Amendment 2 - TOFS-10-S-0003.pdf

(x)

TOFS-10-S-0003

x x

2 copies of the amendment; (b) By acknowledging receipt of this amendment on each copy of the offer submitted; or (c) By separate letter or telegram which includes a reference to the solicitation and amendment numbers. FAILURE OF YOUR ACKNOWLEDGEMENT TO BE RECEIVED AT

THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER. If by virtue of this amendment you desire to change an offer already submitted, such change may be made by telegram or letter, provided each telegram or letter makes reference to the solicitation and this amendment, and is received prior to the opening hour and date specified.

x

WASHINGTON DC 20220

SUITE 2100

TDP

MAIL STOP: 1425 NEW YORK AVE, NW

1500 PENNSYLVANIA AVE, NW

PROCUREMENT SERVICES DIVISION

DEPARTMENT OF THE TREASURY

WASHINGTON DC 20220

TDP

799 9th STREET NW

PROGRAMS BRANCH

PROCUREMENT SERVICES DIVISIONS

DEPARTMENT OF THE TREASURY

04/30/2010000002

13. THIS ITEM ONLY APPLIES TO MODIFICATION OF CONTRACTS/ORDERS. IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14.

12. ACCOUNTING AND APPROPRIATION DATA (If required) is not extended.is extended, Items 8 and 15, and returning

Offers must acknowledge receipt of this amendment prior to the hour and date specified in the solicitation or as amended, by one of the following methods: (a) By completing

The above numbered solicitation is amended as set forth in Item 14. The hour and date specified for receipt of Offers

11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS

FACILITY CODE CODE

10B. DATED (SEE ITEM 13)

10A. MODIFICATION OF CONTRACT/ORDER NO.

9B. DATED (SEE ITEM 11)

9A. AMENDMENT OF SOLICITATION NO.

CODE

8. NAME AND ADDRESS OF CONTRACTOR (No., street, county, State and ZIP Code)

7. ADMINISTERED BY (If other than Item 6)CODE 6. ISSUED BY

PAGE OF PAGES

4. REQUISITION/PURCHASE REQ. NO.3. EFFECTIVE DATE2. AMENDMENT/MODIFICATION NO. 5. PROJECT NO. (If applicable)

1. CONTRACT ID CODE

AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT

04/30/2010

CHECK ONE A. THIS CHANGE ORDER IS ISSUED PURSUANT TO: (Specify authority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE CONTRACT

B. THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES (such as changes in paying office, C. THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF:

D. OTHER (Specify type of modification and authority) appropriation date, etc.) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b).

E. IMPORTANT: Contractor is not, is required to sign this document and return __________________ copies to the issuing office.

ORDER NO. IN ITEM 10A.

14. DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings, including solicitation/contract subject matter where feasible.)

The purpose of this amendment is to:

1. Amend, correct or clarify portions of the original RFP

2. Provide answers to questions recieved timely and in accordance with the RFP.

The due date and time to recieve proposals remains Noon EDT on June 16, 2010 as per

Amendment 1.

Please see attached continuation sheets.

16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or print)15A. NAME AND TITLE OF SIGNER (Type or print)

15C. DATE SIGNED 16B. UNITED STATES OF AMERICA 15B. CONTRACTOR/OFFEROR 16C. DATE SIGNED

(Signature of person authorized to sign) (Signature of Contracting Officer)

JOSHUA F. GALICKI

STANDARD FORM 30 (REV. 10-83)

Prescribed by GSA

FAR (48 CFR) 53.243

NSN 7540-01-152-8070

Previous edition unusable

Except as provided herein, all terms and conditions of the document referenced in Item 9A or 10A, as heretofore changed, remains unchanged and in full force and effect.

RFQ TOFS-10-S-0010

Amendment 2

The following represent amendments to the RFP for Financial Services. Language added to the RFP is identified in bold print.

1. Section C.4 - Category: Organizational Design and Maintenance

Amend as follows:

This category involves the design, development, maintenance, and socialization of organizational and operational models and structures; job descriptions and core competencies; and, policies and procedures. This includes making recommendations based on research and knowledge of best practices and assisting management with documenting, maintaining, encompassing and socializing business processes, information technology upgrades, and implementation of new systems to support organizational re-engineering. Services may include, but are not limited to:

No other changes have been made to this category

2. Section G.2.1 Other Direct Costs (Time and Materials Task Orders only)

Amend as follows :

Other Direct Costs (ODC) shall not be subject to profit or G&A. ODCs may not have any additional rates applied and will only reflect actual costs.

For task orders priced on a Time and Materials basis, the Contractor will be reimbursed only for the types of disbursements, expenses and charges as designated in each task order. Moreover, any reimbursement will be limited to actual costs incurred by the Contractor that are necessary to effect the services under this contract and that are not accounted for as overhead costs in the Contractor’s fixed labor rates. All invoices shall be fully documented by including receipts evidencing payment by the contractor and shall identify the action with which the expenditure is connected.

3. Section G.3(c) - Key Personnel

Delete the following:

For planned Key Personnel replacements, the Contractor shall provide the Government with a minimum of 30 calendar days advance notice. Substitutions or additions to approved key personnel under this BPA shall not be accepted unless specifically approved in writing by the Contracting Officer or a Contracting Officer Technical Representative. Any substitutions and/or additions shall be subject to the terms and conditions of this clause.

Amend as follows :

For planned Key Personnel replacements, the Contractor shall provide the Government with a minimum of 30 calendar days advance notice. Substitutions or additions to approved key personnel under this ID/IQ shall not be accepted unless specifically approved in writing by the Contracting Officer or a Contracting Officer Technical Representative. Any substitutions and/or additions shall be subject to the terms and conditions of this clause.

4. Section G.5 - Ordering Procedures

Delete Section G.5 and replace with the following:

G.5 ORDERING PROCEDURES

Work will commence under this contract only through the issuance of firm fixed price, labor hour, or time and materials task orders by the Contracting Officer. Subject to the exceptions set forth at FAR 16.505(b)(2), task orders over $3,000.00 will be issued in compliance with the Fair Opportunity Procedures in FAR 16.505(b)(1), and in accordance with the procedures outlined in this section.

Treasury anticipates awarding two or more contracts to qualified small businesses in response to this solicitation. These small businesses will be considered as part of the fair opportunity process as required by the Small Business Act and FAR Subpart 19.5.

Should two or more small businesses receive base contract awards, the "rule of two" will apply. This rule will govern whether task order requirements are set-aside for small businesses. A task order will be set-aside for small business if the Contracting Officer (CO) determines that there is a reasonable expectation that (1) offers to perform a specific task order will be received from two or more small businesses that demonstrate sufficient expertise to successfully perform the work required and do not appear, based on proposals received in response to this RFP or other information received from the contractor, to have a conflict of interest, and (2) award will be made at a fair market price. The CO will utilize all available information in making the set-aside determination, including the proposals submitted by small businesses in response to this RFP. Should the CO determine that further information is necessary, capability statements may be requested from small businesses who hold contracts.

Performance under task orders shall commence only after receipt of an executed task order via facsimile, mail, e-mail, or by verbal direction from the Contracting Officer. If verbal direction is given, written confirmation will be provided within five working days of the verbal order. The Government shall not be obligated to reimburse the Contractor for work performed, items delivered, or any costs incurred, nor shall the Contractor be obligated to perform, deliver, or otherwise incur costs except as authorized by duly executed task orders. The following ordering process will be used to issue task orders:

• For all task orders with an estimated value of over $3,000.00, the CO will apply the "rule of two" and determine whether the task order should be set aside for small business.

• The CO, in consultation with technical evaluator(s), will review the contract technical proposals that were submitted in response to this RFP and any subsequent information submitted from contractors and identify the firms that have expertise in the area(s) relevant to the task order requirement.

• The CO, in consultation with Conflicts of Interest evaluator(s), will review all available conflict of interest information concerning the identified firms and will eliminate those that have conflicts that would prevent or significantly hinder task order performance. The CO may at any time request from a contractor information concerning conflicts of interest, regardless of whether an RFQ has been or will be issued for a specific requirement.

• The CO will calculate an evaluated price for each of the remaining firms by applying the each contractor’s established labor rates to the estimated hours required for the task order.

• Depending on the nature and urgency of the task order requirement, the CO may:

1. negotiate a task order with the identified firm with the lowest evaluated price, or

2. issue an RFQ, including a Scope of Work detailing specific requirements or a Performance Work Statement that will specify requirements in terms of performance objectives, to two or more identified firms with the lowest evaluated prices, seeking additional technical information and any proposed price discounts as well as specifying any additional evaluation criteria.

• The contractor shall be solely responsible for any bid and proposal costs incurred in performance of the contract.

• The Contracting Officer, in conjunction with Contracting Officer’s Technical Representative (COTRs) and Technical Points of Contact (TPOCs), will evaluate task order proposals in accordance with the evaluation criteria stated in the task order request. The evaluation criteria will typically include:

1. Technical and Management approach;

2. Key Personnel

3. Past Performance to include quality, schedule, cost control, personnel management, and business relations; and,

4. Price

• Specific criteria shall be identified in the request for proposals for each task order.

• After the review of proposals, negotiations may be held. Otherwise, the

Government may accept an initial proposal by issuance of the task order. Due to the nature of the requirements, submission of task order proposals may be required within (2) two business days. Submission requirements shall be detailed within the task order request.

This ordering process is designed to provide Treasury with the ability to issue task orders to the most highly qualified firms with the highest possible efficiency, while complying with small business requirements and fair opportunity procedures. The CO will make use of the information submitted in response to this RFP, information learned throughout life of the contract, and information submitted to the CO by contractors. The CO may, in the CO’s sole discretion, request additional information from contractors or issue an RFQ as discussed above. Contractors are encouraged to regularly provide updated information about their capabilities, conflicts of interest, and discounts offered (if the firm desires to further discount their rates from what is in their contract) in order to maximize Treasury’s consideration of such firms.

Nothing in these ordering procedures shall limit the ability of Treasury to issue task orders directly to a firm should one of the statutory exceptions to the fair opportunity process apply. These exceptions can be found in FAR 16.505(b)(2).

In accordance with 41 U.S.C. § 253j and FAR 16.505(b)(5), Treasury has designated the following “Task and Delivery Order Ombudsman” to review any concerns or complaints raised by contractors about the fair opportunity process under this procurement:

Thomas A. Sharpe, Jr.

Senior Procurement Executive Office of the Procurement Executive

5. Section J - List of Documents, Exhibits, and Other Attachments

Replace the following documents with amended documents, attached.

J-4 - Past Performance Questionnaire (PPQ)

J-6 - Initial Certification Format - Organizational Conflicts of Interest [31 C.F.R. § 31.211]

J-7 - Initial Certification Format - Communications with Treasury Employees [31 C.F.R.

§ 31.216]

J-8 - Tarp Conflicts Of Interest Regulations Task Order Certification Format

Add the following document as J-10

J-10 - Non-Disclosure Agreement - Conditional Access to Nonpublic Information - In accordance with section H.3 of this RFP, this form is required as certification from each “management official” and “key individual” performing work under the contract or task order to be executed and maintained on file by the contractor. The Contractor shall obtain such certifications from management officials and key individuals before they perform work under the contract and then annually thereafter.

6. Questions and Answers – attached

RFP TOFS-10-S-0003

ATTACHMENT J-4

PAST PERFORMANCE QUESTIONNAIRE (PPQ)

Submission Instructions: The company who has provided you with this questionnaire is responding to a Department of the Treasury, Request For Proposals TOFS-10-S-0003 to obtain contract support for Financial Services. All information must be typed.

Questionnaire About (Completed by requesting company/contractor)

Company/Contractor Providing Services

Company/Contractor Address

Description of Services Provided

Company/Contractor’s role, to include whether work was performed as a prime or subcontractor

Contract Number/Identifier

Original Contract Estimated Value Estimated Value at Completion

Percentage of Work Complete Contract Performance Period

Contract Type (Fixed Price, T&M, Cost, etc.)

Questionnaire Completed By (Completed by reviewing company/agency)

Thank you, in advance, for providing us with valuable information needed to conduct a past performance evaluation.

Upon completion of this questionnaire, please send a signed, scanned version as an email attachment directly to FSACQ@do.treas.gov no later than 4:00 PM EST on June 16, 2010. In the email subject line, please state “PPQ Submission.” If you have any questions related to completing and/or submitting this questionnaire, please contact the following Contract Specialist at the Department of the Treasury: 1) Peggy Wright at 202-435-5791, or 2) Eric Islinger at 202-435-5780.

Name

Title

Company/Agency

Address

Telephone Email Address

Signature Date

RFP TOFS-10-S-0003

Question Instructions: Please answer questions 1 through 8 by providing a brief statement of your observations during the time you received support/services from the requesting company. If applicable, please include any problem(s) or performance failure(s) that prompted your comment. Additional pages may be attached if necessary.

Contractor is defined as the requesting company which provides services to the reviewing company/agency.

Questions (Completed by reviewing company/agency)

1. Describe the contractor’s technical expertise.

Comments:

2. Describe the quality of service you received from the contractor, including their ability to deliver competent personnel.

3. Describe the contractor’s commitment to small business participation.

4. Describe whether the contractor performed within budget and their efforts to control costs.

5. Describe the contractor’s responsiveness to adjust to contract, program and/or schedule changes, and to meet established deadlines.

6. Describe the contractor’s identification and mitigation of project related risks.

7. Describe the contractor’s willingness to work as a team with your personnel and with contractor staff from other companies.

8. Please provide any additional information to assist us in conducting our evaluation.

Revised 5/10/2009

ATTACHMENT J-6

INITIAL CERTIFICATION FORMAT

ORGANIZATIONAL CONFLICTS OF INTEREST [31 C.F.R. § 31.211]

I, [Name of Authorized Official], am a duly authorized official of [Name of Contractor] (“Contractor”), and I certify that the information provided by the Contractor to the Treasury on [Date] regarding organizational conflicts of interest in accordance with 31 C.F.R. §31.211 is complete and accurate in all material respects. In accordance with 31 C.F.R. § 31.211, prior to the award of a relevant contract the Contractor is required to provide Treasury with sufficient information to evaluate any organizational conflicts of interests, which information shall include:

1. The Contractor’s, any proposed subcontractor’s or consultant’s’ relationship to any related entities as such term is defined in 31 CFR § 31.201;

2. The categories of troubled assets owned or controlled by the Contractor, any proposed subcontractor or consultant, or any related entity of the Contractor or its proposed subcontractors or consultants, if the contract relates to the acquisition, valuation, disposition, or management of troubled assets;

3. Information concerning all other business or financial interests of the Contractor, its proposed subcontractors or consultants, or the related entities of the Contractor or its proposed subcontractors or consultants, which could conflict with the Contractor’s obligations under the contract;

4. A description of all organizational conflicts of interest and potential conflicts of interest;

5. A written detailed plan to mitigate all organizational conflicts of interest, along with supporting documents; and

6. A certification that the information provided to the Treasury in response to the above items is complete and accurate in all material respects.

The Contractor understands and agrees to comply with its obligation to:

• During the term of any resultant contract and pursuant to 31 CFR § 31.211(f), continually search for any potential organizational conflict of interest and report any potential organizational conflict of interest to the TARP Chief Compliance Officer within five (5) business days after learning of such potential organizational conflict;

• Retain the information needed to comply with 31 C.F.R. § 31.211 and to support the certifications required by 31 C.F.R. § 31.211 during the term of any resultant contract and for three (3) years following termination or expiration of the such contract, and make such information available to Treasury upon Treasury’s request pursuant to 31 CFR § 31.211(h); and.

• Maintain a compliance program designed to detect and prevent violations of federal securities laws and organizational conflicts of interest, if the contract is for the acquisition, valuation, management, or disposition of troubled assets.

I confirm, on behalf of the Contractor, that the Contractor will make information supporting this Certification available to Treasury upon request.

[Name of Contractor]

By:

[Provide signature, name, and title of Authorized Officer of the Contractor]

Date

Revised 5/10/2009

ATTACHMENT J-7

INITIAL CERTIFICATION FORMAT

COMMUNICATIONS WITH TREASURY EMPLOYEES [31 C.F.R. § 31.216]

“I, [Name of Authorized Official], am a duly authorized official of [Name of Contractor] (“Contractor”). The Contractor has obtained certifications regarding 31 C.F.R. § 31.216 from each proposed subcontractor or consultant and each officer, employee, and representative of the Contractor or any proposed subcontractor or consultant who participated personally and substantially in preparing and submitting the proposal.

In accordance with 31 C.F.R. § 31.216(a), during the course of any process for selecting the awardee of an applicable government procurement (at the contract or task order level), the Contractor, its proposed subcontractors and consultants, and the representatives of the Contractor and its proposed subcontractors and consultants shall not:

• directly or indirectly make any offer or promise of future employment or business opportunity to, or engage directly or indirectly in any discussion of future employment or business opportunity with, any Treasury employee with personal or direct responsibility for that procurement;

• offer, give, or promise to offer or give, directly or indirectly, any money, gratuity, or other thing of value to any Treasury employee, except as permitted by Government-Wide Ethics Rules, 5 CFR Part 2635; or

• solicit or obtain from any Treasury employee, directly or indirectly, any information that is not public and was prepared for use by Treasury for the purpose of evaluating an offer, quotation, or response to enter into an arrangement.

Based on the Contractor’s reasonable knowledge and review of the aforementioned certifications, the Contractor certifies that:

1. The Contractor, along with each proposed subcontractor or consultant and all aforementioned officers, employees and representatives, are aware of the prohibitions set forth in 31 C.F.R. § 31.216(a);

2. The Contractor, along with each proposed subcontractor or consultant, to the best of their knowledge after making a reasonable inquiry, have no information concerning a violation or possible violation of 31 C.F.R. § 31.216(a);

3. Each aforementioned officer, employee and representative has no information concerning a violation or possible violation of 31 C.F.R. § 31.216(a); and

4. Each aforementioned officer, employee, and representative will comply with the requirements of 31

C.F.R. § 31.216(a) and will report immediately to the Contractor any information that is gained subsequent to the execution of his/her certification, which concerns a violation or possible violation of 31 C.F.R. § 31.216(a).

I confirm, on behalf of the Contractor, that the Contractor will make information supporting this Certification available to Treasury upon request.

[Name of Contractor]

By: [Provide signature, name, and title of authorized officer of the Contractor]

Date:

ATTACHMENT J-8

TARP CONFLICTS OF INTEREST REGULATIONS

TASK ORDER CERTIFICATION FORMAT

I, [Name of Authorized Official], am a duly authorized official of [Name of Contractor] (“Contractor”). I have compared the Contractor’s existing conflicts of interest mitigation plan (“Plan”) submitted and approved by Treasury on (month/date/year) with the scope of work under the new Task Order [insert task order number] for work performed under Contract Number [insert contract number]. Based upon my review of the Plan, I certify that [check the one that applies]:

______ No revisions/amendments are required to the Plan or;

______ The Contractor has submitted a revised mitigation plan to Treasury that captures all or any necessary revisions or amendments to the Plan.

I also certify that the information provided in the Plan is complete and accurate in all respects as required under 31 C.F.R. Part 31.211(d).

Management officials and key individuals who are “personally and substantially” involved in performing work including subcontractors and consultants under this Task Order have provided written information to the Contractor regarding their personal, business and financial relationships as required under 31 C.F.R. Part 31.212(b).

Based upon the Contractor’s reasonable knowledge and review of the information, I certify that management officials and key individuals [check the one that applies]:

______ Do not have personal conflicts of interest, or

______ Any and all personal conflicts of interest have been, voided, neutralized, or mitigated under the Contractor’s Plan and any revisions/amendments to that Plan or has been waived by the Treasury.

I confirm that management officials and key individuals have provided certifications to the Contractor that comply with the requirements in 31 C.F.R. Section 31.217(b), including any new management officials and key individuals who will perform work under this Task Order.

Based on my reasonable knowledge and review of the certifications obtained from the above management officials and key individuals as required under 31 C.F.R. Part 31.216(b), I certify that the Contractor and the above management officials and key individuals are aware of, and will comply with, the prohibitions set forth in 31 C.F.R. Section 31.216.

I confirm that the Contractor will make the information supporting this Task Order Certification available to Treasury upon request, and retain this information for three years following the termination or expiration of this Task Order.

[Name of Contractor]

By: ____________________

Name: __________________

Title: ___________________

Date: ___________________

Revised 5.06.10

ATTACHMENT J-10

NON-DISCLOSURE AGREEMENT

Conditional Access to Nonpublic Information

I, ________________________________________, employee of ______________ [Insert legal name of the contractor/Subcontractor in the blank] hereby consent to the terms of Contract Number _______ [Insert actual contract number in the blank] (“Contract”) between the U.S.

Department of the Treasury (“Treasury”) and _________ [Insert Contractor’s Legal Name in the blank] (“Contractor”) in consideration of my being granted conditional access to certain United States Government nonpublic information.

I understand and agree to the following terms and conditions:

1. By being granted conditional access to nonpublic information, the Contractor [and subcontractor, as appropriate and applicable] and the Treasury have placed special confidence and trust in me, and I am obligated to protect this information from unauthorized disclosure, according to the terms of the Contract.

2. Nonpublic information refers to any information, provided to me by the Treasury or

Contractor [or subcontractor, as appropriate and applicable] in connection with my authorized services to the Treasury, or that I obtain or develop in providing authorized services to the Treasury, other than information designated as publicly available by the Treasury in writing or that becomes publicly available from a source other than the Contractor [or subcontractor, as appropriate and applicable]. Nonpublic information includes but is not limited to information about the Treasury’s business, economic, and policy plans, financial information, trade secrets, information subject to the Privacy Act, personally identifiable information (PII) and sensitive but unclassified (SBU) information.

3. PII includes, but is not limited to, information pertaining to an individual’s education, bank accounts, financial transactions, medical history and other information which can be used to distinguish or trace an individual’s identity, including but not limited to social security numbers.

4. SBU information is any information where the loss, misuse, or unauthorized access to, or modification of which could adversely affect the national interest or the conduct of Federal programs, or the privacy of individuals that they are entitled to under the Privacy Act and other Federal statutes.

5. I am being granted conditional access to nonpublic information, contingent upon my execution of this Agreement, to provide authorized services to the Treasury.

6. I agree to comply with the requirements of 3l C.F.R. § 3 1.217(b), and except as set forth in paragraph 14 below, I shall never divulge any nonpublic information provided to me pursuant to this Agreement to any third party, unless I have been advised in writing by the Contractor [and/or subcontractor, as appropriate and applicable] and/or the Treasury that such party is authorized to receive it.

7. 1 will submit to the Treasury for security review, prior to any submission for publication, any book, article, column or other written work for general publication that is based upon any knowledge I obtain during the course of my work in connection with the Treasury. I hereby assign to the Federal Government all rights, royalties, remunerations and emoluments that have resulted or will result or may result from any disclosure, publication, or revelation of nonpublic information not consistent with the terms of this Agreement.

8. If I violate the terms and conditions of this Agreement, I understand that the unauthorized disclosure of nonpublic information could compromise the security of individuals, the Contractor [and subcontractor as appropriate and applicable] and the Treasury

9. If I violate the terms and conditions of this Agreement, such violation may result in the cancellation of my conditional access to nonpublic information. Further, violation of the terms and conditions of this Agreement may result in the Contractor [and/or subcontractor, as appropriate and applicable] and/or the United States taking administrative, civil or any other appropriate relief.

10. I understand that the willful disclosure of information to which I have agreed herein not to divulge may also constitute a criminal offense.

11. Unless I am provided a written release by the Treasury from this Agreement, or any portions of it, all conditions and obligations contained in this Agreement apply both during my period of conditional access, which shall terminate at the conclusion of my work on _______________ [Insert actual contract number in the blank], and at all times thereafter.

12. Each provision of this Agreement is severable. If a court should find any provision of this

Agreement to be unenforceable, all other provisions shall remain in full force and effect.

13. I understand that the Treasury may seek any remedy available to it to enforce this

Agreement, including, but not limited to, application for a court order prohibiting disclosure of information in breach of this Agreement.

14. 1 understand that if I am under U.S. Congressional or judicial subpoena, I may be required by law to release information, and that pursuant to 31 CFR § 31.217(b)(l), I shall provide prior notice to Treasury of any such disclosure or release.

I make this Agreement in good faith, without mental reservation or purpose of evasion.

Name: Date:

05/26/2010

Questions and Answers

Item Question Response 1 [FOIA Cases] Is this task clerical or legal? (are we rendering legal opinions, or simply collecting documents, scanning documents, and validating data according to set guidelines)

It’s more of an administrative specialist type of duty that requires researching relevant information and regulations based on the type of request. All legal opinions are conducted by a FOIA Attorney assigned to the case if necessary to evaluate and assess the scope of the initial request.

2 What exactly is involved in processing the FOIA cases? (please describe the workflow)

There are various steps to processing these cases such as to Receive and Review FOIA request, Perfect Search and Send Back to Requester by accepting terms and conditions, Assign Case, Enter request in FOIA Tracking System, and Determine Search Criteria, etc.. Each case is processed according to the scope of the information being requested and in some instances additional steps may be necessary due to the sensitive of the request.

3 Where do the FOIA cases come from? (Is it a single source, direct from Treasury, or multiple sources that could potentially provide the cases)

The FOIA gives any person the right to request access to records of agencies of the United States federal government.

4 In what form do the FOIA cases come in? (Paper, CD, DVD, Secure File Transfer)

Paper

5 How many FOIA cases will be processed per month? It varies from month to month.

6 What different types of documents will make up an FOIA case? (income, assets, disclosures, etc.)

All documents associated with the case.

7 How many pages per FOIA case file? All documents relevant to the request will determine the number of pages per file.

8 How many different indexed document types per FOIA case? Each FOIA Request will have different types of documents. Each case is unique.

9 What is the time frame to recieve and scan an FOIA case? (24 hours) There is a twenty-day timeframe for processing cases. All documents should be scanned during this timeframe.

10 After indexing, and reviewing the initial FOIA case, are we responsible for collection of missing documents not provided?

Yes.

11 Are the documents collected for the FOIA case file originals, or copies? They are considered the originals.

12 For paper files collected; Are we scanning the documents, and immediately shredding? (if not, what is the retention period) No. The retention period will differ by document type.

13 What is the retention period for FOIA case files that we are hosting on our servers? (7 years)

6 years.

14 What are the file formats that are required for scanned FOIA case files?

(PDF)

PDF

15 What type of access do you require for the scanned FOIA cases? (we assume access through our web-based document management software)

Once the FOIA cases are scanned, the files are stored on a common access server that authorized personnel can access.

16 What type of correspondence would be required for tracking? Email, paper correspondence, electronic reports, etc.?

FOIA Requests are tracked in an electronic database. Electronic reports are pulled from this database to provide status updates.

17 Would it be possible for you to tell me if we can bid for specific parts of the RFP [e.g. Credit Reform, and/or Program Compliance]? Must a small business "provide adequate coverage for all categories"? It is unlikely that a small business have the capabilities and capacity to provide support in all categories. Will Treasury accept proposals from small businesses as complete if only bidding for certain categories, i.e., Accounting; Program Compliance and Internal Controls but not Organizational Design and Maintenance;

Systems: Requirements, Life-Cycle Planning, Development, and IV&V;

Credit Reform: Modeling and IV&V and Document Management. Can we bid on one requirement in the solicitation or, do we have to bid all sections?

C.4 Financial Services. Please confirm that an offeror may submit a proposal for one or more of the service categories, but need not submit a proposal for all categories. Will bidders receive partial awards? For example, if a bidder proposes on six categories, is it possible that they may receive an award for six or fewer of the categories? Or, is it an all or nothing award? And if it is an all or nothing award, could a bidder lose an award if they have 5 high scoring categories but 1 low scoring category that brings down the overall score?

The Government intends to award multiple omnibus IDIQ contracts that cover all categories identified in Section C of the RFP. Evaluations will be based on depth and breadth as indicated in Section M. However, it is not necessary for offerors to have technical expertise in all categories and proposals are not required to cover all categories. While offers must be for one of the multiple omnibus contracts, a vendor may choose to only address categories where it has technical expertise.

18 Can a small business bid as a Prime Contractor for consideration for the small business reserve and be a subcontractor to a large firm on another proposal?

Can a contractor be on multiple teams? Reference: General. Can a company bid as a prime contractor as well as a subcontractor on another team?

A small business is welcome to propose as a prime contractor. It may also bid as a subcontractor on other proposals.

19 In the first page of the RFP it states that the size standard is $7.0 million, whereas in the RFP document it states that the minimal award and maximum award under this RFP is $50 million and $185 million respectively. Would you be able to clarify this please?

The $7.0 million size standard is the small business classification threshold, not the contract value.

20 It appears that this procurement is restricted to Certified Public Accountant firms. Is this true?

No

21 Rather then to restrict SB's to 1% of the benefit associated with the Small Business Participation provision in this RFP, please consider increasing the first year 20% to approximately 25%, so that a Small Business not a part of the aforementioned categories can benefit as well at 5% of the total obligated dollars. Can a prime contractor (non-small business) subcontract the entire 20% in the first year to a small business firm who does not qualify as any one of items 1 - 5 mentioned above? Reference: Section M: Evaluation Factors for Award, Small Business Participation. Are offerors required to propose subcontractor commitments in all of the subcontracting goals percentages

1. There is no 1% restriction.

2. Thank you for the suggestion to increase the small business goal from 20% to 25%

3. All small businesses are included in the small business goal of 20%; whether they serve as a prime contractor or subcontractor

4. Each Offeror must make a business decision in accordance with the RFP, Section M, in particular. Treasury cannot advise an Offeror on what percentage to subcontract under a specific type of small business category. NOTE: the percentages stated in the allocated for each of the Small Business sizes (i.e., SDB-5%, WOSB-5%, VOSB-3%, SDVOSB-3%, and HUBZone-3%)? If offerors do not propose subcontractor commitments in all of the subcontracting goals percentages identified above for each of the Small Business sizes, will offerors’ proposals be downgraded if offerors propose a total Small Business subcontracting commitment at the level of 20% for the first year and likewise 30% by the final year? Reference: Section M: Evaluation Factors for Award, Small Business Participation. Subcontracting commitment levels (i.e., 20% for the first year moving to 30% by the final year) – Since this is a rate card submission in essence (i.e., offerors are providing labor rates for pricing evaluation purposes only and not a total contract price), please provide guidance on how the offerors are to determine the contract value percentages required for subcontracting.

RFP are Treasury’s goals but not strict requirements.

5. All Offerors that do not qualify as small businesses shall provide a Small Business Subcontracting Plan pursuant to FAR 52.219-9 "Small Business Subcontracting Plan." If you need additional information on the Small Business Subcontracting Program, please refer to FAR Subpart 19.7.

6. All Subcontracting Plans will be evaluated in accordance with Section L and M of the RFP.

7. Each Offeror must make a business decision in accordance with the RFP. Treasury cannot advise an Offeror on how to establish their subcontracting goals.

22 Please explain the difference between FAR 12 and 15. FAR 12 is the Acquisition of Commercial Items; FAR 15 is Contracting by Negotiation.

23 L.1 Information Requested. Past Performance.

a) Should all three (3) of the past performance questionnaires be submitted to previous or current customers of the prime contractor only, or can we include past performance questionnaire(s) to previous customers of one or more subcontractors with whom we will be working on this project?

b) Reference Past Performance Survey: Can a past performance survey of a subcontractor team member be submitted as 1 of 3? The RFP requires 3 past performances questionnaires, if we want to propose as a team, can we send one past performance from subcontractor and two from the prime? Or one from the prime and two from the subcontractor?

c) Page 35. Past Performance. May Offeror present Past Performance Questionnaires for more than three (3) of its previous customers?

d) L.1 Information Requested. Where should Past Performance be placed in the Proposal response? Given the page restrictions, what is Treasury's expectation for including Past Performance? If Past Performance is to be included in the Technical section there is not sufficient space allowed to write about the Categories.

e) Will Treasury accept Past Performance Questionnaires previously submitted to it where the response to that RFP is still pending?

a) As stated in the RFP, The offeror shall provide the PPQ to its customers where they recently performed work that is relevant to the requirements in Section C of the RFP.

b) Past performance surveys should reflect the performance history of the proposed prime.

c) The RFP calls for a maximum of three (3) Past Performance surveys.

d) Reference Section L.1 for submission instructions.

e) It doesn't matter if you have previously submitted this exact same reference on an earlier proposal, each proposal is stand alone in its evaluation.

24 Can we staff the project with a mixture of US and non-US citizens [the RFP response would come from our US business]?

Security requirements outlined in RFP; must be US or naturalized US citizen.

25 Is there an incumbent for this contract and/or is this a new solicitation?

General question: Are there incumbent contractors performing any of the work covered by this RFP? If so, who are they, what are the reference

All of the work in this RFP is currently being performed by contractors. The firms currently providing the required services are not restricted from proposing to this RFP. All of the current contract numbers, and are they allowed to bid on this RFP? Are incumbents currently performing the work shown in the Categories listed in the RFP for Treasury? If yes: How many current contracts are there and what are the names of the companies awarded the contracts? When do the current contracts expire? And will they be extended if a new award is not made under this RFP before they expire? How many prime contractors and listed subcontractors are there on the contracts?

contracts are public information and are located on the financialstability.gov website.

26 C.3 Scope. Category: Document Management. What document management systems are currently in use at the Office of Financial Services?

None

27 1) G.3 Key Personnel. Are we required to provide the list and resumes for Key Personnel in our proposal, or do we provide it later with each Task Order? If we are required to provide it now with our proposal, in which volume should it be included?

2) Reference G.3: a) Is it at the contractor's discretion how many key personnel they proposed and which titles they represent? b) or is Key Personnel designation at the task order level? Clarification is requested for the key personnel in Section G.3.

3) Are key personnel defined at the program level or task order level?

4) Are resumes of key personnel required with the IDIQ response?

5) Reference: Section G.3. Please confirm that the offeror should propose key personnel for the overall BPA proposal response and additional key personnel will be identified at the task order level. If key personnel are expected to be identified, are resumes required? And, if yes, is there a page limit and where should the offeror include this information?

6) Reference: Section L.1, Management and Staffing Approach. Are resumes required? Or, will they be requested at the task order level?

7) G.3: Key Personnel. Would Treasury clarify its requirements for key personnel and is the contractor required to identify key staff for each task area? Page 17 of 68 of the RFP states "The individuals named as Key Personnel shall be recommended by the Contractor in its Task Order proposal and subject to approval by the Government prior to award. These individuals shall be in responsible positions so as to allocate and control personnel." I understand this statement as "Key Personnel are only required to be identified in the Task Order proposals after Treasury awards the BPA contracts." Is my understanding of the statement within the RFP correct?

8) Section G.3. subparagraph (a) (page 17) states that "the individuals named as Key Personnel shall be recommended by the Contractor in its Task Order Proposal . . .". Section L.4. paragraph 3, states that "Other than the information required by Sections G.3., J, K and L of this RFP, the response shall not include any other attachments or documentation." Please confirm

1) The offeror shall provide a list of key personnel as stated in the RFP. Key personnel are outlined at the RFP level and are those that control and assign resources. This is done currently at this level and will be done again at the task order level. Resumes for key personnel are not required for submission with the RFP response, and would not be evaluated if they were submitted, as key personnel is not an evaluation criterion.

2) (a) The number of key personnel identified in the ID/IQ shall be at the offeror’s discretion. (b) answered above

3) Answered above

4) Answered above

5) Answered above

6) Answered above

7) Answered above

8) Resumes for key personnel are not required at the ID/IQ level but may be required at the task order level.

that neither key personnel nor resumes are to be included in the response to the ID/IQ, and will be required instead only in subsequent responses to Task Orders.

28 H.7 Conflicts of Interest. Please clarify requirements for a Contractor to provide written explanation of actual or potential conflicts of interest relating to “related entities.” Will Treasury provide a full listing and description of covered financial institutions and/or specific trouble assets supervised, or controlled by Treasury under the Troubled Assets Relief Program (TARP) to ensure accurate and full identification by contractor of real or potential conflicts of interest?

Under the COI Regulation (31 C.F.R § 31.201), "Related entity" has been defined as the parent company and subsidiaries of a Retained entity, any entity holding a controlling interest in the retainined entity, and any entity in which the retained entity holds a controlling interest. A list of TARP entities and trouble assets can be found in the TARP Transactions Report available at www.FinancialStability.gov.

29 L.1 Information Requested. Small Business Participation. If an offeror’s customary service delivery is through the use of “W-2 regular employees” and “1099 consultants,” please confirm that Treasury will allow the “1099 consultants” to be considered to be “subcontractors” for the purpose of the two Plans required by L.1?

The Department of the Treasury cannot instruct an Offeror on how to classify an employee, consultant or subcontractor. It is the Offeror's responsibility to ensure that they meet the definition of subcontractors as explained in Section 530 of the Revenue Act of 1978 and by the Internal Revenue Service.

30 L.1 Information Requested. Small Business Participation Plan, #2 (page 36).

Can you offer guidance on how we should estimate the total dollars of work that the small businesses will likely provide on this contact when we do not know total dollars at the IDIQ level but rather at the task order level?

This is normally based on your need to identify outside firms to comply with the small business requirements of this project and your internal resources. Any methodology chosen must be supported by the offeror.

31 L.1 Information Requested. Conflicts of Interest Mitigation Plan, #2 (page 38). Does the term “consultants” also refer to “subcontractors” in this context?

For purposes of conflicts of interest information and mitigation, all consultants should be considered subcontractors.

32 L.3 Submission of Response. For hand-delivered proposals, are advance arrangements required for building entry security purposes and access to the specific room, and will Treasury provide time/dated receipt of delivery?

There are no advanced access requirements. The offeror must allow for adequate time to process delivery past government entry requirements. Follow standard Government proposal delivery requirements.

33 a) L.4 Response Format. Do you require that the proposal be submitted on one-sided pages or would you prefer that we submit our offers on double-sided, recycled paper per FAR 52.205-5 (Printing/Copying Double-Sided on Recycled Paper (AUG 2000), incorporated by reference in Section I.1. L.4 Response Format.

b) In which volume (I through IV) should we include the offeror’s signed/returned SF 1447 and Section K—Representations, Certifications and other Statements of Bidders, or would you prefer these as attachments to the cover letter? Reference: Section L.4, Response Format.

c) Can text in tables and graphics be smaller than the required 12 point font?

d) SF-1447, block 25, p. 1: In which of the 4 proposal volumes should the signed SF-1447 go? If into the price volume (Volume III), the

a) Proposals should be submitted on one sided pages. The SF1447 should be included in Volume I. Please comply with the requirements of the solicitation. Font sizes should be no smaller than 10 for tables and graphs. The signed transmittal document must be part of a complete submission to include price.

b) Offerors will need to provide a complete set of documents as per section L.4. Representations, Certifications and other Statements of Bidders as per section L.4 may be attached to the cover letter.

c) Font sizes for tables and graphics shall be 10 pt. or larger.

d) Amendment 1 replaces the SF1447 with SF33. This should be included with the cover letter, representations and

Government has only required one original and one copy of the price volume.

How should 4 signed copies be placed into two physical binders? Or is the Government requiring the 4 signed originals of the SF-1447 in the one original copy of Volume III and 4 copies of the same in the one copy of Volume III the Offeror will be submitting? I understand from page 41 of 68 of the RFP, the offeror's response must contain a cover letter and four separate volumes. Within which volume should the Standard form 1447 (page 1 of 68 and page 2 of 68 of the RFP) be located?

e) Within which volume should the initial organizational conflicts of certification be located?