HDQMWR-17-R-0022_-__401(k)_Plan.pdf

SOLICITATION, OFFER AND AWARD 1. THIS CONTRACT IS A RATED ORDER

UNDER DPAS (15 CFR 700)

RATING PAGE OF PAGE

1 49

2. CONTRACT NUMBER 3. SOLICITATION NUMBER 4. TYPE OF SOLICITATION

SEALED BID (IFB)

NEGOTIATED (RFP)

5. DATE ISSUED 6. REQUISITION/PURCHASE

NUMBER

HDQMWR-17-R-0022 9MAY2017

7. ISSUED BY CODE 8. ADDRESS OFFER TO (If other than item 7)

COMMANDER NAVY INSTALLATIONS COMMAND

FACILITIES AND ACQUISITIONS BRANCH N944

5720 INTEGRITY DRIVE, LASSEN BUILDING 457

MILLINGTON, TN 38055-6500

POC: JOHN WOLFSLAU COMM: 901/874-6902

FAX: 901/874-2073 EMAIL: john.wolfslau@navy.mil

NOTE: In sealed bid solicitations “offer” and “offeror” mean “bid” and “bidder”.

SOLICITATION

9. Sealed offers in original and See Section L copies for furnishing the supplies or services in the Schedule will be received at the place specified in Item 8, or if handcarried, in the depository located in See Block # 7 until 4:00PM local time 3 JULY 2017 (Hour) (Date) CAUTION - LATE Submissions, Modifications, and Withdrawals: See Section L, Provision No. 52.214-7 or 52.215-1. All offers are subject to all terms and conditions contained in this solicitation.

10. FOR

INFORMATION

CALL:

A. NAME B. TELEPHONE (NO COLLECT CALLS) C. E-MAIL ADDRESS

John Wolfslau AREA CODE NUMBER EXT.

John.Wolfslau@navy.mil 901 874-6902

11. TABLE OF CONTENTS

(X) SEC. DESCRIPTION PAGE(S) (X) SEC. DESCRIPTION PAGE(S)

PART I - THE SCHEDULE PART II - CONTRACT CLAUSES

X A SOLICITATION/CONTRACT FORM 1 X I CONTRACT CLAUSES 24-31

X B SUPPLIES OR SERVICES AND PRICES/COSTS 2-9 PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACH.

X C DESCRIPTION/SPECS./WORK STATEMENT 10-21 J LIST OF ATTACHMENTS (47-49) 31

D PACKAGING AND MARKING -- PART IV - REPRESENTATIONS AND INSTRUCTIONS

X E INSPECTION AND ACCEPTANCE 21 X

K REPRESENTATIONS, CERTIFICATIONS AND OTHER

STATEMENTS OF OFFERORS 32-34 X F DELIVERIES OR PERFORMANCE 22

X G CONTRACT ADMINISTRATION DATA 22 X L INSTRS., CONDS., AND NOTICES TO OFFERORS 35-45

X H SPECIAL CONTRACT REQUIREMENTS 23-24 M EVALUATION FACTORS FOR AWARD 45-46

OFFER (Must be fully completed by offeror) NOTE: Item 12 does not apply if the solicitation includes the provisions at 52.214-16, Minimum Bid Acceptance Period.

12. In compliance with the above, the undersigned agrees, if this offer is accepted within calendar days (60 calendar days unless a different period is inserted by the offeror) from the date for receipt of offers specified above, to furnish any or all items upon which prices are offered at the price set opposite each item, delivered at the designated point(s), within the time specified in the schedule.

13. DISCOUNT FOR PROMPT PAYMENT 10 CALENDAR DAYS (%) 20 CALENDAR DAYS (%) 30 CALENDAR DAYS (%) CALENDAR DAYS (%) (See Section I, Clause No. 52-232-8)

14. ACKNOWLEDGMENT OF AMEND-

MENTS (The offeror acknowledges receipt of amendments to the SOLICITATION for offerors and related documents numbered and dated):

AMENDMENT NO. DATE AMENDMENT NO. DATE

15A. NAME AND

ADDRESS

OF OFFEROR

CODE FACILITY 16. NAME AND TITLE OF PERSON AUTHORIZED TO SIGN OFFER

(Type or print)

15B. TELEPHONE NUMBER

15C. CHECK IF REMITTANCE ADDRESS

IS DIFFERENT FROM ABOVE - ENTER

SUCH ADDRESS IN SCHEDULE.

17. SIGNATURE 18. OFFER DATE

AREA CODE NUMBER EXT.

AWARD (To be completed by Government)

19. ACCEPTED AS TO ITEMS NUMBERED 20. AMOUNT 21. ACCOUNTING AND APPROPRIATION

SEE SECTION G

22. AUTHORITY FOR USING OTHER THAN FULL AND OPEN COMPETITION: 23. SUBMIT INVOICES TO ADDRESS

SHOWN IN (4 copies unless otherwise specified)

ITEM

10 U.S.C. 2304(c) ( ) 41 U.S.C. 253(c) ( ) SECTION G

24. ADMINISTERED BY (If other than Item 7) CODE 25. PAYMENT WILL BE MADE BY CODE

SEE SECTION G

26. NAME OF CONTRACTING OFFICER (Type or print) 27. UNITED STATES OF AMERICA 28. AWARD DATE

(Signature of Contracting Officer) IMPORTANT - Award will be made on this Form, or on Standard Form 26, or by other authorized official written notice.

AUTHORIZED FOR LOCAL REPRODUCTION

Previous edition is unusable

STANDARD FORM 33 (REV. 9-97)

Prescribed by GSA - FAR (48 CFR) 53.214 (c)

HDQMWR-17-R-0022

PART I, SECTION B: SUPPLIES OR SERVICES AND PRICES/COSTS

B-1. PRICE PROPOSAL

a. Proposal items pertain to the service requested by Commander, Navy Installations Command, Fleet and Family Readiness Support Services Division in accordance with the information provided herein. Any exclusions to this information shall be assumed to be included if they are normal, ordinary, and necessary in administering the Commander, Navy Installations Command nonappropriated bundled 401(k) plan.

B-2. CONTRACT TYPE:

a. As a result of this solicitation, the NAFI contemplates award of a Firm-Fixed-Price Contract.

b. The Offeror shall use the following format to submit firm fixed fees/prices and basis points, etc for the base contract period of three years, with two three-year option periods and one one-year option period, for a total of up to ten years.

c. Participant fees are inclusive of all costs associated with providing the services listed below and will be firm fixed with the same participant fee for the duration of the Contract.

B-3. AWARD: Upon award of contract, Sections K, L and M of the solicitation, and the Contractor’s technical proposal, including any revisions will be incorporated by reference subject to Clause 16, Order of Precedence (and below)

B-4. ORDER OF PRECEDENCE: In accordance with NAF Clause “Order of Precedence,” in the event of an inconsistency between provisions of this solicitation/contract, the inconsistency shall be resolved by giving precedence in the following order: (1) description of the supplies/equipment or services and prices/costs; (2) description/specifications/work statement; (3) special contract requirements; (4) contract clauses; (5) other provisions of the solicitation/award; and (6) any portion of the contractor’s bid or proposal that has been incorporated by reference and made a part of the contract.

BASE PERIOD OF 36 MONTHS (3 YEARS)

CLIN 0001 ACCOUNT MANAGEMENT SERVICES

ANNUAL PER PARTICIPANT FEE _______________

Contractor shall provide Account Management Services in the following areas and as more fully described in Section C

A. Record Keeping/ Administrative Support B. Inter-Active Participation Services for Employees/Employees Self-Service Portal C. Investment Management Services D. Communications with Employees E. Regulatory Services F. Transition From Current Service Provider G. Reports Management and Employees H. Innovation and Enhancement of Services to CNIC and NAF Employees

The annual per participant fee shall include as a minimum the following services:

• Daily Account Valuation & Maintenance

• Tax Reporting (1099R)

• Participant Quarterly Statement

• Ongoing education needs for plan sponsor, managers and employees

• Quarterly plan sponsor and employee meetings

• General investment information

• Participant Pin #'s (account inquires)

• Active marketing of 401(k) plan

• Account balance inquires

• Unlimited Investment reallocation

• Changes for investment of future contributions (per pay period)

• Investment Results Report

• Operator availability

• Internet capabilities

• Employee Self-Service Portal

• 24-hour toll free access to voice response system

• Customer Service Metrics

Any additional services not listed above and are included in the annual per participant fee must be addressed in the offeror's proposal.

CLIN 0002 OTHER FEES

(Fill-in appropriate fee or indicate no-fee, as applicable):

Annual Fee One Time Fee No Fee Complete Master Plan Adoption Agreement

(MPAA)

Ongoing Maintenance of (MPAA) Conversion of current Plan

Note: Unless otherwise clearly provided in the offerors' proposal, the fees specified above represent the total compensation for accomplishment of all services specified herein, and there will be no additional administrative, legal, investment or any other type of cost or fee.

CLIN 0003 INVESTMENT OPTIONS

Contractor shall provide investment options for NAF employees in a minimum of 8 different funds.

Contractor shall provide the applicable expense percentages to include expense ratios for each investment option and fund percentages and fund performance information, as well as copies of each fund's prospectus.

INVESTMENT

OPTION DESCRIPTION BASIS POINTS

1 % 2 % 3 % 4 % 5 % 6 % 7 % 8 % 9 % 10 % 11 % 12 % 13 % 14 %

CLIN 0004 BASIS POINTS _________________

Contractor shall provide the annual employees charge expressed in basis points for administration and record keeping services.

Administrative Plan Fees of ____ bps, referenced in the Fee Summary

1ST OPTION PERIOD (THREE YEARS)

CLIN 1001 ANNUAL PER PARTICIPANT FEE _______________

The annual per participant fee shall include as a minimum the following services:

• Daily Account Valuation & Maintenance

• Tax Reporting (1099R)

• Participant Quarterly Statement

• Ongoing education needs for plan sponsor, managers and employees

• Quarterly plan sponsor and employee meetings

• General investment information

• Participant Pin #'s (account inquires)

• Active marketing of 401(k) plan

• Account balance inquires

• Unlimited Investment reallocation

• Changes for investment of future contributions (per pay period)

• Investment Results Report

• Operator availability

• Internet capabilities

• Employee Self-Service Portal

CLIN 1002 OTHER FEES

(Fill-in appropriate fee or indicate no-fee, as applicable):

Annual Fee One Time Fee No Fee

CLIN 1003 INVESTMENT OPTIONS

Contractor shall recommend investment options (a minimum of S diversified funds) providing the applicable expense percentages to include expense ratios for each investment option and fund percentages and fund performance information, as well as copies of each fund's prospectus.

1 % 2 % 3 % 4 % 5 % 6 % 7 % 8 % 9 % 10 % 11 % 12 %

CLIN 1004 BASIS POINTS _________________

SECOND OPTION PERIOD (THREE YEARS)

CLIN 2001 PER PARTICIPANT FEE ________________

The annual per participant fee shall include as a minimum the following services:

• Daily Account Valuation & Maintenance

• Tax Reporting (1099R)

• Participant Quarterly Statement

• Ongoing education needs for plan sponsor, managers and employees

• Quarterly plan sponsor and employee meetings

• General investment information

• Participant Pin #'s (account inquires)

• Active marketing of 401(k) plan

• Account balance inquires

• Unlimited Investment reallocation

• Changes for investment of future contributions (per pay period

• Investment Results Report

• Operator availability

• Internet capabilities

• Employee Self-Service Portal

CLIN 2002. OTHER FEES

(Fill-in appropriate fee or indicate no-fee, as applicable):

Annual Fee One Time Fee No Fee

CLIN 2003. INVESTMENT OPTIONS

Offerors shall recommend investment options (a minimum of 8 diversified funds) providing the

1 % 2 % 3 %

4 % 5 % 6 % 7 % 8 % 9 % 10 % 11 % 12 %

CLIN 2004. BASIS POINTS _______________

THIRD OPTION PERIOD (ONE YEAR)

CLIN 3001. PER PARTICIPANT FEE ______________

The annual per participant fee shall include as a minimum the following services:

• Daily Account Valuation & Maintenance

• Tax Reporting (1099R)

• Participant Quarterly Statement

• Ongoing education needs for plan sponsor, managers and employees

• Quarterly plan sponsor and employee meetings

• General investment information

• Participant Pin #'s (account inquires)

• Active marketing of 401(k) plan

• Account balance inquires

• Unlimited Investment reallocation

• Changes for investment of future contributions (per pay period

• Investment Results Report

• Operator availability

• Internet capabilities

• Employee Self-Service Portal

CLIN 3002. OTHER FEES

(Fill-in appropriate fee or indicate no-fee, as applicable):

Annual Fee One Time Fee No Fee Ongoing Maintenance of

(MPAA)

Phase Out Fee

Note: The Phase-Out Fee is a charge to transfer all records to the successful offeror, if the contractor does not receive the follow-on contract. The Phase-Out Fee will be incurred at the end of the contract period, which may occur at the end of any option year.

CLIN 3003. INVESTMENT OPTIONS

Offerors shall recommend investment options (a minimum of 8 diversified funds) providing the

1 % 2 % 3 % 4 % 5 % 6 % 7 % 8 % 9 % 10 % 11 % 12 %

CLIN 3004. BASIS POINTS _______________

PART I, SECTION C

DESCRIPTION/SPECIFICATIONS/WORK STATEMENTS

C-1. INTRODUCTION

This requirement is for the Contractor to administer the Commander, Navy Installations Command (CNIC) nonappropriated (NAF) bundled 401(k) plan. The bundled plan includes trustee, record keeping, administration, investment and custodial services. NAICS code 523920.

C-2. DEFINITIONS/ACRONYMS

• "MWR" means Morale, Welfare and Recreation. The Navy's MWR programs are on every Navy installation world-wide at over 140 locations with varying degrees of MWR program operations.

• “CNIC” means the Navy's program manager for a variety of recreational, social and community support programs for Naval personnel worldwide. The primary programs provided through MWR are clubs, golf, marinas, child care, sports, fitness and youth activities.

• “DODI” means Department of Defense Issuances/Instructions. These are guidelines created by the Department of Defense mandated for all federal agency programs to follow.

• "Contractor" means the individual, partnership, corporation, or entity that is awarded the contract to provide bundled 401(k) administration.

• "Contracting Officer" is the person with authority to execute or administer a contract on behalf of the nonappropriated fund activity or the activity the successor or successor

• "Contracting Officer's Representative" (COR) is the person that acts as a liaison between the contractor and the contracting officer. The COR is responsible for clarifying contract requirements as necessary with the respect to the specification or statement of work and monitoring the progress and quality of contract performance.

• "ADP" is the Commander, Navy Installations Command’s NAF current payroll contractor

• “SAP” is Human Resources Information System currently used by Commander, Navy Installations

Command.

• ”Investment Review Committee” is comprised of CNIC employees who oversee the quality and performance of the investment funds.

C-3. BACKGROUND

Commander, Navy Installations Command (CNIC) is the Navy's program manager for a variety of recreational, social and community support programs for Naval personnel worldwide. The primary programs provided through MWR are clubs, golf, marinas, child care, sports, fitness and youth activities. As the program manager, CNIC, Fleet & Family Support Services Division provides management direction and oversight to the various components of CNIC, MWR field activities functioning in a manner similar to a corporate headquarters. CNIC is a non-appropriated funded instrumentality of the United States Government. It is a self-sustaining organization that generates the revenue necessary to operate through the sale of goods and services to authorized patrons.

a. CNIC Payroll Information

• Employees are paid biweekly on a single uniform pay-date

• 26 pay periods a year with approximately 118 payroll locations (includes overseas locations)

• 1 central payroll processor (payroll contractor)

• 2 central bank accounts for Electronic Fund Transfer (EFT)

• 2 central bank accounts for payroll checks

• Bi-weekly contributions are electronically transferred

b. Current 401(k) Plan Statistics (as of 04/01/2017)

• Plan Assets: $176M (Note: at cost)

• Eligible Participants: 7,369

• Active Participants: 4,162

The 401(k) plan statistics above are based on participation effective March 31, 2017. There is no guarantee that eligible employees will continue to participate in the 401(k) plan. The number of active participants could vary from current levels.

c. Amount of 401(k) Contributions

Employees may choose to withhold any percent of their salary for the 401(k) program, subject to a maximum annual contribution of $18,000.00 for employee funds. In addition, CNIC provides an employer match dollar for dollar of up to 3%. The Contractor's Plan shall accommodate this option and other option changes as required by the CNIC.

d. DODI Portability of Benefits Program

Employees that separate from active employment with CNIC, and are reemployed with another federal agency, and meet the DODI Portability of Benefit regulation, may elect to actively continue participation in CNIC Retirement System, to include 401K Savings Plan, for the remainder of their federal career. The Contractor’s Plan shall accommodate these participants that will not have service/payroll data transmitted from CNIC’s systems. Manual options will need to be detailed for all areas where active data transmission is required to support.

C-4. PERFORMANCE WORK STATEMENT

The contractor is responsible for the following:

a. Record Keeping/Administrative Requirement

• Receiving employee funds from payroll contractor biweekly.

• Receiving employer match from CNIC biweekly.

• Receiving employee and employer funds to support DODI Portability of Benefit Program.

• Receiving and transmitting CNIC personnel data from current personnel system.

• Receiving personnel data to support DODI Portability of Benefits Program

• Distributing and accounting for each employee's contribution and employer match.

• Making investment distributions as directed by participants.

• Processing in-service withdrawals and hardship withdrawals.

• Processing lump sum distributions to another qualified plan or IRA.

• Processing rollovers from another qualified 401(k) plan.

• Providing Administration Manual to employer.

• Providing employee with quarterly statements of participant balance, employee contributions, employer match, expenses, and investment returns.

• Providing and reporting employer and employees with quarterly allocated earnings.

• Recording and reporting employer and employee contributions separately for each investment option.

• Providing timely deposit of employee and employer contributions into the prescribed investment options.

• Providing on-line system for transfer for contributions from CNIC to contractor.

• Providing and reporting to Federal and State tax authorities yearly.

• Preparing and filing 1099R tax forms yearly.

1. Within the proposal, when responding to this section, the Offerors are requested to provide the following details:

a. Describe in detail how your system allocates earnings.

b. Describe in detail how your system processes contributions.

c. Describe in detail how your system processes in-service withdrawals hardship withdrawals

d. Describe in detail how your system processes

• Lump sum distributions

• Rollovers to another plan or an IRA

• Rollovers from another qualified 401(k) plan

e. What methods of reallocation (percent and/or dollar) do you handle?

f. Can employer and employee contributions be tracked separately?

g. Describe in detail your system's vesting capability.

h. Describe in detail how your system handles Federal and State reporting.

i. What checks and balances do you have in place to assure transactional integrity?

j. Do you provide an administration manual?

k. Do you prepare 1099R tax forms and filings?

l. Will you record-keep non-proprietary investment vehicles?

m. What other administrative services do you provide?

n. Describe in detail how your system accepts various types of data; through system interface and manual input.

b. Inter-Active Participation Services for Employees/Employees Self-Service Portal

• Providing 24 hour secure voice response system (VRS) that will allow participants to make investment reallocations, review account information, check balances and PIN requests.

• Allowing access to VRS via an 800 number.

• Providing secure Internet service that allows investment reallocations, changes to employee payroll allocation, etc.

• Providing the employee with assistance via access to live trained representatives during peak and core business hours.

• Providing local plan administrator with on-line access to the record keeping system.

a. Do you offer voice response services (VRS)?

b. What information is available and what transactions can be initiated through VRS? What are the days and hours of availability?

c. How does the VRS interface with the record keeping system? How frequently?

d. What security is provided through voice response?

How are PINs (Personal Identification Numbers) assigned and managed?

e. How are newly eligible employees added to VRS?

f. How is the dialogue designed? How does a participant navigate through the call? Can sophisticated users go directly to the questions or transaction that they are interested in without listening to a menu path?

g. How are “peak call” periods handled?

h. Do you provide communication materials for participants? Please provide samples.

i. Please provide a sample 800 telephone number and access information.

j. Are employees provided the option of speaking directly to a representative if they choose to do so? Again, what are the hours?

c. Provide Investment Management Services as follows:

• A minimum of eight diversified investment options. Each investment option should have at least a three-year track record of performance.

• Assistance to participants in choosing investment options through website and call center.

• On request and quarterly investment performance reports to employees showing return, risk, a benchmark comparison, and expense ratios.

• A quarterly report to CNIC with the following information:

-Fund return -Fund diversification -Style drift -Expense ratio -Return compared to benchmark and peer group -Total risk and relative risk measures to benchmark and peer group -Expense ratio compared to Peer group -Evaluation of each investment options

• Ability to change investment options daily thru VRS and internet.

• Access to fund valuations daily.

• Have a formal investment review/evaluation process for each investment option.

• Which of the following activities in the following table below are executed?

ACTIVITIES

YES NO

FEES

YES NO

Enrollments Contribution Rate Changes (including an automated interface to payroll)

Investment election changes Fund transfer requests Rollovers Address changes Questions on employee statements

Questions on taxability of distributions Investment information Plan information Information requests for prospectuses and

a. Describe your investment management services. How long have you been providing investment management for defined contribution plans?

b. Please provide a listing of funds available. Please show one-, three-, five- and ten-year performance net of expenses and indicate the current investment management/ administrative expenses, i.e.:

• Expense ratios of mutual funds

• Advisory

• Custodial

• Transactional

• Entrance

• Exit

• Performance review

• Other

c. What advantages can your investment services structure offer our organization?

d. What funds would you recommend as a replacement for the asset classes currently in the plan?

What are your recommendations for additional asset classes and which funds do you suggest?

e. Will you mail prospectuses and other investment information on request? How do you accommodate providing information upon participant investment transfers? Are there any fees for this service?

f. Do you offer asset allocation funds to defined contribution plans? What is the fund management style and philosophy?

g. How do you manage risk across asset classes with varying degrees of risk?

h. How do you keep clients informed of investment performance and provide product updates?

i. Describe your monitoring procedures for investment options indicating such factors as returns compared with benchmark, risk, diversification, style drift and expenses.

j. Do you have a formal investment review/evaluation process for all investment options?

k. Describe reports/information that you routinely provide that enables plan sponsors to address fiduciary responsibilities.

d. Communication to NAF Employees

• Providing enrollment and marketing materials before enrollment, during enrollment and on an ongoing basis.

• Presenting marketing campaign to encourage enrollment and participation.

• Preparing announcement material, explanatory booklets, posters, payroll stuffers, newsletters, group meetings, one-on-one counseling, and any other form of communication considered appropriate to advertising the plan and to notify employees of open seasons and enrollment eligibility requirements.

• Providing benefits enrollment package to employee and explaining benefits

• Reviewing enrollment forms for completeness and to determine eligibility.

• Replying to questions regarding plan provisions, plan cost deductions. Confirming any changes in percentage for contribution elections.

• Reviewing payroll tape containing contributions and record all contributions for investment purposes to ensure dollars were transferred to the appropriate fund.

• Preparing quarterly statements to all participants showing total contributions, any interest or dividends earned, and any change in market value.

a. Describe and detail your standard employee communication package. What services/materials do you provide before enrollment, during enrollment and on an ongoing basis?

b. CNIC NAF employees are located at multiple locations and are from various demographic backgrounds. What provisions do you have for communicating with them? How will you control consistency and quality of the message to the different groups? Will you provide personnel to visit various project locations to conduct enrollment and educational meetings?

c. How do you assist in maximizing employee participation?

d. Are communication materials generic or can they be customized?

e. Do you provide ongoing retirement investment counseling?

f. What fees do you charge for each of the above services?

g. Do you offer voice response services (VRS)?

h. What information is available and what transactions can be initiated through VRS? What are the days and hours of availability?

i. How does the VRS interface with the record keeping system? How frequently?

j. What security is provided through voice response?

How are PINs (Personal Identification Numbers) assigned and managed?

k. How are newly eligible employees added to VRS?

l. How is the dialogue designed? How does a participant navigate through the call? Can sophisticated users go directly to the questions or transaction that they are interested in without listening to a menu path?

m. How are “peak call” periods handled?

n. Do you provide communication materials for participants? Please provide samples.

o. Please provide a sample 800 telephone number and access information.

p. How are calls and requests handled for international participants?

Are employees provided the option of speaking directly to a representative if they choose to do so?

Again, what are the hours?

Technology

Software

a. Was your record keeping and administration system developed in-house or purchased? If purchased, from whom?

b. How long has the software been in place? How often is it upgraded? What are your plans for future technological enhancements?

c. Do you provide on-line access to your system? What type of transactions can be handled through on-line access?

d. How flexible is your system in terms of acceptable data formats?

e. What are your requirements? Will it allow for system interface? What other different ways does your system receive data? Is there an added cost for you to accommodate us?

f. What type of in-house support staff do you have for the record keeping system?

g. How flexible are you in customizing software to meet our needs? Cost?

Hardware/Security/Communications

a. Briefly describe the hardware used for record keeping and administration.

b. Describe in detail your procedures and safeguards used to guarantee:

• Security for your hardware facility

• Authorized access to data

• Confidentiality of data

• Security for any hard copy of plan-related data or documents

c. Describe in detail your disaster recovery plan.

Website

a. Briefly describe your website’s features and capabilities

b. How often are features added to enhance the Participant’s experience?

c. How customizable is your website to be able to fit the needs of CNIC’s Participants?

d. Does your site provide live, online help?

Client Service/Quality Assurance

a. Please describe the team that would deal with CNIC during the transition and on an ongoing basis. Indicate staff size, experience and turnover rates.

b. Describe the training program for your staff.

c. Describe the training provided to fund participants.

d. Describe your organization's commitment to quality.

e. Describe your procedures for monitoring:

• client satisfaction

• participant satisfaction

f. Do you guarantee service performance? If so, please describe.

g. What checks and balances do you have in place to assure plan administration integrity and accuracy including participant account data?

h. Describe your service standards.

Benefits Center

a. Does your organization offer an employee self-service portal?

b. Does your organization offer live administrator support?

c. Which of the following activities in the following table below are executed?

ACTIVITIES

YES NO

FEES

YES NO

Enrollments Contribution Rate Changes (including an automated interface to payroll)

Investment election changes Fund transfer requests Rollovers

Address changes Questions on employee

Questions on taxability of distributions Investment information Plan information Information requests for prospectuses and

d. With your full service record keeping and Benefits Center, what administrative activities must the CNIC still do?

e. What are the maximum days and hours of availability for the live operators?

f. What are your qualifications for account representatives?

g. What training do you provide for the account representatives, including plan specific training?

h. Do account representatives have on-line access to the record keeping system and VRS?

Describe the system that provides information about the participant to the account representative.

i. Can our local plan administrator have on-line access to the record keeping system?

j. What security procedures are used in the Benefits Center?

k. Do you offer live support (chat, etc.) on your website? If so, what features are available and what hours are they available?

e. Regulatory Services

• Provide customized and/or prototype plan and trust documents to CNIC that would qualify as the successor plan and trust documents to the current plan and trust; to include language and provisions that have been utilized by other federal government agencies and/or federal government instrumentalities.

• Provide customized and/or prototype Summary Plan Description (SPD) to CNIC.

Qualification submission

a. Describe the type of legal support you provide [including periodic review and recommended amendments (if any) to Plan and Trust documents to assure compliance with tax code and other applicable laws and regulations].

b. What fiduciary responsibility does your organization assume?

c. How do you ensure that your record keeping system is in compliance with all regulations?

d. Describe any past or pending litigation, within the last 5 years, relating to the services you are proposing.

f. Conversion

• Providing a conversion plan to transfer 401(k) records and data from current contractor.

• Provide a plan of action, coordinate, and convert the existing plan from the current custodian

(Wells Fargo). The conversion should be completed within 90 days from notification of contract award.

• Each offeror must describe how the company will manage the transition if other than the incumbent receives the contract award. Provide a description of your transition team to include staff size, experience and turnover rates.

a. Explain your conversion process, including time frame.

• Providing a conversion plan to transfer 401(k) records and data from current contractor.

• Provide a plan of action, coordinate, and convert the existing plan from the current custodian (Wells Fargo). The conversion should be completed within 90 days from notification of contract award.

• Each offeror must describe how the company will manage the transition if other than the incumbent receives the contract award. Provide a description of your transition team to include staff size, experience and turnover rates.

b. Is a "black-out" period required? If yes, what is restricted or not available during that time?

c. What involvement will be required from CNIC during the conversion process?

d. Do you have any limitations as to the format/media of conversion records?

e. How are investments handled during the conversion process?

g. Reports

• Provide the following reporting capability to CNIC:

-Quarterly roll up of contribution allocated.

-Quarterly report of enrollments and the number of participants invested in each fund.

-Monthly report of terminations and in-service withdrawals.

-Ability to access employee account information on-line.

-A quarterly report to the 401(k) Plan Investment Committee of Investment performance, risk, and other applicable metrics for each investment option.

-A comprehensive annual report showing the performance evaluation of each investment option, fund expenses and administrative costs. The report should contain comparative data of benchmarks and peer groups. The report should also be comprehensive enough to enable the 401(k) Plan Investment Committee to fulfill its fiduciary responsibilities for the Plan.

The Contractor will orally present this report to the Plan Investment Committee.

1. Within the proposal, when responding to this section, the Offerors are requested to provide the following details:

a. Describe the standard package that you would provide us with (provide samples).

b. Describe any customized or ad hoc reporting capabilities.

c. Describe your standard participant level statements and documents (provide samples).

d. Describe your customization capabilities for participant level statements.

e. Can reports/statements be produced on other media? Please describe.

f. What is the standard time frame for providing each report after the reporting after the reporting period ends?

g. Are there any other reporting capabilities within your system not covered above?

Innovations

• Recommend and provide implementation assistance with any innovative services or products that will enhance the CNIC 401(k) program.

C-5. PLACE OF PERFORMANCE. All functions are to be performed at the contractor's place of business.

C-6. PERIOD OF PERFORMANCE. The period of performance for this contract shall be for a base period of three (3) years with two (2) three-year option periods and one (1) one-year final option period for a total contract duration not to exceed ten years.

C-7 PAYMENT FOR SERVICE. The contractor will be compensated for fees in accordance with Section B.

C-8 GOVERNMENT PROVIDED INFORMATION:

Commander, Navy Installations Command the following information:

• current participants balance to date.

• total employee contributions to date.

• employer-matching funds to date.

• employee and employer matching funds biweekly

• Confirm that payroll records show the proper contribution amount is deducted from employee's pay.

• CNIC NAF 401(k) Savings Plan Trust Agreement (June 3, 2013)

• CNIC NAF 401(k) Savings Plan (June 1, 2013)

• Procedures and Guidelines relative to Qualified Domestic Relations Order (QDRO) submitted to

CNIC NAF 401(k) Saving Plan (effective June 1, 2013)

C-9 CONTRACTOR PERSONNEL QUALIFICATION.

The Contractor shall assign to the contract qualified personnel, with a least five years of relevant experience, to perform the requirements as outlined in the Performance Work Statement.

C-10 Qualified Domestic Relations Order (QDRO):

The contractor shall provide QDRO services to assure that CNIC complies with qualifying court orders, decrees, or court-approved property settlements in connection with divorces, annulments of marriages, or legal separations of employees or retirees that award a portion of an employee annuity to a former spouse.

PART I, SECTION E - INSPECTION AND ACCEPTANCE

See Contract Clause Number 10 (Section I).

PART I, SECTION F - DELIVERIES OR PERFORMANCE

See Section C-6. PERIOD OF PERFORMANCE.

PART I, SECTION G - CONTRACT ADMINISTRATION DATA

G-1. INVOICES. The Contracting Officer’s Representative (COR) will review all invoices accuracy prior to acceptance.

G-2. METHOD OF PAYMENT. Payment will be made within 30 days after acceptance of proper invoice (reference Section I, Clause No. 12, "Invoices"). Submit invoices to CNIC, Fleet and Family Readiness Support Services Division at the following address:

Commander, Navy Installations Command Millington Detachment (N941) 5720 Integrity Drive, Bldg 457 Millington, TN 38055-6500

G-3. CONTRACTING OFFICER'S REPRESENTATIVE (COR)

The COR serves primarily as liaison between the Contractor and the Contracting officer. The COR clarifies contract requirements as necessary with respect to the specification or statement of work, and monitors the progress and quality of contractor performance. The COR reports discrepancies to the contracting officer. The COR may not direct the contractor in performance of the work. The COR will inspect and/or accept the services and/or deliverables due as the Contracting Officer's representative. All matters pertaining to this contract of a technical nature should be referred to the below listed Contracting Officer's Representative:

COR: Jonathan Sahagan Phone Number: (901) 874-6716

The COR is not an Administrative Contracting Officer and does not have authority to direct the accomplishment of effort that is beyond the scope of the statement of work in the contract.

When, in the opinion of the Contractor, the COR requests effort outside the existing scope of the contract, the Contractor shall promptly notify the Contracting Office in writing. No action shall be taken by the Contractor under such direction until the Contracting Officer has issued a modification to the Contract; or until the issue has been otherwise resolved.

NOTE: THE COR DOES NOT HAVE THE AUTHORITY TO CHANGE ANY ASPECT OF THE

CONTRACT, NOR TO OBLIGATE THE CNIC IN CONTRACTUAL MATTERS. THE CONTRACTING

OFFICER IS THE SOLE PERSON AUTHORIZED TO CHANGE, MODIFY, OR OTHERWISE ALTER ANY

OF THE REQUIREMENTS OF THIS CONTRACT. CHANGES EFFECTED BY ANYONE OTHER THAN

THE CONTRACTING OFFICER WILL NOT OBLIGATE THE CNIC.

PART I, SECTION H - SPECIAL CONTRACT REQUIREMENTS

H-1. CONFIDENTIALITY

Contractor acknowledges that all material and information, which has, or will, come into his possession, or knowledge gained from Commander Navy Installations representatives in connection with this contract, or the performance thereof, as well as the work product developed by the Contractor, consists of confidential and proprietary data. The Contractor, therefore, agrees to hold such material and information in strict confidence and not to make use thereof, other than for the performance of this contract. The Contractor also agrees to release such material and information only to its employees requiring such information in the "need-to-know" discharge of their duties under this contract, and not to release or disclose same to any other party.

H-2. PERMITS AND LICENSES

Contractor will, at his own expense, obtain all necessary permits, give all notices, pay all license fees, and comply with all laws, rules, ordinances, and regulations applicable to the service or business carried on under this contract. The burden of determining the applicability of licensing requirements, laws, ordinances, and regulations for the Contractor and his employees rests with the Contractor.

H-3. SUBCONTRACTING

This contract, or any part thereof, may not be subcontracted without obtaining the Contracting Officer's written consent. If a subcontractor is permitted to execute any portion of this contract, the Contractor will continue to be held responsible for all provisions of this Contract in total.

H-4. PROTECTION OF PERSONAL IDENTIFIABLE INFORMATION

The On-Line program offered must adhere to Department of Defense (DoD) mandates and best practices for securing and safeguarding Personally Identifiable Information (PII). PII policies are outlined in OMB-M-06-16 and are available from:

www.whitehouse.gov/omb/memoranda/fy2006/m06-16.pdf ; OMB-M-06-19 is available from:

www.whitehouse.gov/omb/memoranda/fy2006/m06-19.pdf; and DOD instruction 8500.2. , which is available from: www.dtic.mil/whs/directives/corres/pdf850002p.pfd .

These mandates and best practices are included in the SECNAV Instruction 5211.5E or CNIC Instruction 5211.1 and are available from: http://doni.daps.dla.mil/Directives/.../5211.5e, or review in the Department of the Navy Personally Identifiable Information (PII) training module at www.dcnc10.navy.mil/productsaspx.

The Online system is to include servers that must comply with DoDI 8500.2 which is available from:

http://www.dtic.mil/whs/directives/corres/pdf/850002p.pdf .

With these responsibilities contractors shall ensure that their employees:

Safeguard DON information to which their employees have access at all times.

Obtain DON management's written approval prior to taking any DON sensitive information away from the office. The DON manager's approval must identify the business necessity for removing such information from the DON facility.

H-5 OPTION TO EXTEND THE CONTRACT

a. The Contracting Officer shall advise the Contractor in writing at least 60 days before the contract period expires of the CNIC's desire to extend the period of the contract option period. If the CNIC exercises an option, the extended Contract shall be considered to include this option provision.

b. The total duration of this Contract, including any extension pursuant to the option exercised under this clause, shall not exceed 10 years from award date of the original contract.

PART II, SECTION I CONTRACT CLAUSES

NONAPPROPRIATED FUND CONTRACT CLAUSES

TABLE OF CONTENTS

CLAUSES MADE INAPPLICABLE BY THE TYPE OF ORDER OR CONTRACT ARE SELF-

DELETING.

1. DEFINITIONS

2. ADVERTISEMENTS

http://www.whitehouse.gov/omb/memoranda/fy2006/m06-16.pdf http://www.whitehouse.gov/omb/memoranda/fy2006/m06-19.pdf http://www.dtic.mil/whs/directives/corres/pdf850002p.pfd http://doni.daps.dla.mil/Directives/.../5211.5e http://www.dcnc10.navy.mil/productsaspx http://www.dtic.mil/whs/directives/corres/pdf/850002p.pdf

3. ASSIGNMENT

4. COMMERCIAL WARRANTY

5. DISCOUNTS FOR PROMPT PAYMENT

6. DISPUTES

7. EXAMINATION OF RECORDS

8. GRATUITIES

9. HOLD AND SAVE HARMLESS

10. INSPECTION

11. INSURANCE

12. INVOICES

13. LAW GOVERNING CONTRACTS

14. LEGAL STATUS

15. MODIFICATIONS

16. ORDER OF PRECEDENCE

17. PAYMENTS

18. PROOF OF SHIPMENT

19. TAXES

20. TERMINATION FOR CONVENIENCE

21. TERMINATION FOR DEFAULT

22. VARIATION IN QUANTITY

23. PROTESTS

(Incorporated by Reference)

24. COVENANT AGAINST CONTINGENT FEES

25. WALSH-HEALEY PUBLIC CONTRACTS ACT

26. EQUAL OPPORTUNITY

27. AFFIRMATIVE ACTION – VETERANS

28. AFFIRMATIVE ACTION – HANDICAPPED WORKERS

29. EMPLOYMENT REPORTS – VETERAN

30. RESTRICTIONS ON CERTAIN FOREIGN PURCHASES

31. EXTRAS

32. CHANGES - FIXED PRICE

33. CONTRACTOR INSPECTOR REQUIREMENTS

34. RESPONSIBILITY FOR SUPPLIES

35. CLEARANCE AND DOCUMENT – SHIPMENTS

36. CONVICT LABOR

37. CONTRACT WORK HOURS & SAFETY STANDARDS ACT

38. SERVICE CONTRACT ACT OF 1965 (AS AMENDED)

39. INSPECTION OF SERVICES – FIXED PRICE

PART II, SECTION I

NONAPPROPRIATED FUND CONTRACT CLAUSES

1. Definitions. As used throughout this contract, the following terms and abbreviations have the meaning set forth below:

a. The term “Contract” means this agreement or order and any modifications hereto.

b. The abbreviation “NAFI” means Nonappropriated Fund Instrumentality of the United States Government.

c. The term “Contracting Officer” means the person executing or responsible for administering this contract on behalf of the NAFI which is a party hereto, or his successor or successors.

d. The term “Contractor” means the party responsible for providing supplies/equipment and/or services at a certain price or rate to the NAFI under this contract.

e. The term “Contracting Officer’s Representative” (COR) means a person appointed by the contracting officer to monitor performance and act as a liaison between the contractor and the contracting officer.

2. Advertisements. The contractor agrees that none of its, nor its agent’s, advertisements to include publications, merchandise, promotions, coupons, sweepstakes, contests, sales brochures, etc., shall state, infer, or imply that the contractor’s products or services are approved, promoted, or endorsed by the NAFI. Any advertisement, including cents off coupons, which refers to a NAFI will contain a statement that the advertisement is neither paid for nor sponsored, in whole or in part, by that particular activity.

3. Assignment. A contractor may not assign their rights or delegate their obligations under this contract without prior written consent of the contracting officer.

4. Commercial Warranty. The contractor agrees that the supplies/equipment or services furnished under this contract shall be covered by the most favorable commercial warranties the contractor gives to any customer for such supplies/equipment or services and that the rights and remedies provided herein are in addition to and do not limit any rights afforded to the NAFI by any other clause of this contract. The printed terms and conditions of such warranty will be provided to the NAFI with the delivery of any supplies/equipment or services covered.

5. Discounts for Prompt Payment. In connection with any prompt payment discount offered, time will be computed from the date of the contractor’s invoice. Payment is deemed to have been made as of the date on the payment check or date on which electronic funds transfer is made.

6. Disputes. Except as otherwise provided in this contract, any dispute or claim concerning this contract, which is not disposed of by agreement, shall be decided by the contracting officer, who shall state their decision in writing, and mail or otherwise furnish a copy of it to the contractor. Within 90 days from date of receipt of such copy, the contractor may appeal by mailing or otherwise furnishing to the contracting officer a written appeal addressed to the immediate superior in Command (ISIC) of the Command one level above the contracting officer's Command. The decision of this authority shall be final and conclusive. If no such appeal is filed, the decision of the contracting officer shall be final and conclusive. The contractor shall be afforded an opportunity to be heard and to offer evidence in support of any appeal under this clause. Pending final decision on such a dispute, the contractor shall proceed diligently with the performance of the contract and according to the decision of the contracting officer, unless directed to do otherwise by the contracting officer.

7. Examination of Records

a. The clause is applicable if the amount of this contract exceeds $10,000 and the contract was entered into by means of negotiation. The contractor agrees that the contracting officer or their duly authorized representative shall have the right to examine and audit the books and records of the contractor directly pertaining to the contract during the period of the contract and up to 3 years after contract expiration date and final payment.

b. The contractor agrees to include the clause in paragraph 7a above in all subcontracts there-under which exceed $10,000.

8. Gratuities

a. The NAFI may, by written notice to the contractor, terminate the right of the contractor to proceed under this contract if it is found, after notice and hearing by the Contracting Officer that gratuities (in the form of entertainment, gifts, or otherwise) were offered or given by the contractor, or any agent or representative of the contractor, to any officer or employee of the government or the NAFI with a view toward securing favorable treatment with respect to the awarding or amending, or the making of any determinations with respect to the performing of such contract. The Contracting Officer must coordinate with and receive approval from N94 on all matters arising under this section.

b. In the event this contract is terminated as provided in paragraph 8a above, the NAFI shall be entitled (1) to pursue the same remedies against the contractor as it would pursue in the event of a breach of contract by the contractor, and (2) as a penalty in addition to any other damages to which it may be entitled by law, to exemplary damages in an amount (as determined by the Contracting Officer, which shall not be less than three nor more than ten times the cost incurred by the contractor in providing any such gratuities to any such officer or employee.

c. The rights and remedies of the NAFI provided in this clause shall not be exclusive and are in addition to any other rights and remedies provided by law or under this contract.

9. Hold and Save Harmless. The contractor shall indemnify, save harmless, and defend the NAFI, its outlets, and customers from any liability, claimed or established, for violation or infringement of any patent, copyright, or trademark right asserted by any third party with respect to goods hereby ordered or any part thereof. Contractor further agrees to hold the NAFI harmless from all claims or judgments for damages resulting from the use of products listed in this contract, except for such claims or damages caused by or resulting from negligence of NAFI customers, employees, agents, or representatives. Also, the contractor shall at all times hold and save harmless the NAFI, its agents, representatives, and employees from any and all suits and expenses which arise out of acts or omissions of the contractor, its agents, representatives, or employees.

10. Inspection. Unless otherwise provided herein, inspection shall be made after receipt of the supplies/equipment by the ordering activity, or after completion of services by the contractor.

Inspection and acceptance shall not be conclusive, with respect to latent defects or fraud, or with respect to the NAFI’s rights under the proof of shipment provisions contained herein. In case any supplies/equipment or services are defective in material or workmanship, or are otherwise not in conformity with the requirements of this contract, the NAFI shall have the right to reject such supplies or services, or to require replacement or correction. Rejected supplies/equipment shall be removed by and at the expense of the contractor promptly after notice.