USCA20R0002_-_Chapter_13_Standing_Trustee_Audits_RFP.pdf

SOLICITATION/CONTRACT/ORDER

OFFEROR TO COMPLETE BLOCKS 12, 17, 23, 24 & 30

1. REQUISITION NUMBER

AUD200001

5. SOLICITATION NUMBER

USCA20R0002

2. CONTRACT NO. 3. AWARD/EFFECTIVE DATE 4. ORDER NUMBER 6. SOLICITATION ISSUE

DATE

10/11/2019

7. FOR INFORMATION CALL: a. NAME Kimeerly Fleming

b. TELEPHONE NUMBER (No collect calls) 202-502-3338

8. OFFER DUE DATE / LOCAL

TIME

10/30/2019 09:00:00

CODE PMD

Procurement Management Division Administrative Office of the United States Courts One Columbus Circle, N.E.

Suite 3-250 Washington, DC 20544-0001

9. ISSUED BY 10.

NOT USED

SEE

SCHEDULE

11. DELIVERY FOR FOB DESTINATION

UNLESS BLOCK IS MARKED

12. DISCOUNT TERMS 13.

NOT USED RFQ X RFP

14. METHOD OF SOLICITATION

AUDCODE15. DELIVER TO

Office of Audit Administrative Office of the United States Courts One Columbus Circle, N.E.

Suite 3-240 Washington, DC 20544-0001

CODE16. ADMINISTERED BY (if other than Block 9)

FACILITY

CODE

CODE

Telephone No.

17a. CONTRACTOR/

OFFEROR

AFSDCODE18a. PAYMENT WILL BE MADE BY Accounting Division, DAS-BAPO-ACC Administrative Office of the United States Courts One Columbus Circle, N.E., Suite 5-300 Washington, DC 20544-0001

17b. CHECK IF REMITTANCE IS DIFFERENT AND PUT SUCH ADDRESS IN

OFFER

18b. SUBMIT INVOICES TO ADDRESS SHOWN IN BLOCK 18a UNLESS BLOCK BELOW IS

CHECKED

19. ITEM NO. 20. SCHEDULE OF SUPPLIES/SERVICES

(Use Reverse and/or Attach Additional Sheets as Necessary)

21. QUANTITY 22. UNIT 23. UNIT PRICE 24. AMOUNT

See Lines

25. ACCOUNTING AND APPROPRIATION DATA 26. TOTAL AWARD AMOUNT (For Govt. Use Only)

27. Applicable terms and conditions are as stated in the continuation pages.

28. CONTRACTOR IS REQUIRED TO SIGN THIS DOCUMENT AND RETURN ____ COPIES TO

ISSUING OFFICE. CONTRACTOR AGREES TO FURNISH AND DELIVER ALL ITEMS SET FORTH

OR OTHERWISE IDENTIFIED ABOVE AND ON ANY ADDITIONAL SHEETS SUBJECT TO THE

TERMS AND CONDITIONS SPECIFIED.

29. AWARD OF CONTRACT: REF. _____________________________ OFFER

DATED _________________ . YOUR OFFER ON SOLICITATION (BLOCK 5)

INCLUDING ANY ADDITIONS OR CHANGES WHICH ARE SET FORTH HEREIN,

IS ACCEPTED AS TO ITEMS:

30a. SIGNATURE OF OFFEROR/CONTRACTOR 31a. UNITED STATES OF AMERICA (SIGNATURE OF CONTRACTING OFFICER)

30b. NAME AND TITLE OF SIGNER (TYPE OR PRINT) 30c. DATE SIGNED 31b. NAME OF THE CONTRACTING OFFICER (TYPE OR PRINT) 31c. DATE SIGNED

AUTHORIZED FOR LOCAL REPRODUCTION

PREVIOUS EDITION IS NOT USABLE

USCA20R0002 - Page 1 of 17

19.

ITEM NO.

20.

SCHEDULE OF SUPPLIES/SERVICES

21.

QUANTITY

22.

UNIT

23.

UNIT PRICE

24.

AMOUNT

32a. QUANTITY IN COLUMN 21 HAS BEEN

RECEIVED INSPECTED ACCEPTED, AND CONFORMS TO THE CONTRACT, EXCEPT AS NOTED: _________________________________

32b. SIGNATURE OF AUTHORIZED GOVERNMENT

REPRESENTATIVE

32c. DATE 32d. PRINTED NAME AND TITLE OF AUTHORIZED GOVERNMENT

REPRESENTATIVE

32e. MAILING ADDRESS OF AUTHORIZED GOVERNMENT REPRESENTATIVE 32f. TELEPHONE NUMBER OF AUTHORIZED GOVERNMENT

REPRESENTATIVE

32g. E-MAIL OF AUTHORIZED GOVERNMENT REPRESENTATIVE

PARTIAL FINAL

33. SHIP NUMBER 34. VOUCHER NUMBER 35. AMOUNT VERIFIED

CORRECT FOR

COMPLETE PARTIAL FINAL

36. PAYMENT 37. CHECK NUMBER

38. S/R ACCOUNT NUMBER 39. S/R VOUCHER NUMBER 40. PAID BY

41a. I CERTIFY THIS ACCOUNT IS CORRECT AND PROPER FOR PAYMENT 42a. RECEIVED BY (Print)

41b. SIGNATURE AND TITLE OF CERTIFYING OFFICER 41c. DATE

42b. RECEIVED AT (Location)

42c. DATE REC'D (YY/MM/DD) 42d. TOTAL CONTAINERS

USCA20R0002 - Page 2 of 17

Table of Contents

Section Description Page Number

B Supplies or Services and Prices/Costs C Descriptions/Specifications/Statement of Work

C-1 Statement of Work D Packaging and Marking E Inspection and Acceptance

2-5B Inspection of Services F Deliveries or Performance

2-60 Stop-Work Order G Contract Administration Data

7-1 Contract Administration 7-5 Contracting Officer's Representative

H Special Contract Requirements 1-1 Employment by the Government 2-65 Key Personnel

I Contract Clauses 1-5 Conflict of Interest 1-10 Gratuities or Gifts 1-15 Disclosure of Contractor Information to the Public 3-205 Protest after Award 3-25 Protecting the Judiciary's Interest When Subcontracting with Contractors Debarred, Suspended, or Proposed for Debarment 3-35 Covenant Against Contingent Fees 3-40 Restrictions on Subcontractor Sales to the Judiciary 3-45 Anti-Kickback Procedures 3-50 Cancellation, Rescission, and Recovery of Funds for Illegal or Improper Activity 3-55 Price or Fee Adjustment for Illegal or Improper Activity 3-105 Audit and Records 3-120 Order of Precedence 7-20 Security Requirements 7-25 Indemnification 7-35 Disclosure or Use of Information 7-85 Examination of Records 7-100B Limitation of Liability (Services) 7-110 Bankruptcy 7-150 Extras 7-185 Changes 7-215 Notification of Ownership Changes 7-220 Termination for Convenience of the Judiciary (Fixed Price) 7-230 Termination for Default - Fixed-Price Products and Services 7-235 Disputes 7-15 Observance of Regulations/Standards of Conduct 7-40 Judiciary-Contractor Relationships 7-30 Public Use of the Name of the Federal Judiciary B-20 Computer Generated Forms 2-80 Judiciary Property 6-60 Rights in Data - General B-5 Clauses Incorporated by Reference 2-90C Option to Extend Services 2-90D Option to Extend the Term of the Contract

J List of Attachments K Representations, Certifications and Other Statements of Offerors or Respondents

3-5 Taxpayer Identification and Other Offeror Information 3-15 Place of Performance 3-20 Certification Regarding Debarment, Suspension, Proposed Debarment, and Other Responsibility Matters 3-30 Certificate of Independent Price Determination 3-130 Authorized Negotiators

L Instructions, Conditions and Notices to Offerors or Respondents 3-210 Protests 3-85 Explanation to Prospective Offerors 3-95 Preparation of Offers

USCA20R0002 - Page 3 of 17

3-100 Instructions to Offerors 7-60 Judiciary Furnished Property or Services B-1 Solicitation Provisions Incorporated by Reference 4-1 Type of Contract L-1 Instructions to Offerors

M Evaluation Factors for Award 2-85A Evaluation Inclusive of Options 3-70 Determination of Responsibility M-1 Evaluation of Proposals

USCA20R0002 - Page 4 of 17

Section B - Supplies or Services and Prices/Costs

CLIN NO. Supplies or Services Quantity Unit of Issue Unit Price Extended Amount

0001 Chapter 13 Standing Trustee Audits 14 Each

Extended Description:Concessionaire Contract - Audits are paid by Trustees Period of Performance:11/13/2019 - 11/12/2020

CLIN NO. Supplies or Services Quantity Unit of Issue Unit Price Extended Amount

1001 Chapter 13 Standing Trustee Audits 14 Each

Extended Description:Concessionaire Contract - Audits are paid by Trustees Period of Performance:11/13/2020 - 11/12/2021

CLIN NO. Supplies or Services Quantity Unit of Issue Unit Price Extended Amount

2001 Chapter 13 Standing Trustee Audits 14 Each

Extended Description:Concessionaire Contract - Audits are paid by Trustees Period of Performance:11/13/2021 - 11/12/2022

CLIN NO. Supplies or Services Quantity Unit of Issue Unit Price Extended Amount

3001 Chapter 13 Standing Trustee Audits 14 Each

Extended Description:Concessionaire Contract - Audits are paid by Trustees Period of Performance:11/13/2022 - 11/12/2023

CLIN NO. Supplies or Services Quantity Unit of Issue Unit Price Extended Amount

4001 Chapter 13 Standing Trustee Audits 14 Each

Extended Description:Concessionaire Contract - Audits are paid by Trustees Period of Performance:11/13/2023 - 11/12/2024

Section C - Descriptions/Specifications/Statement of Work

C-1 Statement of Work

See Attachment 1 - Statement of Work

Section D - Packaging and Marking No Clauses

USCA20R0002 - Page 5 of 17

Section E - Inspection and Acceptance

Clause(s) Incorporated By Reference, see Clause B-5 Clause Title Date

2-5B Inspection of Services APR 2013

Section F - Deliveries or Performance

Clause(s) Incorporated By Reference, see Clause B-5 Clause Title Date

2-60 Stop-Work Order JAN 2010

Section G - Contract Administration Data

Clause(s) Incorporated By Reference, see Clause B-5 Clause Title Date

7-1 Contract Administration JAN 2003

7-5 Contracting Officer's Representative APR 2013

Section H - Special Contract Requirements

Clause(s) Incorporated By Reference, see Clause B-5 Clause Title Date

1-1 Employment by the Government JAN 2003

2-65 Key Personnel APR 2013

(a) Individuals identified below as key personnel and accepted for this contract are expected to remain dedicated to this contract. However, in the event that it becomes necessary for the contractor to replace any of the indi-viduals designated as key personnel, the contractor shall request such substitutions in accordance with this clause. Substitution of key personnel will be considered under the following circumstances only:

(1) All substitutes shall have qualifications at least equal to those of the person being replaced.

(2) All appointments of key personnel shall be approved in writing by the contracting officer, and no substitu-tions of such personnel shall be made without the advance written approval of the contracting officer.

(3) Except as provided in paragraph (4) of this clause, at least 30 days (60 days if security clearance is required) in advance of the proposed substitution, all proposed substitutions of key personnel shall be submitted in writ-ing to the contracting officer, including the information required in paragraph (5) of this provision.

(4) The following identifies the requirements for situations where individuals proposed as key personnel be-come unavailable because of sudden illness, death or termination of employment. The contractor shall within 5 work days after the event, notify the contracting officer in writing of such unavailability. If the event happens after award, the contracting officer will determine if there is an immediate need for a temporary substitute and a continuing requirement for a permanent substitute for the key personnel position. The contracting officer will promptly inform the contractor of this determination. If the contracting officer specifies that a temporary substi-tute is required, the contractor shall as soon as is practical identify who will be performing the work as a tem-porary substitute. The temporary substitute will then start performance on a date mutually acceptable to the con-tracting officer and the contractor. Within 15 work days following the event, if the contracting officer specifies that a permanent substitute is required, the contractor shall submit, in writing, for the contracting officer's ap-

USCA20R0002 - Page 6 of 17 proval, the information required in (5) and (6) below, for a proposed permanent substitute for the unavailable individual. The approval process will be the same as (7) below.

(5) Request for substitution of key personnel shall provide a detailed explanation of the circumstances necessit-ating substitution, a resume of the proposed substitute, and any other information requested by the contracting officer to make a determination as to the appropriateness of the proposed substitute's qualifications. All resumes shall be signed by the proposed substitute and his/her formal (per company accepted organizational chart) direct supervisor or higher authority.

(6) As a minimum (or as otherwise specified in the solicitation), resumes shall include the following:

(a) name of person;

(b) functional responsibility;

(c) education (including, in reverse chronological order, colleges and/or technical schools attended (with dates), degree(s)/certification(s) received, major field(s) of study, and approximate number of total class hours);

(d) citizenship status;

(e) experience including, in reverse chronological order for up to ten years, area(s) or work in which a person is qualified, company and title of position, approximate starting and ending dates (month/year), concise descrip-tions of experience for each position held including specific experience related to the requirements of this con-tract; and

(f) certification that the information contained in the resume is correct and accurate (signature of key person and date signed, and signature of the supervisor or higher authority and date signed will be accepted as certifica-tion).

(7) The contracting officer will promptly notify the contractor in writing of his/her approval or disapproval of all requests for substitution of key personnel. All disapprovals will require re-submission of another proposed substitution within 15 days by the contractor.

(b) The following individuals are designated as key personnel under this contract:

[Contracting Officer to add names upon contract award]

(END)

Section I - Contract Clauses

Clause(s) Incorporated By Reference, see Clause B-5 Clause Title Date

1-5 Conflict of Interest AUG 2004

1-10 Gratuities or Gifts JAN 2010

1-15 Disclosure of Contractor Information to the Public AUG 2004

3-205 Protest after Award JAN 2003

3-25 Protecting the Judiciary's Interest When Subcontracting with

Contractors Debarred, Suspended, or Proposed for Debarment

JUN 2014

3-35 Covenant Against Contingent Fees JAN 2003

3-40 Restrictions on Subcontractor Sales to the Judiciary JUN 2014

3-45 Anti-Kickback Procedures JUN 2012

3-50 Cancellation, Rescission, and Recovery of Funds for Illegal or

Improper Activity

JUN 2012

3-55 Price or Fee Adjustment for Illegal or Improper Activity JUN 2012

3-105 Audit and Records APR 2011

3-120 Order of Precedence JAN 2003

USCA20R0002 - Page 7 of 17

Clause Title Date

7-20 Security Requirements APR 2013

7-25 Indemnification AUG 2004

7-35 Disclosure or Use of Information APR 2013

7-85 Examination of Records JAN 2003

7-100B Limitation of Liability (Services) JAN 2003

7-110 Bankruptcy JAN 2003

7-150 Extras JAN 2003

7-185 Changes APR 2013

7-215 Notification of Ownership Changes JAN 2003

7-220 Termination for Convenience of the Judiciary (Fixed Price) JAN 2003

7-230 Termination for Default - Fixed-Price Products and Services JAN 2003

7-235 Disputes JAN 2003

7-15 Observance of Regulations/Standards of Conduct JAN 2003

7-40 Judiciary-Contractor Relationships JAN 2003

7-30 Public Use of the Name of the Federal Judiciary JUN 2014

B-20 Computer Generated Forms JAN 2003

2-80 Judiciary Property JAN 2003

6-60 Rights in Data - General JUN 2012

B-5 Clauses Incorporated by Reference OCT 2010

This procurement incorporates one or more clauses by reference, with the same force and effect as if they were given in full text. Upon request, the contracting officer will make their full text available. Also, the full text of a clause may be accessed electronically at this address:

http://www.uscourts.gov/procurement.aspx.

(END)

2-90C Option to Extend Services APR 2013

The judiciary may require continued performance of any services within the limits and at the rates specified in the contract. These rates may be adjusted only as a result of revisions to prevailing labor rates provided by the Secretary of Labor. The option provision may be exercised more than once, but the total extension of perform-ance hereunder shall not exceed 6 months. The contracting officer may exercise the option by written notice to the contractor no later than [insert the period of time within which the contracting officer may exercise the op-tion] calendar days prior to the contract's current expiration date.

(END)

2-90D Option to Extend the Term of the Contract APR 2013

(a) The judiciary may extend the term of this contract by written notice to the contractor no later than [insert the period of time within which the contracting officer may exercise the option] calendar days prior to the contract's current expiration date; provided that the judiciary gives the contractor a preliminary written notice of its intent to extend at least [Contracting Officer fill-in] calendar days [60 days unless a different number of days is inser-

USCA20R0002 - Page 8 of 17 ted] before the contract expires. The preliminary notice does not commit the judiciary to an extension.

(b) If the judiciary exercises this option, the extended contract shall be considered to include this option clause.

(c) The total duration of this contract, including the exercise of any options under this clause, shall not exceed [Contracting Officer insert duration (months) (years)].

(END)

Section J - List of Attachments

Identifier Title Date Number of Pages

1 Attachment 1 - Statement of Work 10/10/2019 22 2 Attachment 2 - Past Performance Questionnaire 10/10/2019 2 3 Attachment 3 - Pricing Schedule 10/10/2019 6

Section K - Representations, Certifications and Other Statements of Offerors or Respondents

3-5 Taxpayer Identification and Other Offeror Information APR 2011

(a) Definitions "Taxpayer Identification (TIN)," as used in this provision, means the number required by the Internal Revenue Service (IRS) to be used by the offeror in reporting income tax and other returns. The TIN may be either a so-cial security number or an employer identification number.

(b) All offerors shall submit the information required in paragraphs (d) through (f) of this provision to comply with debt collection requirements of 31 U.S.C. 7701(c) and 3325(d), reporting requirements of 26 U.S.C. 6041, 6041A and implementing regulations issued by the IRS. If the resulting contract is subject to the payment re-porting requirements, the failure or refusal by the offeror to furnish the information may result in a 31 percent reduction of payments otherwise due under the contract.

(c) The TIN may be used by the government to collect and report on any delinquent amounts arising out of the offeror's relationship with the government (31 U.S.C. 7701(c)(3)). If the resulting contract is subject to payment recording requirements, the TIN provided hereunder may be matched with IRS records to verify the accuracy of the offeror's TIN.

(d) Taxpayer Identification Number (TIN):

[__] TIN has been applied for.

[__] TIN is not required, because:____________________________________________________________ [__] Offeror is a nonresident alien, foreign corporation or foreign partnership that does not have income effect-ively connected with the conduct of a trade or business in the United States and does not have an office or place of business or a fiscal paying agent in the United States;

[__] Offeror is an agency or instrumentality of a foreign government;

[__] Offeror is an agency or instrumentality of the federal government.

(e) Type of organization:

[__] sole proprietorship;

[__] partnership;

[__] corporate entity (not tax-exempt);

[__] corporate entity (tax-exempt);

[__] government entity (federal, sate or local);

[__] foreign government;

[__] international organization per-26 CFR 1.6049-4;

[__] other ___________________________________________________________________________.

(f) Contractor Representations The offeror represents as part of its offer that it is [__], is not [__] , 51% owned and the management and daily operations are controlled by one or more members of the selected socio-economic group(s) below:

[__] Women Owned Business

USCA20R0002 - Page 9 of 17

[__] Minority Owned Business (if selected, then one sub-type is required) [__] Black American Owned [__] Hispanic American Owned [__] Native American Owned (American Indians, Eskimos, Aleuts, or Native Hawaiians) [__] Asian-Pacific American Owned (persons with origins from Burma, Thailand, Malaysia, Indone-sia, Singapore, Brunei, Japan, China, Taiwan, Laos, Cambodia (Kampuchea), Vietnam, Korea, The Philippines, U.S. Trust Terrritory of the Pacific Islands (Republic of Palau), Republic of the Marshall Islands, Federated States of Micronesia, the Commonwealth of the Northern Mariana Islands, Guam, Samoa, Macao, Hong Kong, Fiji, Tonga, Kiribati, Tuvalu, or Nauru)

[__] Subcontinent Asian (Asian-Indian) American Owned (persons with origins from India, Pakistan, Bangladesh, Sri Lanka, Bhutan, the Maldives Islands, or Napal)

[__] Individual/concern, other than one of the preceding.

(END)

3-15 Place of Performance JAN 2003

If the judiciary intends or the offeror proposes, in the performance of any contract resulting from this solicita-tion, to use one or more facilities located at addresses different from the offeror's address as indicated in this of-fer, the offeror shall include in its offer a statement referencing this provision and identifying those facilities by street address, city, country, state, and ZIP code, and the name and address of the operators of those facilities if other than the offeror.

(END)

3-20 Certification Regarding Debarment, Suspension, Proposed Debarment, and Other Responsibility Matters

APR 2011

(a) (1) The offeror certifies, to the best of its knowledge and belief, that:

(i) the offeror and/or any of its principals:

(A) are __ are not __ presently debarred, suspended, proposed for debarment, or declared ineligible for the award of contracts by any federal agency;

(B) have __ have not __, within the three-year period preceding this offer, been convicted of or had a civil judg-ment rendered against them for: commission of fraud or a criminal offense in connection with obtaining, at-tempting to obtain, or performing a public (federal, state, or local) contract or subcontract; violation of federal or state antitrust statutes relating to the submission of offers; or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, tax evasion, violating federal criminal tax laws, or receiving stolen property;

(C) are __ are not __ presently indicted for, or otherwise criminally or civilly charged by a governmental entity with, commission of any of the offenses enumerated in paragraph (a)(1)(i)(B) of this provision;

(D) have __ have not __, within a three-year period preceding this offer, been notified of any delinquent federal taxes in an amount that exceeds $3,000 for which the liability remains unsatisfied.

(1) Federal taxes are considered delinquent if both of the following criteria apply:

(i) The tax liability is finally determined. The liability is finally determined if it has been assessed. A liablity is not finally determined if there is a pending administrative or judicial challenge. In the case of a judicial chal-lenge to the liability, the liability is not finally determined until all judicial appeal rights have been exhausted.

(ii) The taxpayer is delinquent in making payment. A taxpayer is delinquent if the taxpayer has failed to pay the tax liability when full payment was due and required. A taxpayer is not delinquent in cases where enforced collection action is precluded.

(2) Examples.

(i) The taxpayer has received a statutory notice of deficiency, under I.R.C. § 6212, which entitles the taxpayer to seek Tax Court review of a proposed tax deficiency. This is not a delinquent tax because it is not a final tax liability. Should be taxpayer seek Tax Court review, this will not be a final tax liability until the taxpayer has exercised all judicial appeal rights.

(ii) The IRS has filed a notice of federal tax lien with respect to an assessed tax liability, and the taxpayer has been issued a notice under I.R.C.. § 6320 entitling the taxpayer to request a hearing with the IRS Office of Ap-

USCA20R0002 - Page 10 of 17 peals contesting the lien filing, and to further appeal to the Tax Court if the IRS determines to sustain the lien filing. In the course of the hearing, the taxpayer is entitled to contest the underlying tax liability because the taxpayer has had no prior opportunity to contest the liability. This is not a delinquent tax because it is not a fi-nal tax liability. Should the taxpayer seek Tax Court review, this will not be a final tax liability until the tax-payer has exercised all judicial appeal rights.

(iii) The taxpayer has entered into an installment agreement pursuant to I.R.C. § 6159. The taxpayer is making timely payments and is in full compliance with the agreement terms. The taxpayer is not delinquent because the taxpayer is not currently required to make full payment.

(iv) The taxpayer has filed for bankrupty protection. The taxpayer is not delinquent because enforced collec-tion action is stayed under 11 U.S.C. 362 (the Bankruptcy Code).

ii. The offeror __ has __ has not, within a three-year period preceding this offer, had one or more contracts ter-minated for default by any federal agency.

(2) "Principal," for the purposes of this certification, means an officer; director; owner; partner; or a person hav-ing primary management or supervisory responsibilities within a business entity (e.g., general manager; plant manager; head of a division, or business segment, and similar positions).

This certification concerns a matter within the jurisdiction of an agency of the United States and the making of a false, fictitious, or fraudulent certification may render the maker subject to prosecution under 18 U.S.C. § 1001.

(b) The offeror shall provide immediate written notice to the contracting officer if, at any time prior to contract award, the offeror learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances.

(c) A certification that any of the items in paragraph (a) of this provision exists will not necessarily result in withholding of an award under this solicitation. However, the certification will be considered in connection with a determination of the offeror's responsibility. Failure of the offeror to furnish a certification or provide such ad-ditional information as requested by the contracting officer may render the offeror nonresponsible.

(d) Nothing contained in the foregoing will be construed to require establishment of a system of records in order to render, in good faith, the certification required by paragraph (a) of this provision. The knowledge and inform-ation of an offeror is not required to exceed that which is normally possessed by a prudent person in the ordin-ary course of business dealings.

(e) The certification in paragraph (a) of this provision is a material representation of fact upon which reliance was placed when making award. If it is later determined that the offeror knowingly rendered an erroneous certi-fication, in addition to other remedies available to the judiciary, the contracting officer may terminate the con-tract resulting from this solicitation for default.

(END)

3-30 Certificate of Independent Price Determination JAN 2003

(a) The offeror certifies that:

(1) the prices in this offer have been arrived at independently, without, for the purpose of restricting competi-tion, any consultation, communication, or agreement, with any other offeror or with any competitor relating to:

(A) those prices;

(B) the intention to submit an offer; or

(C) the methods or factors used to calculate the prices offered.

(2) The prices in this offer have not been and will not be knowingly disclosed by the offeror, directly or indir-ectly, to any other offeror or contract award unless otherwise required by law; and

(3) no attempt has been made or will be made by the offeror to induce any other concern to submit or not to submit an offer for the purpose of restricting competition.

(b) Each signature on the offer is considered to be a certification by the signatory that the signatory:

(1) is the person in the offeror's organization responsible for determining the prices in this offer, and that the signatory has not participated, and will not participate, in any action contrary to paragraphs( (a)(1) through (a)(3) of this provision; or

(2) (i) has been authorized, in writing, to act as agent for the following principals in certifying that those prin-cipals have not participated, and will not participate, in any action contrary to paragraphs (a)(1) through (a)(3)

USCA20R0002 - Page 11 of 17 of this provision ___________________________________________________________________________ (insert full name of person(s) in the offeror's organization responsible for determining the prices in this offer, and the title of his or her position in the offeror's organization);

(ii) as an authorized agent, does certify that the principals named in subdivision (b)(2)(i) of this provision; have not participated, and will not participate, in any action contrary to paragraphs (a)(1) through (a)(3) of this provi-sion; and

(iii) as an agent, has not personally participated, and will not participate, in any action contrary to paragraphs (a)(1) through (a)(3) of this provision.

(c) If the offeror deletes or modifies paragraph (a)(2) of this provision, the offeror shall furnish with its offer a signed statement setting forth in detail the circumstances of the disclosure.

(END)

3-130 Authorized Negotiators JAN 2003

The offeror represents that the following persons are authorized to negotiate on its behalf with the judiciary in connection with this solicitation (offeror lists names, titles, and telephone numbers of the authorized negotiat-ors).

Name: ___________________________________________________________________________ Titles: ___________________________________________________________________________ Telephone: ___________________________________________________________________________ Fax: ___________________________________________________________________________ Email: ___________________________________________________________________________

(END)

Section L - Instructions, Conditions and Notices to Offerors or Respondents

Provision(s) Incorporated By Reference, see Provision B-1 Clause Title Date

3-210 Protests JUN 2014

3-85 Explanation to Prospective Offerors AUG 2004

3-95 Preparation of Offers APR 2013

3-100 Instructions to Offerors APR 2013

7-60 Judiciary Furnished Property or Services JAN 2003

B-1 Solicitation Provisions Incorporated by Reference OCT 2010

This solicitation incorporates one or more solicitation provisions by reference, with the same force and effect as if they were given in full text. Upon request, the contracting officer will make their full text available. The of-feror is cautioned that the listed provisions may include blocks that must be completed by the offeror and sub-mitted with its quotation or offer. In lieu of submitting the full text of those provisions, the offeror may identify the provision by paragraph identifier and provide the appropriate information with its quotation or offer. Also, the full text of a solicitation provision may be accessed electronically at this address:

http://www.uscourts.gov/procurement.aspx.

(END)

4-1 Type of Contract JAN 2003

The judiciary plans to award a [Contracting officer inserts specific type of contract] type of contract under this solicitation, and all offers shall be submitted on this basis. Alternate offers based on other contract types will not be considered.

USCA20R0002 - Page 12 of 17

(END)

L-1 Instructions to Offerors

1. GENERAL INSTRUCTIONS AND INFORMATION

This section provides general guidance for preparing proposals as well as specific instructions on format and content. Proposals must include all information requested and must be submitted in accordance with these in-structions. It is the offeror’s responsibility to ensure the completeness of the proposal. Inconsistencies among the parts of each proposal shall be explained. Any unexplained inconsistency may raise a fundamental question of the offeror's understanding of the requirement and/or ability to perform. With respect to price, the burden of proof for price credibility rests with each offeror. Failure to furnish a complete proposal, at the time of submis-sion, may result in the proposal being eliminated from consideration for award.

2. QUESTIONS & POINT OF CONTACT

Address all questions or concerns in writing and submit electronically to the Contracting Officer, Kimeerly Fleming at Kimeerly_Fleming@ao.uscourts.gov All inquiries must be made in writing and submitted electron-ically to the above e-mail addresses by 9:00 am ET on October 21, 2019.

3. PROPOSAL SUBMISSION DATE

Unless otherwise noted, proposals are due no later than the time and date specified in the Solicitation Form in Block 8, submitted in accordance with the instructions herein. All proposals must be submitted to the Contract-ing Officer, Kimeerly Fleming at Kimeerly_Fleming@ao.uscourts.gov. Late proposals may be rejected from consideration. It is the offeror's responsibility to confirm the Government has received the proposal.

4. PROPOSAL CONTENT

Proposals shall include the following:

a) Signed copy of the Solicitation Form.

b) Signed copy of the Standard Form 1449 of any amendments issued against this request for proposal.

c) Offeror's DUNS number, Cage Code, and Tax ID number.

d) Technical Volume

e) Past Performance Volume

f) Price Volume

Proposals shall be clear, concise, and include enough detail for effective evaluation and for substantiating the validity of stated claims. The proposal shall not simply rephrase or restate the Government's requirements, but rather shall provide convincing rationale to address how the offeror intends to meet the requirements. The offer-or shall assume that the Government has no prior knowledge of their capabilities and experience and will base its evaluation on the information presented in its proposal. The Government intends to make award based on the initial proposal received, without conducting negotiations. Although, the Government reserves the right to con-duct discussions, if deemed in the Government's best interest.

5. RESTRICTIONS ON DISCLOSURE AND USE OF PROPOSAL

A proposal may include data, such as technical designs or concepts, financial data, or management plans that the offeror does not want disclosed to the public for any reason or used by the Government for any purpose oth-er than proposal evaluation and contract award. If the offeror wishes to restrict the proposal, the offeror shall mark it accordingly.

6. PROPOSAL FORMAT/INFORMATION

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6.1 PAGE SIZE AND LIMITATION

Page size shall be 8.5 x 11 inches, not including foldouts. Pages shall be single-spaced. Except for the repro-duced sections of the solicitation document, the text size shall be no less than Times New Roman 10 point. Use at least 1-inch margins on all sides of each page. The submitted proposal is limited to 50 pages in total includ-ing all attachments, and tables. The Solicitation Form, SF 1449, past performance questionnaires, and pricing schedule spreadsheet are exempted from the page limitation.

6.2 ELECTRONIC SUBMISSION

All proposals shall be submitted via email. The electronic copies of the proposal shall be submitted in a format readable and usable by Microsoft 2000 Office suite (MS Word, MS Excel, PowerPoint); or an Adobe Acrobat PDF. Volume III -Price, is to be submitted using the Pricing Schedule (Attachment 3), in accordance with section L-1, 4. Proposal Content. Hidden fields, comments, macros, etc., shall be omitted. The Pricing Schedule format and formulas shall not be modified. The use of hyperlinks in quotes is prohibited, including links to external data stores. The following file extensions are not allowable and application materials/data sub-mitted with these extensions cannot be considered: .bat, .cmd, .com, .exe, .pif, .rar, .scr, .vbs, .hta, .cpl, html, mhtml, and .zip files.

6.3 EXCEPTIONS OR ASSUMPTIONS TO TERMS AND CONDITIONS

Offerors are advised that taking exception to any of the requirements specified in this solicitation may result in the proposal being found unacceptable. Since the Government reserves the right to award without discussions, offerors run the risk of their proposal being found deficient as a result of exceptions to solicitation requirements.

Clarification of Government requirements and any contractor assumptions should be handled by submitting a question/recommended change prior to the due date for said questions. All assumptions/clarifications must be finalized prior to award. If the offeror still finds it necessary to take exception to any of the requirements spe-cified in this solicitation, clearly indicate each exception in the appropriate volume and section along with a complete explanation of why the exception was taken and what benefit accrues to the Government. All excep-tions to the solicitation requirements and all attachments and supporting rationale shall be identified as such and consolidated into an overview section of the subject volume. An overview section is only required if the offeror takes exception to any requirement in the solicitation.

7. PROPOSAL CONTENT

The submitted proposal shall consist of three (3) volumes; Volume I –Technical Approach, Volume II - Past Performance, and Volume III - Price.

Volume I - Technical Approach The offeror shall submit a narrative that provides enough detail to address the technical approach to meet the re-quirements in the Statement of Work including the offeror’s approach to audit planning – sampling, requested documentation, planned interviews, assessment of risk, estimated number of days for each phase; resumes of Key Personnel, reporting procedures; ability to attract and retain qualified contractor staff and approach to field supervision; understanding of the U.S Government Accountability Office’s (GAO) Government Auditing Standards (Yellow Book) for financial statement audits; the GAO Financial Audit Manual (FAM); American Institute of Certified Public Accountants Statements on Auditing Standards and Generally Accepted Accounting Principles (GAAP[KF1] ); and approach to staffing.

Volume II – Past Performance Offerors shall submit Past Performance Questionnaire (Attachment 2) for no less than three (3) recent contracts (prime or subcontracts) under which the offeror (or its proposed major subcontractors) performed tasks relevant to those required by the Solicitation. A “major subcontractor” is defined as a subcontractor that will be provid-ing critical services or whose subcontract will be for more than 50 percent (50%) of the total proposed contract price. The offeror shall submit the written consent of its major subcontractors to allow the disclosure of its sub-contractor’s past performance information to the offeror. In addition, letters of commitment shall be included for all major subcontractors for their past performance to be considered. Past Performance must reflect trustee

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To be considered recent, work must have been performed under the referenced contract during the three years preceding the issue date of the solicitation.

Relevance will be determined using the following rating scale:

Past Performance Relevance Ratings Rating Definition Very Relevant Past project effort involved essentially the same scope and magnitude of effort and complexities the Solicita-tion requires.

Relevant Past project effort involved similar scope and mag-nitude of effort and complexities as the Solicitation re-quires

Somewhat Relevant Past project effort involved some of the scope and mag-nitude of effort and complexities the Solicitation re-quires

Not Relevant Past project effort involved little or none of the scope and magnitude of effort and complexities the Solicita-tion requires.

Neutral No relevant past performance.

The offeror shall provide the following information for each referenced contract using Past Performance Ques-tionnaire (Attachment2):

(a) Contractor/Subcontractor name, place of performance, and DUNS Number. If the work was performed as a subcontractor, also provide the name of the prime contractor and Point of Contact (POC) within the prime contractor organization (name, and current address, e-mail address, and telephone number) who can verify the participation and extent of work performed by the offeror.

(b) Government contracting activity/commercial entity for which work was performed, with current address, e-mail address, telephone number of the Contracting Officer or customer point of contact.

(c) Name of government’s technical representative/COR, with current address, email address, and telephone number.

(d) Government contract administration activity, with the name, current address, e-mail address and telephone number of the Contracting Officer (if different than the POC provided under (b) above).

(e) Contract Number (including, in the case of projects performed under orders against Indefinite Delivery type contracts, GSA contracts, and Blanket Purchase Agreements, relevant Task Order/BPA Call Numbers.

(f) Contract Type (specific type such as Fixed-Price (FP), Cost Reimbursement (CR), Time & Material (T&M), Labor Hour (LH) etc.). In the case of Indefinite Delivery contracts, also indicate specific type (i.e., Re-quirements, Definite Quantity, and Indefinite Quantity).

(g) Awarded price/cost. (If the offeror, or its proposed major subcontractor, was responsible for only a por-tion of the tasks performed under the referenced contract, then the total price/cost should only include the price/cost of work performed by the offeror or its proposed major subcontractor.)

(h) Final (or, if work is ongoing, projected final) price/cost. (If the offeror, or its proposed major subcontract-or, was responsible for only a portion of the tasks performed under the referenced contract, then the final price/

USCA20R0002 - Page 15 of 17 cost should only include price/cost paid or to be paid for work performed by the offeror or its proposed major subcontractor.)

(i) Final (or, if work is ongoing, projected final) delivery schedule, including dates of start and completion of work. If the final delivery schedule was adjusted due to delays caused by the offeror, provide information about and reason for such delay.

The offeror shall provide a brief description of the tasks performed or objectives achieved for each referenced contract and indicate, by narrative explanation or a chart or table, tasks performed under the referenced project that were identical or similar to tasks required by the solicitation.

The offeror shall provide copies of any cure notices or show cause letters received with respect to recent, relev-ant contracts of the offeror or any proposed major subcontractor (whether or not the effort was identified as one of the referenced past performance contracts) and describe any corrective action implemented by the offeror (or proposed major subcontractor). The offeror shall indicate if any recent, relevant contract (whether or not the ef-fort was identified by the offeror as a Past Project) has been terminated for cause or default and describe the cir-cumstances of the termination.

If an offeror provides past performance information of a proposed major subcontractor for evaluation, then the offeror must also provide information about which solicitation tasks will be performed by the proposed major subcontractor. Only past performance information for major subcontractors that is relevant to the tasks to be performed by that proposed major subcontractor during contract performance will be considered in determining the performance confidence rating of an offeror.

New corporate entities without any relevant past performance may submit past performance information for proposed key personnel. However, the offeror must provide specific detail about the role performed by such personnel in the projects for which past performance information is provided, and about the proposed role to be performed by such personnel as key personnel under the contract awarded pursuant to the Solicitation. Letters of commitment shall be included in the proposal for persons not yet employed by the offeror (or its proposed major subcontractors) in order for past performance of such persons to be considered.

The offeror shall submit its past performance information under Part 1 of the Past Performance Question-naire (Attachment2) of the solicitation. Under Part 1 (for each effort), a customer reference, with current con-tact information, shall be provided; contact information shall include a phone number and email address.

After completion of sections 1-7 of the Past Performance Questionnaire offeror shall forward the document for customers (respondents) to complete section 8.

Offerors shall instruct customer references to submit the completed questionnaire forms by the proposal due date directlyto the Contracting Officer identified on the form and in the proposal submission requirements in section 3 above.

Volume III – Price The Offeror shall submit their price proposal using the Pricing Schedule (Attachment3). The Offeror shall com-plete the yellow highlighted cells on the base year tab through the option year 4 tab. The Offeror shall enter labor categories from its GSA Schedule contract that will be used for this effort, the fixed hourly rates for the labor category, and the number of hours. The offeror is encouraged to offer discounted GSA Schedule labor rates. The total tab will calculate the firm fixed prices, and multiply them by the evaluation quantities estab-lished by the Government. Offerors must submit prices based on rates that are in accordance with its most cur-rent GSA Schedule contract. Offerors shall provide a copy of its most current GSA Schedule as part of the price quotation, including prices for any unexercised options. It is the Offeror's responsibility to determine the appro-priate categories/items for this effort. Open market labor categories are not allowed, and will result in removal from competition.

Section M - Evaluation Factors for Award

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Provision(s) Incorporated By Reference, see Provision B-1 Clause Title Date

2-85A Evaluation Inclusive of Options JAN 2003

3-70 Determination of Responsibility JAN 2003

M-1 Evaluation of Proposals

BASIS FOR AWARD

The Government intends to award one concessionaire contract, resulting from this solicitation to the offeror whose offer conforming to the solicitation will be most advantageous to the Government, price and other factors considered. Selection under this solicitation shall be based on the offeror whose quote represents the best value for the Government using the tradeoff approach.

As such, award may be made to other than the lowest priced offeror or other than the highest technically rated offeror. The following factors shall be used to evaluate offers:

1. Technical Approach

2. Past Performance

3. Price.

Technical Approach is significantly more important than Past Performance. Technical Approach and Past Per-formance when combined are significantly more important than price.

Factor 1: Technical Approach

The Government will evaluate each offeror's technical approach to determine their capability to perform and their understanding of all the requirements outlined in the solicitation. This will include the evaluation of the ap-proach to audit planning, resumes of Key Personnel (see SOW 10. Contractor Support Requirements), approach to field supervision; reporting procedures; understanding of purpose and importance of Independence / Quality Control Assurance Statements, approach regarding attracting and retain qualified contractor staff.

Factor 2: Past Performance

The Government will evaluate the quality of the Contractor's Past performance. The assessment of the Contract-or's past performance will be used to evaluate the relative capability of the Contractor to successfully meet the requirements of the solicitation. Past performance of "key personnel," if any, may be considered. The Govern-ment reserves the right to utilize past performance information other than the information submitted with the proposal received in conducting the evaluation. A contractor without a record of relevant past performance or for whom information on relevant past performance is not available will not be evaluated favorably or unfavor-ably on past performance. The Government may consider past performance information regarding predecessor companies or subcontractors that will perform major or critical aspects of the requirement when such informa-tion is considered relevant.

Factor 3: Price

The Government will evaluate price based on the Total Evaluated Price detailed on the "Price Schedule" excel worksheet. The government will consider the level of effort and the mix of labor quoted to perform the ser-vices. A determination of price fairness and reasonableness will be made based on competition.

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