ATTACHMENT_A.docx

ATTACHMENT A

VOLUME II PHASE 1 MANDATORY REQUIREMENTS/QUALIFICATION

COMPLIANCE

Proposals for this solicitation shall meet ALL of the following mandatory requirements in Phase 1 in order to be evaluated in Phase 2. Offerors may be subsidiaries or units of a corporate entity. Please also note that “firm” refers to the specific entity (i.e., “Private Markets Group”) whose primary duties would include performing the services under the SOW. As such, it may encompass an entire organization if its sole offering is engaged in Private Market-related services or a unit of much larger organization. Unless otherwise noted, all of the following Mandatory Requirements apply to the area of the organization tasked with performing those areas identified in the Statement of Work. Offerors shall provide documentation to demonstrate compliance with the mandatory requirements, circle the appropriate response and sign this cover sheet below to certify that they meet all the Mandatory Requirements. Offerors shall document compliance with these Mandatory Requirements in Volume (II).

The Mandatory Requirements Volume (II) shall include documentation for each mandatory requirement, and include the signed cover sheet with the appropriate response circled (Y/N).

A. Will the firm attest in the contract that the firm will act as a fiduciary?

Y/N

B. Is the firm and/or parent company (if applicable) registered with the Securities and Exchange Commission as a registered investment adviser (RIA) consistent with the Investment Advisers Act of 1940 for at least five years through 12/31/2014?

· Offerors may respond affirmatively if acquisitions, mergers, or other transactions resulted in successor entities under another RIA over the past five years through 12/31/2014. Offeror must provide Parts I and II of Form ADV as substantiation.

· Offerors may also respond affirmatively if exempt from registration, however, the nature of the exemption must be disclosed in Volume I as support Y/N

C. Does the firm have experience providing the following services – as described in the SOW – to a minimum of five (5) existing clients as of 12/31/14?

· Investment Monitoring

· Distributed Stock Management

· Reporting and Performance Measurement

· Consulting Services Y/N

D. Does the firm oversee at least $5 billion in Private Markets assets (defined as unfunded commitments plus net asset value) as of 09/30/2014?

Y/N

E. Does the primary account consultant(s) assigned to PBGC (in the event of award) for Private Markets investment monitoring and designated as Key Personnel in the contract have at least:

· Three years’ experience in a lead role conducting Investment Monitoring as described in the SOW;

· Three years’ experience in a lead role conducting Distributed Stock Management as described in the SOW;

· Three years’ experience in a lead role conducting Reporting and Performance Measurement as described in the SOW; and,

· Three years’ experience in a lead role conducting Consulting Services as described in the SOW.

· (Provide at minimum high level resumes of all Key Personnel) Y/N

F. Does firm and parent company (if applicable) have a positive net worth?

· Offerors must provide a letter confirming positive net worth from an independent CPA firm or a copy of the most recent audited financial statements.

Y/N

G. Does the firm or parent company (if applicable) maintain an Errors and Omissions (E&O) insurance policy and a Fidelity Bond providing coverage for negligent acts or omissions whose coverage will be applicable to the firm’s actions under a contract with PBGC?

· Offerors must provide a copy of the firm’s and/or parent company’s (if applicable) E&O insurance policy and Fidelity Bond and these copies must clearly indicate coverage amount and deductible amount

· Offerors may respond affirmatively if Offerors will obtain at their expense prior to funding an E&O insurance policy and Fidelity Bond, however, the Offerors must provide a proposed draft E&O insurance policy and a draft Fidelity Bond in Volume I as support and evidence that it will secure an E&O insurance policy and Fidelity Bond.

Y/N

H. Will the Offeror transition the Private Markets investments assigned for oversight from the current vendor to the Offeror within 60 days?

Y/N

I. Does the Offeror accept the general requirements of this Request for Proposal?

Y/N

The Offeror hereby certifies that it meets all of the mandatory requirements.

Signature:_______________ Title: __________________ Date: __________________