation of services provided by the Contractor and determining that the Contractor has fully complied with contract requirements, the COR shall indicate acceptance of the services by signing properly prepared and delivered invoices for such services within three working days after receipt of properly submitted invoice.

PAYMENT FOR UNAUTHORIZED WORK

No payment will be made for any unauthorized changes to the work specified herein. This includes any services performed by the Contractor on his or her own volition or at the request of an individual other than a duly appointed CO and/or COR. Only a duly appointed CO is authorized to change the specifications, terms and conditions under this effort.

mailto:meaghann.peak@usitc.gov mailto:IPPCustomerSupport@fiscal.treasury.gov

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NOTICE OF DELAY

If, because of technical difficulties, the contractor becomes unable to complete the work as described herein, notwithstanding the exercise of good faith and diligent efforts in performing the work called for under this contract, the Contractor shall give the Contracting Officer written notice of the anticipated delay and the reasons for it. The notice and reasons shall be delivered promptly after the condition creating the anticipated delay becomes known to the Contractor.

(xiv) DPAS: NOT APPLICABLE

(xv) Due Date of Offers

Questions Due Date:

Questions shall be received by the Government, via email to Meaghann.peak@usitc.gov, on or before 10:00 a.m. E.T., Thursday, November 7, 2024.

Quotations Due Date:

Written Quotation shall be received by the Government, via email to Meaghann.peak@usitc.gov, on or before 10:00 a.m. E.T., Wednesday, November 20, 2024.

The Point of Contact for this solicitation is Meaghann Peak, meaghann.peak@usitc.gov. Please indicate in the Subject Line of the email Audit Management Software – 34300025Q0003.

mailto:meaghann.peak@usitc.gov

52.252-2 -- Clauses Incorporated by Reference (Feb 1998)