District of Columbia Retirement Board (DCRB)

District of Columbia Retirement Board

(DCRB)

Request for Proposal for the Annual Renewal of IBM

Subscription Software and Support Services

Solicitation Number: DCRB-17-038

Release Date: April 10, 2017

Sheila Morgan-Johnson, Interim Executive Director

900 7th

Street, N.W. Second Floor, Washington, DC 20001

X

X

Article II. Contract Clauses

Artcile IV. Evaluation Process

I Questions and RFP Amendments

Evaluation of Responses

Deliverables

Technical Rating System

Standard Terms and Conditions

X G

30

X H Proposal Contents 14

Point of Contact

FX Withdrawl or Modifications of Proposals 14

13

A

Method of Submission 14

E Proposal Submission 13

X

X

12

X 9

Schedule of Events 13

7

X A

2Statement of Work

Article I. Overview and Schedule

10 Calendar days %

OFFER

C

Order of Precedence

X 17

X

X

8-May-17

(X)

(Number)

Page No.

8. Address Offer to:

3. Solicitation Number2. Contract Number

9. Sealed offers in original and

Washington, DC 20001

202

SOLICITATION

1

NOTE: In sealed bid solicitations "offer" and offeror" means "bid" and "bidder"


Page No.Description

(Hour)

or if electronically, send to place specified in Item 10. C

Annual Renewal of IBM Passport Advantage Subscription Software and Support

Services

4. Type of Solicitation 5. Date Issued

copies for furnishing the supplies or services in the Schedule will be received at the place specified in Item 8, if hand carried to the bid counter

SOLICITATION, OFFER, AND AWARD

A. Name

12:00pm

CAUTION: Late Submissions, Modifications and Withdrawals: See Solicitation. All offers are subject to all terms & conditions contained in this solicitation.

10. For

Information

Contact 343-3200

Above Adress local time

Page of Pages


until

1 33

6. Type of Market

Sealed Proposals (RFP)

Other than Full and Open Competition

7. Issued By:

1. Caption

900 7th Street, NW, 2nd Floor 900 7th Street, NW, 2nd Floor

RB-17-038

Procurement

(Date)

Procurement

4/10/2017

Sealed Bid (IFB)

(X) Section

[email protected]

B. Telephone

(Ext)

11. Table of Contents

Yolanda Smith

(Area Code)

Section Description

29

Price Schedule

X

X

C

APPENDIX B- BOARD LOCK-OUT RULE

18

Introduction 2

x D

C. E-mail Address

Period of Performance 7

X4

20

14. Acknowledgement of Amendments (The offeror

acknowledges receipt of amendments to the

SOLICITATION):

Amendment Number Date

B

X

Contract Award

AX

X

(Area Code) (Number) (Ext)15 C. Check if remittance address is

different from above - Refer to

Section G

13. Discount for Prompt Payment

12

X

15A.

Name and

Address of

Offeror

23. Signature of Contracting Officer (District of Columbia)

AWARD (TO BE COMPLETED BY GOVERNMENT)

21. Accounting and Appropriation20. Amount

Sheila Morgan-Johnson, Interim Executive Director

19. Accepted as to Items Numbered


16. Name and Title of Person Authorized to Sign Offer/Contract

of offers specified above, to furnish any or all items upon which prices are offered at the price set opposite each item, delivered at the designated point(s), within the time

specified herein.

120 calendar days from the date for receipt 12. In compliance with the above, the undersigned agrees, if this offer is accepted within

24. Award Date22. Name of Contracting Officer (Type or Print)

Amendment Number Date

18. Offer Date15B. Telephone 17. Signature

____ Calendar days %30 Calendar days %20 Calendar days %

D

Proposal Preparation

11

Open

Set Aside (CBE Market)

Open with Sub-Contracting Set Aside

Limited Competition

Sole Source

9

APPENDIX C- PROCUREMENT AND CONFLICT OF INTEREST RULES

18

APPENDIX A- DCRB GENERAL TERMS AND CONDITIONS

located at

A

B

B

7

X

Contract Administration

DCRB-17-038


Human Care Agreements

Emergency

X

X F

XE

X

Article III. Instructions, Conditions and Notices to Offerors

X

B

C

General Requirements

F

F

mailto:[email protected]

Page 2 of 33

ARTICLE I. OVERVIEW AND SCHEDULE

A. Introduction

The District of Columbia Retirement Board (“DCRB”) has a requirement to renew its existing

IBM WebSphere Application Server Network Deployment (“WASND”) and IBM FilNet

Platform licenses with an authorized IBM provider, partner, or reseller.

DCRB acquired licenses to support the IBM FileNet platform in 2007, and one thousand one

hundred and twenty (1,120) WASND licenses from Analytica between 2015 and 2016 all of

which included one (1) year of support. Since then, DCRB has maintained manufacturer required

annual software subscription and support to ensure that the software needed to support members’

electronic records repository is functioning with the most current software updates.

B. Statement of Work

The Contractor shall provide the following services:

B.1 IBM Software Subscription and Support renewal. Contractor shall provide manufacturer

required, support and maintenance services to include patches, bug fixes, updates, and all other

requirements of the manufacturer to ensure the software covered under the manufacturer’s

support and subscription services are working at its most optimum capacity at all times.

DCRB has the following licenses that shall be covered under the support services:

Name of Product Quantity Manufacturer

part #

IBM Case Foundation Add-On Authorized User 85 E04Y6LL

IBM FileNet Content Manager Authorized User 85 E0501LL

IBM FileNet eForms for P8 Authorized User 85 E050LLL

IBM WebSphere Application Server Network Deployment 1,120 E025SLL

Subscription and Support services include:

Global, 24x7x365 support

Fast response times for critical issues

Unlimited number of support requests

Remote Support

Online access to documentation and technical resources, knowledge base,

discussion forums

Product updates and upgrades

B.2 Customer Support Services. Contractor must describe the procedures by which they will

provide DCRB with customer support service including:

Page 3 of 33

24-hour per day, 365 days per year, support;

Response to issues identified using , at minimum, response times in sections B.2.1

and B.2.2.; and

Provide general information, of how the Contractor will coordinate reporting and

resolving ticketed incidents between DCRB and IBM.

B.2.1 Support Response Times

Critical and high priority incidents require that DCRB IT management notifies the

Contractor within an hour and three hours, respectively. The procedures associated with

critical and high priority issues include email notifications to the Contractor or software

manufacturer and setting up a conference bridge to resolve the issues identified.

Priority

Level

Ticket

Acknowledgement

Target

Resolution

time

Escalation

Threshold

Customer

Reporting

Frequency

Root Cause

Analysis

(RCA)

required

Critical

(Severity 1)

30 minutes or less:

24x7x365

4 hours 1 hour Every 30

minutes

Yes

High

(Severity 2)

Within 2 business

hour

8 hours 4 hours

3 hours Yes

Medium

(Severity 3)

Within 8 business

hours

3 days 1 week 1 day No

Low

(Severity 4)

Within 16 business

hours

1 week 1 week 3 days No

The Contractor’s Service Desk personnel will assign the correct priority level to the reported

incident (i.e., critical, high, medium, or low):

Critical (Severity 1): A problem has occurred where no Workaround is immediately

available in one of the following situations: (i) your production server or other mission

critical system is down or has had a substantial loss of service; or (ii) a substantial portion

of your mission critical data is at a significant risk of loss or corruption.

High (Severity 2): A problem has occurred where a major functionality is severely

impaired. Your operations can continue in a restricted fashion, although long-term

productivity might be adversely affected.

Medium (Severity 3): A problem has occurred with a limited adverse effect on your

business operations.

Low- Cosmetic (Severity 4): One of the following:

o Problem where your business operations have not been adversely affected;

and/or

Page 4 of 33

o A suggestion for new features or an enhancement regarding the Software.

B.2.2 Support Hours

The Contractor’s support staff will be available for maintenance support services during

the following hours:

Classification Hours of Service

Normal Support 8:30 AM to 5:00 PM EST, Monday–Friday

After Hours This time period will be used for critical operational

support, maintenance, and support that requires

application and system downtime.

The Contractor shall designate an account manager who shall serve as the point of contact to

work with DCRB to provide management and oversight on account related issues.

C. Price Schedule

DCRB contemplates award of a firm fixed price contract to a single Contractor. If available, contractors are encouraged to use available Federal or District of Columbia Supply Schedule contract pricing when submitting a response. If governmental pricing is provided, please identify the contract number, the contract term and if not available on the world-wide web, the contract document referenced. Base Period: July 1, 2017 through June 30, 2018

CONTRACT

LINE ITEM

#

ITEM NO.

(CLIN)

Item Description Quantity Unit of

Issue

Per Unit

Price

Total Price

0001 IBM Case Foundation Add-On

Authorized User

85 users $ $

0002 IBM FileNet Content Manager

Authorized User

85 users $ $

0003 IBM FileNet eForms for P8

Authorized User

85 users $ $

0004 IBM WebSphere Application

Server Network Deployment

1,120 licenses $ $

TOTAL $

Page 5 of 33

Option Period 1: July 1, 2018 through June 30, 2019


CONTRACT

LINE ITEM

#

ITEM NO.

(CLIN)


Issue

Per Unit

Price

Total Price


Authorized User

85 users $ $


Authorized User

85 users $ $


Authorized User

85 users $ $



1,120 licenses $ $

TOTAL $

CONTRACT

LINE ITEM

#

ITEM NO.

(CLIN)


Issue

Per Unit

Price

Total Price


Authorized User

85 users $ $


Authorized User

85 users $ $


Authorized User

85 users $ $



1,120 licenses $ $

TOTAL $

Page 6 of 33



DCRB is subject to the annual appropriations process of the District of Columbia DCRB that

culminates in an appropriation act passed by the U.S. Congress and signed by the President of

the United States. DCRB has a current appropriation for the fiscal year ending September 30,

2017, which is estimated to be sufficient to fund the base year. Funding for additional periods is

subject to appropriations.

CONTRACT

LINE ITEM

#

ITEM NO.

(CLIN)


Issue

Per Unit

Price

Total Price


Authorized User

85 users $ $


Authorized User

85 users $ $


Authorized User

85 users $ $



1,120 licenses $ $

TOTAL $

CONTRACT

LINE ITEM

#

ITEM NO.

(CLIN)


Issue

Per Unit

Price

Total Price


Authorized User

85 users $ $


Authorized User

85 users $ $


Authorized User

85 users $ $



1,120 licenses $ $

TOTAL $

Page 7 of 33

D. Deliverables

The following details the deliverables/services to be provided to DCRB as outlined. Any changes

to the deliverable schedule will be subject to DCRB’s approval.

E. Period of Performance The term of the contract shall be for a period from July 1, 2017 through June 30, 2018 with four

(4) one year option periods.

F. Contract Administration There are separate and distinct roles of contract administration during the performance of this

contract. The roles and responsibilities of each party are defined below.

F.1 Chief Contracting Officer (CCO): Contracts will be entered into and signed on behalf of

DCRB only by DCRB’s CCO whose information is below:

Sheila Morgan-Johnson

Interim Executive Director and Chief Contracting Officer


900 7th

Street, N.W.

Second Floor


(202) 343-3200

The CCO is the only person authorized to approve changes in any of the requirements of this

contract. The Contractor shall not comply with any order, directive or request that changes or

modifies the requirements of this contract, unless issued in writing and signed by the CCO.

Deliverable

Due Date

Frequency Deliverable Description of

Deliverable

DCRB’s Acceptance

Criteria

Immediately

upon contract

award

As required by the

manufacturer

Maintenance and

Support

See Section

B.1

In a format consistent with

manufacturer

requirements and agreed

upon between DCRB and

Contractor.

During the

period of

performance as

needed

Normal Support:

Monday-Friday

8:30am-5:00pm

eastern time

Critical

Support:24x7x365

Customer

Support

See Section

B.2

Resolution of issues

Page 8 of 33

In the event the Contractor effects any changes at the instruction or request of any person other

than the CCO, the change will be considered to have been made without authority and no

adjustment will be made in the contract price to cover any cost increase incurred as a result

thereof.

F.2 Contracting Officer’s Representative (COR): The COR is responsible for general and

technical administration of the contract and advising the CCO as to the Contractor’s compliance

or noncompliance with the contract. The COR’s information is below:

TBD

The COR will review and approve invoices for completed work ensuring receipt of all goods and

services. The COR will work directly with the Contractor to ensure work performed under the

contract is consistent with the technical specifications, performance work statement, scope and

otherwise.

The COR does not have the authority to:

1.Award, agree to or sign any contract, delivery order or task order;

2.Grant deviations from or waive any terms or conditions of the contract;

3. Increase dollar limits, authorize expenditure of funds by the Contractor or authorize

work beyond the scope of the requirement and dollar limit specified in the contract; or

4. Change the period of performance specified in the contract.

Recommendations (with supporting documentation) may be made to the Contract Administrator

who will evaluate the proposed alteration and conduct all negotiations with the Contractor if

deemed advisable.

F.3. Contract Administrator (CA): Disagreements between the COR and the Contractor must

be referred to the CA. The CA is responsible for addressing any questions regarding contract

requirements including terms and conditions. The contact information for the CA is below:

Yolanda Smith, CPPB

Contract Specialist


900 7th

Street, N.W.

Second Floor


(202) 343-3200

[email protected]

F.4 Contractor’s Account Representative: The Contractor designated an account

representative. The Account representative shall be responsible for managing DCRB’s account.

TBD


Page 9 of 33

ARTICLE II. CONTRACT CLAUSES

A. General Requirements

By submitting a response to this RFP, offeror accepts the DCRB General Terms and contract set

out in Appendix A. Much of the language included in the General Terms and Conditions and

contract reflects the requirements of agency procurement policy and District of Columbia law.

Offerors requesting additions or exceptions to the standard terms and conditions, or to the

contract terms, shall submit them to the point of contact listed in Section F. of this solicitation by

the proposal due date specified in Section E. Schedule of Events. A request must be

accompanied by an explanation why the exception is being sought and what specific effect it will

have on the offeror's ability to respond to the RFP or perform the contract. DCRB reserves the

right to address nonmaterial requests for exceptions to the General Terms and Conditions and

contract language with the highest rated offeror during contract negotiation, if applicable.

DCRB shall identify any revisions to the General Terms and Conditions and contract language in

a written addendum issued for this RFP. The addendum will apply to all offerors submitting a

response to this RFP. DCRB will determine any changes to the General Terms and Conditions

and/or contract.

B. Standard Terms and Conditions

B.1 Debarment and Suspension. By signing this Contract, Contractor certifies that it is in

compliance with and shall not contract with individuals or organizations which are debarred,

suspended, or otherwise excluded from participating on Federal or District contracts.

B.2 Publicity. The award of this Contract to the Contractor is not in any way an endorsement of

Contractor or Contractor’s products by DCRB and shall not be so construed by Contractor in any

advertising or other publicity materials.

Contractor agrees to submit to DCRB, all advertising, sales promotion, and other publicity

materials relating to this Contract or any Product furnished by Contractor wherein DCRB’s name

is mentioned, language is used, or Internet links are provided from which the connection of

DCRB’s name therewith may, in DCRB’s judgment, be inferred or implied. Contractor further

agrees not to publish or use such advertising, sales promotion materials, publicity or the like

through print, voice, the World Wide Web, and other communication media in existence or

hereinafter developed without the express written consent of DCRB prior to such use.

B.3 Commercial Computer Software License.

(a) Notwithstanding any contrary provisions contained in the Contractor’s standard

commercial license or lease agreement, the Contractor agrees that DCRB will have the

rights that are set forth in paragraph (b) of this clause to use, duplicate or disclose any

commercial computer software delivered under this contract. The terms and provisions of

this contract shall comply with Federal and District of Columbia laws.

Page 10 of 33

(b)(1) The commercial computer software delivered under this contract may not

be used, reproduced, or disclosed by DCRB except as provided in paragraph

(b)(2) of this clause or as expressly stated otherwise in this contract.

(2) The commercial computer software may be—

(i) Used or copied for use with the computer(s) for which it was acquired,

including use at any DCRB location to which the computer(s) may be

transferred;

(ii) Used or copied for use with a backup computer if any computer for

which it was acquired is inoperative;

(iii) Reproduced for safekeeping (archives) or backup purposes;

(iv) Modified, adapted, or combined with other computer software,

provided that the modified, adapted, or combined portions of the

derivative software incorporating any of the delivered, commercial

computer software shall be subject to same restrictions set forth in this

contract;

(v) Disclosed to and reproduced for use by support service Contractors or

their subcontractors, subject to the same restrictions set forth in this

contract; and

(vi) Used or copied for use with a replacement computer.

(3) If the commercial computer software is otherwise available without disclosure

restrictions, the Contractor licenses it to DCRB without disclosure restrictions.

(c) The Contractor shall affix a notice substantially as follows to any commercial

computer software delivered under this contract:

Notice—Notwithstanding any other lease or license agreement that may pertain

to, or accompany the delivery of, this computer software, the rights of DCRB

regarding its use, reproduction and disclosure are as set forth in DCRB contract

#_________________________.

B.4 Renewal of Support after Expiration of this Contract. Service will not automatically

renew after expiration of the initial term of this agreement. Renewal may only occur in accord

with (1) the mutual agreement of the parties; or (2) an option renewal clause allowing DCRB to

unilaterally exercise one or more options to extend the term of the agreement.

B.5 Option to Extend Term of the Contract.

(a) DCRB may extend the term of this contract by written notice to the Contractor within

30 days; provided that the DCRB gives the Contractor a preliminary written notice of its

intent to extend at least 60 days before the contract expires. The preliminary notice does

not commit DCRB to an extension.

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

this option clause.

Page 11 of 33

(c) The total duration of this contract, including the exercise of any options under this

clause, shall not exceed five (5) years.

B.6 Contract Documents. This contract shall incorporate quote numbers submitted by the

Contractor, the terms and conditions of the Contractor’s Federal or District of Columbia Supply

Schedule contract, and the IBM Passport Advantage Agreements including applicable

attachments at https://www-01.ibm.com/software/passportadvantage/agreementsandforms.html

and IBM’s Terms of Use at https://www.ibm.com/legal/us/en/.

C. Order of Precedence A conflict in language shall be resolved by giving precedence to the document in the highest

order of priority that contains language addressing the issue in question. The following

documents are incorporated into the contract by reference and made a part of the contract in the

following order of precedence:

1. An applicable Court order, if any

2. Contract document

3. DCRB’s General Terms and Conditions

4. Contract Number

5. RFP and if any amendment(s)

6. Best and Final offers (in the order of most recent to earliest)

7. Offeror’s Proposal

https://www-01.ibm.com/software/passportadvantage/agreementsandforms.html

https://www.ibm.com/legal/us/en/

Page 12 of 33

ARTICLE III. INSTRUCTIONS, CONDITIONS AND NOTICES TO

OFFERORS

A. Contract Award

The contract awarded resulting from this solicitation shall be to a responsible offeror whose offer

conforms to this solicitation and will be most advantageous to DCRB, cost or price, technical and

other factors, specified elsewhere in this solicitation considered. Award will be made to the Offeror

whose offer is judged to be, based on an integrated assessment of the evaluation criteria, to be the

most advantageous to DCRB with technical factors having a greater importance than price.

Offerors are advised that award may be made without discussion or any contact with the offerors

concerning the offers received. Therefore, offers should be submitted initially on the most

favorable terms that the offer can submit.

(a) Price evaluation will be based on the sum of the total estimated prices of the

base contract and any options.

(b) Affordability. The price proposals will be assessed for affordability. DCRB

will not make an award for any proposal which proposes prices that would

render the procurement infeasible.

A.1 Resulting Contract. This RFP and any amendment, addenda, the offeror's RFP response,

including any amendments, a best and final offer (if any), and any clarification question

responses shall be incorporated by reference in any resulting contract.

A.2 Understanding of Specifications and Requirements. By submitting a response to this

RFP, offeror acknowledges it understands and shall comply with the RFP specifications and

requirements.

A. 3 Offeror's Signature. Offeror's proposal must be signed by an individual authorized to

legally bind the offeror on the Solicitation, Offer and Award document. The offeror's signature

guarantees that the offer has been established without collusion. Offeror shall provide proof of

authority of the person signing the RFP upon DCRB's request.

A.4 Offer in Effect for 120 Calendar Days. Offeror agrees that it may not modify, withdraw,

or cancel its proposal for a 120-day period following the RFP due date or receipt of best and final

offer, if required.

B. Proposal Preparation

To expedite the evaluation of Offeror responses (“Proposals”), it is essential that Offerors follow

the format and instructions contained herein. Failure to respond in this manner may render the

proposal, at the sole discretion of DCRB, as unresponsive or otherwise unacceptable and may

result in disqualification and the elimination of the Offeror from consideration.

Page 13 of 33

Offeror shall submit its technical and price proposal separately.

DCRB will not be liable for any costs incurred by the respondents in preparing responses to this

RFP or for negotiations associated with award of a contract.

It is the sole responsibility of the respondents to ensure that their responses arrive in a timely

manner. DCRB reserves the right to reject any late arrivals.

All Proposals submitted become the property of DCRB and may be subject to public disclosure

under the Freedom of Information Act.

C. Schedule Of Events

The following is the estimated schedule of events related to this RFP process. Dates listed below

may be amended as appropriate by DCRB. Offerors will be notified of any changes via e-mail.

D. Point of Contact

This RFP is issued by DCRB and is subject to the Board’s lock-out rule (Appendix B) and

DCRB’s Procurement and Conflict of Interest Rules (Appendix C). Further, from the issue date

of this RFP until a successful Offeror is selected, there shall be no communication by Offerors

with any DCRB Board or staff members other than the DCRB designee. Failure to comply with

this provision of the procurement will result in Proposal rejection and disqualification.

For all matters and questions relating to this RFP the point of contact is:

Name: Yolanda Smith

Address: District of Columbia Retirement Board

900 7th

Street NW; Suite 200

Washington, D.C. 20001

Telephone: (202) 343-3200 FAX: (202) 566-5000

E-Mail: [email protected]

E. Proposal Submission

Proposals must be submitted no later than 12:00 pm EST, Monday, May 8, 2017 to

[email protected].

Activity Scheduled Date Release of RFP April 10, 2017

Deadline for Questions April 17, 2017

DCRB Response to Offerors’ Questions April 21, 2017

Proposal Due Date May 8, 2017



Page 14 of 33

Proposals, modifications to proposal, or requests for withdrawals after the exact local time

above, are “late” and shall not receive further consideration.

F. Withdrawl or Modification of Proposals

An offeror may modify or withdraw its proposal upon written, telegraphic notice, or facsimile

transmission if received at the location designated in the solicitation for submission of proposals,

but not later than the closing date and time for receipt of proposals.

G. Method of Submission

Offerors must submit one (1) original of their Proposal. Proposals shall be typewritten in 12 point

font size and formatted to be printed on 8.5” by 11” bond paper. In addition, proposals shall be

submitted via email to [email protected] . Telephonic, telegraphic, and facsimile

proposals will not be accepted. The following information must appear on the title page of each

Proposal:

RFP Title: Request for Proposal for the Annual Renewal of IBM Subscription

Software and Support Services

Solicitation Number: DCRB-17-038

Offer Date: ____________________________

Offeror Name: _____________________________

Contact Person: _____________________________

Offeror Address: _____________________________

Offeror Telephone: _____________________________

ATTENTION: Yolanda Smith

H. Proposal Contents

Offerors are required to organize their Proposals into specific sections as follows and include a

Table of Contents. Each page of the Proposal must be numbered (with the possible exception of

pre-printed material included in attachments), and each of the section headings listed below are

to appear in the Proposal’s Table of Contents.

Technical proposals shall be no more than ten (10) pages in length, excluding a cover page, an

introductory page, an index page, résumés for all personnel identified as available to work on the


Page 15 of 33

contract (if applicable), and the offeror’s certifications. Pages exceeding this limit shall not be

considered or evaluated.

H.1. Cover Letter

The Proposal must include a cover letter signed by an individual legally authorized to bind the

applicant to both its proposal and its cost schedule. The letter is not intended to be a summary of

the proposal. It must contain the following statements and information:

o “Proposal may be released in total as public information in accordance with the

requirements of the laws covering same.”

o “Proposal and cost schedule for all labor shall be valid and binding for one hundred

and twenty (120) business days following the proposal due date and will become part

of the service contract that may be negotiated with DCRB.”

o Company name, address, and telephone number of the firm submitting the proposal.

o Name, title, address, and telephone number of the person(s) to contact who are

authorized to represent the firm and to whom correspondence should be directed.

o Offeror’s Federal and State Taxpayer Identification Numbers.

o Declaration of whether Offeror is claiming District of Columbia LSDBE or Federal

8(a) status. Documentation must be included. Expired certificates shall not be

considered.

o “We have received the following Amendments on the dates below:” (If none, state

“None”.)

o “We affirm that, to the best of our knowledge and belief, we have not employed or

retained any company or person, other than a bona fide employee working solely for

it, to solicit or secure this award, and that we have not paid or agreed to pay any

company or person, other than a bona fide employee working solely for us, any price,

commission, percentage, gift, or any other compensation contingent upon or resulting

from this award."

o “We have read, understand and will comply with all provisions of the RFP with no

exceptions (or “except for the areas noted below”). If there are areas where you have

an exception or unanswered question, those areas should be noted by paragraph

number and the exception written in a clear manner.”

o Offeror’s proposal must be signed by a duly authorized person, partner or officer of

the offeror, as applicable, and evidence of such authorization must be included with

the Proposal. The offeror’s legal name and form of entity must be fully stated.

H.2. Statement of Understanding

In this section, the Offeror must summarize how it is uniquely qualified to meet the requirements

of this RFP.

H.3. Corporate Background and Financials

In this section, the Offeror must provide basic information about its organization to include the

following:

Page 16 of 33

Number of years in business.

Nature of business, including description of primary and secondary lines of

business (if applicable).

Ownership (public or private).

Headquarters location and state of incorporation.

Location from which this project will be completed and managed.

Number and nature of subsidiaries, operating divisions, etc.

Number of full time employees, contract employees, total employees.

Identification of any lawsuits that the Offeror is a party to or has been a party to in

the past five (5) years, even if such suits were settled out of court or by arbitration.

Provide information entailing suspension(s) or debarment(s), if any, from

performing DCRB audits or from any other DCRB activities.

Identification of any contract termination and the reason for such termination in the

past five (5) years.

Disclosure of any known affiliation with members of the DCRB Board of Trustees or

with DCRB staff.

Provide proof of insurance and describe the insurance coverage arrangements

including the amount of coverage.

H.4. Assumptions, Limitations, and Constraints

In this section, the Offeror must identify all assumptions that the Offeror made in preparing its

Proposal, as well as any pertinent limitations or constraints, including any contractual

exculpatory provisions and limitations on liabilities required by the Offeror. This section must

contain a list of all assumptions, with a cross reference as to where in the body of the Proposal

the assumption is described.

H.5. Account Representative

The Offeror will provide a representative who shall be a single point of contact for all activities

with respect to the resulting contract. Please provide a narrative with the following information:

Employee name and title

Date of hire (month and year)

The capacity that the person will serve DCRB.

Page 17 of 33

I. Questions and RFP Amendments

All Offeror questions must be submitted in writing via e-mail to Yolanda Smith. All questions must

include the name of the firm and the name of the submitter. Responses to all questions received in

proper time frames will be made in writing and distributed to all Offerors participating in this RFP.

Questions will not be accepted via telephone. No oral communication provided by any DCRB staff

will be considered binding on DCRB.

Any interpretation, correction or change to this RFP will be made by an amendment issued by

DCRB. Interpretations, corrections or changes to the RFP made in any other manner will not be

binding.

No amendments will be issued by DCRB within 48 hours of the final submission date and time

without a corresponding extension of the submission deadline.

Page 18 of 33

ARTICLE IV. EVALUATION PROCESS

A. Evaluation of Responses

Proposals must be as succinct as possible while providing an accurate picture of the offeror’s

ability to meet the needs of DCRB in a thorough, accurate, responsive and cost-effective manner.

DCRB will evaluate all proposals to determine the offeror who DCRB believes will best serve

the interest of the participants and beneficiaries.

Criteria

Price

B. Technical Rating System

Each evaluation criteria will be rated using the Adjectival scoring method as follows:

Adjective Description

Unacceptable Fails to meet minimum

requirements; e.g., no

demonstrated capacity, major

deficiencies which are not

correctable; offeror did not

address the evaluation criteria.

Marginal Fails to meet evaluation standard;

however any significant

deficiencies are correctable.

Lacks essential information to

support a proposal.

Acceptable Meets requirements; weaknesses

are correctable.

Exceeds Exceeds most, if not all

requirements; no deficiencies.

Definitions for Technical Evaluation

Clarifications: Communications with an Offeror for the sole purpose of eliminating minor

irregularities, or apparent clerical mistakes in the proposal. Unlike discussions, clarifications do

not give the Offeror an opportunity to revise or modify its proposal, except to the extent that

correction of an apparent clerical mistake results in revisions.

Page 19 of 33

Discussions: Oral or written communications including negotiations between DCRB and the

Offeror (other than clarifications) that; involves information essential for determining the

acceptability of the proposal or to cure identified defects in the proposal.

Deficiencies: Defect in the proposal which preclude acceptance. Involves any part of the

Offeror’s proposal which would not satisfy DCRB’s minimum requirements established in the

solicitation. Includes failures to meet specifications, submit information or questionable technical

or management approaches. Items disclosed during discussions, are evaluated in two categories:

material-basis for rejection because further discussions would be meaningless; curable – may be

corrected by clarifications or discussions and brought into the competitive range.

Weakness: Includes ambiguities, lack of complete descriptions, error in interpretation, omission

of essential information, inadequate information, all of which are considered curable in

discussions. An excessive number of clarifications may in itself constitute a weakness,

Strengths: Elements of the proposal that meet or exceed the minimum requirements of the

solicitation and provide an identified benefit to DCRB.

DCRB may select up to three (3) Offeror finalists. The Offeror that is selected for award after

meeting with the Board and/or sub-committee as a finalist shall then be invited to negotiate a

final contract with DCRB. DCRB reserves the right to terminate negotiations with any Offeror if

final contract terms cannot be reached, and to award the contract to the offeror(s) with the next

highest evaluation percentage. The Board reserves the right to award a contract based solely

on the proposals.

Page 20 of 33

APPENDIX A: DCRB GENERAL TERMS AND CONDITIONS

A. Reservations

DCRB reserves the right to reject any and all offers.

DCRB is not liable for any expense incurred in the preparation, delivery or presentation of

proposals, quotes, and materials in response to any solicitation, requirement, or request for

information.

If, prior to execution of any contract, subsequent information or circumstances indicate that such

contract is not in the best interest of DCRB, DCRB reserves the right to rescind the offer and

either award the contract to another Contractor or reject all offers.

B. Confidentiality

Confidential Information is any and all information which is proprietary, confidential, secret or

otherwise, not generally known to the public, including personal and identifying information

concerning participants in the Retirement Funds. Confidential Information shall not include

information which, as established by credible evidence: (a) is or becomes public knowledge

without any action by, or involvement of, the party receiving the Confidential Information

hereunder: (b) is independently developed by the receiving party without the use of the other

party’s Confidential Information: (c) is already known to the receiving party at the time of

disclosure under this Contract without restriction of confidentiality: (d) is disclosed to the

receiving party by a third party who is entitled to disclose it without restriction of confidentiality:

or (e) the disclosing party subsequently approves for disclosure without restrictions.

Each party, on behalf of itself and its employees and agents, agrees that it and its employees and

agents: (a) shall not use any Confidential Information of the other party for any purpose other

than to perform its obligations under this Contract; and (b) shall keep and maintain all

Confidential Information as strictly confidential and shall not directly or indirectly transfer or

otherwise disclose any such Confidential Information to any third party other than those of its

employees with a need to have access thereto. Each party shall cause those of its employees and

agents receiving Confidential Information of the other party to observe the terms of this

Paragraph. Each party shall be responsible for any breach of this Paragraph by any of its

employees or agents.

A party shall not be liable for the disclosure of any Confidential Information if the disclosure is:

(a) required by law, regulation or legal process and uses reasonable efforts to obtain assurances

that, if possible, confidential treatment will be accorded such Confidential Information or (b)

inadvertent despite the exercise of the same degree of care as that party takes to preserve and

safeguard its own Confidential Information, provided that upon discovery thereof that party takes

Page 21 of 33

all reasonable steps to retrieve the inadvertently disclosed Confidential Information and that such

inadvertent disclosure will not relieve that party from its continued adherence to the terms and

conditions of this Paragraph.

The Contractor will be required to execute and submit Confidentiality Contracts before service

contract award. All person(s) assigned to the project in any capacity will be required to sign

statements of confidentiality in order to participate in the project. The Contractor must certify

that criminal background checks have been conducted on all person(s) participating in the

project.

C. Indemnification

Contractor hereby agrees to hold harmless DCRB, its members, officers, employees, agents and

representatives and the District of Columbia DCRB, and to indemnify and exonerate same

against and in respect of any and all claims, demands, damages, actions, costs, charges, losses,

liabilities, and deficiencies, including legal fees and expenses, resulting from, arising out of, or in

any way related to (a) any untrue warranty or representation or material omission of Contractor

in this Contract; and/or (b) any liens, claims, encumbrances, or infringement of any patent,

trademark, copyrights, or other proprietary or intellectual property right; and/or (c) Contractor's

willful misfeasance, bad faith, negligence or reckless disregard of its obligations in providing

services under the terms of the Contract.

D. Sole Property

All deliverables, reports, and documents produced in the performance of this Contract shall be

the sole property of DCRB. The Contractor shall make no distribution of work specifically

produced for DCRB under this Contract to others without the express written consent of the

agency. The Contractor agrees not to assert any rights at common law or in equity or establish

any claim to statutory copyright in such reports.

E. Contractual Requirements

Contractors are each responsible for complying with all statutory provisions applicable to doing

business in the District of Columbia and with DCRB; however, such compliance does not limit

DCRB to any rights or remedies available to DCRB under other general, state or local laws.

F. Complete Contract

This Contract including all amendments, the Contractor’s technical and price proposals

(including proposal revisions), represents the entire and integrated Contract between DCRB and

the Contractor and supersedes all prior negotiations, proposals, communications, understandings,

representations, or Contracts, either written or oral, express or implied. All amendments or

modifications of this Contract shall be in writing and executed by DCRB and the Contractor.

Page 22 of 33

G. Prohibition Against Contingent Fees

Contractor warrants that it has not employed or retained any company or person, other than a

bona fide employee working solely for it, to solicit or secure this Contract, and that it has not

paid or agreed to pay any company or person, other than a bona fide employee working solely

for it, any fee, commission, percentage, gift, or any other compensation contingent upon or

resulting from the award or making of this Contract; except where: (a) Contractor has disclosed,

in writing to the Board, that it has engaged such a company or person other than a bona fide

employee to secure this engagement, and (b) the cost of such engagement is not charged to

DCRB under the terms of compensation under this or any other current or subsequent Contract.

For breach or violation of this warranty, DCRB shall, at its discretion, void this contract without

liability, entitling DCRB to recover all monies paid hereunder and Contractor shall not make a

claim for, or be entitled to recover, any sum or sums due under this Contract. This remedy, if

affected, shall not constitute the sole remedy of DCRB for the falsity or breach, nor shall it

constitute a waiver of the Board’s right(s) to claim damages or refuse payment or take any other

action provided for by law pursuant to this Contract.

H. Assignment

Neither party will, directly or indirectly, assign or transfer any claim arising out of this Contract

without the prior written consent of the other party whose consent shall not be unreasonably

withheld or delayed. The Contractor may assign to a bank, trust company, or other financing

institution funds due or to become due as a result of the performance of this contract.

Any assignment shall cover all unpaid amounts payable under this contract, and shall not be

made to more than one party.

Notwithstanding an assignment of contract payments, the Contractor, not the assignee, is

required to prepare invoices. Where such an assignment has been made, the original copy of the

invoice must refer to the assignment and must show that payment of the invoice is to be made

directly to the assignee as follows:

“Pursuant to the instrument of assignment dated ___________, make payment of this

invoice to (name and address of assignee).”

I. Severability

1. If any court of competent authority finds that any provision of these Conditions is invalid,

illegal or unenforceable, that provision shall, to the extent required, be deemed to be deleted, and

the validity and enforceability of the other provisions of these Conditions shall not be affected.

2. If any invalid, illegal or unenforceable provision of these Conditions would be valid, legal and

enforceable if some part of it were modified or amended, the Parties shall negotiate in good faith

Page 23 of 33

to amend such provision such that, as amended, it is valid, legal and enforceable, and, to the

greatest extent possible, achieves the Parties’ original intention.

J. Notices

Any notice or consent required to be given in accordance with this Contract shall be in writing

and shall be either (i) delivered by hand to the other party; (ii) mailed, with first class postage

prepaid, to the address of the other party, by certified mail, return receipt requested, or (iii) sent

electronically with a receipt detailing the transmitted message. Notices and requests for consent

shall be addressed to the Chief Contracting Officer. DCRB’s Executive is the Chief Contracting

Officer for this Contract.

K. Maintenance of Books and Records

The Contractor shall maintain all books and records related to this Contract for a period of at

least six (6) years from the date of final payment under this Contract and shall be made available

for inspection upon reasonable request by DCRB.

L. Termination for Cause or Convenience

The contract may be terminated by DCRB in whole or in part for cause at any time.

If DCRB proposes terminating the contract for cause, DCRB shall first give ten (10) days prior

written notice to the Contractor stating the reason for termination, and providing the Contractor

an opportunity to cure the issues leading to termination. Contractor must submit a corrective

action plan which outlines the methodology and timeline of each corrective action. The

corrective action plan shall be provided to the COR or his designee within ten (10) calendar days

of receipt of the notice to cure. Failure to submit a corrective action plan in response to the notice

to cure shall result in DCRB terminating the contract for cause.

Contractor shall not be entitled to receive payment for labor or expenses incurred prior to

termination unless accepted by DCRB.

The contract may be terminated in whole or in part by DCRB for convenience at any time by

giving the Contractor written notice. In such event:

A. Contractor shall immediately cease performing the terminated work unless directed

otherwise.

B. Contractor shall be reimbursed for agreed upon fees and expenses incurred in

preparing to perform the terminated work.

C. Contractor shall not be compensated for anticipated future profit for the terminated

work.

Page 24 of 33

M. Warranty

The Contractor warrants that the goods or services will be delivered or performed with

reasonable care in a diligent, professional and competent manner. The Contractor’s sole

obligation will be to correct any non-conformance with this warranty. Contractor warrants that it

is acting on its own behalf and not for the benefit of any other person.

The Contractor does not warrant and is not responsible for any third party products or services.

DCRB’s sole and exclusive rights and remedies with respect to any third-party products or

services are against the third-party Contractor and not against the Contractor.

N. Successor Contract

In the event DCRB awards a successor Contract to another entity covering the same matters as

those assigned to Contractor under this Contract, then Contractor shall cooperate with DCRB to

effect an orderly transition to the successor entity.

O. Taxes

DCRB is exempt from and will not pay Federal Excise Tax, Transportation Tax, and the District

of Columbia Sales and Use Taxes.

Tax exemption certificates are no longer issued by the District of Columbia for Federal Excise

Tax. The following statement may be used by the supplier when claiming tax deductions for

Federal Excise Tax exempt items sold to DCRB.

DCRB is Exempt from Federal Excise Tax- Registration No. 52-73-0206-K, Internal

Revenue Service, Baltimore, Maryland.

DCRB is Exempt from Sales and Use Tax – Registration No. 53-6001131, The District of

Columbia Office of Tax and Revenue.

P. Payment and Invoicing

DCRB will make payments to the Contractor, upon the submission of proper invoices, at the

prices stipulated in this contract, for supplies delivered and accepted or services performed and

accepted, less any discounts, allowances or adjustments provided for in this contract. DCRB will

pay the Contractor on or before the 30th

day after receiving a proper invoice from the Contractor.

The Contractor shall submit proper invoices on a monthly basis or as otherwise specified in the

Contract. Invoices shall be prepared in duplicate and submitted to the agency Finance

Department with concurrent copies to the Contracting Officer Representative. The address of the

Finance Department is:


Attn: Finance Department

Page 25 of 33

900 7th Street, NW, 2nd Floor


(202) 343-3200

[email protected]

To constitute a proper invoice, the Contractor shall submit the following information on the

invoice:

A. Contractor’s name, federal tax ID and invoice date (date invoices as of the date of

mailing or transmittal);

B. Contract number, invoice number, and purchase order number (if applicable);

C. Description, price, quantity and the date(s) that the supplies or services were delivered or

performed;

D. Other supporting documentation or information, as required by the Chief Contracting

Officer;

E. Name, title, telephone number and complete mailing address of the responsible official to

whom payment is to be sent;

F. Name, title, phone number of person preparing the invoice;

G. Name, title, phone number and mailing address of person (if different from the person

identified) to be notified in the event of a defective invoice; and

H. Authorized signature.

Q. Dispute Resolution

A. The parties waive the right to trial by jury in any judicial action, proceeding or

counterclaim arising from this Contract that is not resolved by mutual agreement.

B. Any legal proceedings involving this contract shall be filed with a District of Columbia

court with subject matter jurisdiction, and District of Columbia law shall apply, excluding

its choice of law provisions.

C. Pending a final settlement of or a final decision from a court on an action or appeal of, a

dispute or a claim asserted by the Contractor against DCRB, the Contractor shall proceed

diligently with performance of the Contract in accordance with its terms and conditions.

R. Inspection of Goods and Services

DCRB has the right to inspect and test all goods or services called for by the contract, to the

extent practicable at all times and places during the term of the contract. DCRB will perform

inspections and tests in a manner that will not unduly delay the work. Inspections and tests by

DCRB do not relieve the Contractor of responsibility for defects or other failures to meet

contract requirements discovered before acceptance. Acceptance shall be conclusive, except for

latent defects, fraud, gross mistakes amounting to fraud, or as otherwise provided in the contract.


Page 26 of 33

DCRB will accept or reject goods or services as promptly as practicable after delivery, unless

otherwise provided in the contract. DCRB’s failure to inspect and accept or reject the supplies

shall not relieve the Contractor from responsibility, nor impose liability upon DCRB, for non-

conforming goods or services.

S. Governing Laws

This Contract shall be governed by and construed in accordance with the laws of the United

States and the District of Columbia.

T. Freedom of Information Act

Contractor understands and acknowledges that DCRB is subject to the District of Columbia

Freedom of Information Act (“Act”) and consents to the disclosure of its proposal, this Contract,

and any information, recommendations, or advice received by DCRB from Contractor under this

Contract, or such information, recommendations, or advice is subject to disclosure under the Act.

DCRB shall use reasonable efforts to give notice of any demand for disclosure to Contractor as

soon as reasonably practicable after demand for disclosure is made upon DCRB.

U. Insurance Requirements

The Contractor selected for contract award shall procure and maintain, during the entire period

of performance under this contract, the types of insurance specified below. The Contractor shall

have its insurance broker or insurance company submit a Certificate of Insurance to DCRB

giving evidence of the required coverage prior to commencing performance under this contract.

In no event shall any work be performed until the required Certificates of Insurance signed by an

authorized representative of the insurer(s) have been provided to, and accepted by, DCRB. All

insurance shall be written with financially responsible companies authorized to do business in

the District of Columbia or in the jurisdiction where the work is to be performed and have an

A.M. Best Company rating of A-VIII or higher. The Contractor shall ensure that all policies

provide that DCRB shall be given thirty (30) days prior written notice in the event the stated

limit in the declarations page of the policy is reduced via endorsement or the policy is canceled

prior to the expiration date shown on the certificate. The Contractor shall provide DCRB with ten

(10) days prior written notice in the event of non-payment of premium.

a. Commercial General Liability Insurance. The Contractor shall provide evidence

satisfactory to DCRB with respect to the services performed that it carries

$1,000,000 per occurrence limits; $2,000,000 aggregate; Bodily Injury and

Property Damage including, but not limited to: premises-operations; broad form

property damage; Products and Completed Operations; Personal and Advertising

Injury; contractual liability and independent Contractors. The policy coverage

shall include DCRB as an additional insured, shall be primary and non-

contributory with any other insurance maintained by DCRB, and shall contain a

Page 27 of 33

waiver of subrogation. The Contractor shall maintain Completed Operations

coverage for five (5) years following final acceptance of the work performed

under this contract.

b. Employer’s Liability Insurance. The Contractor shall provide employer’s liability

insurance as follows: $500,000 per accident for injury; $500,000 per employee

for disease; and $500,000 for policy disease limit.

Worker’s Compensation Insurance: The Contractor shall carry all required

insurance until all contract work is accepted by DCRB, and shall carry the

required insurances for five (5) years following final acceptance of the work

performed under an awarded contract.

These are the required minimum insurance requirements established by the District of Columbia.

HOWEVER, THE REQUIRED MINIMUM INSURANCE REQUIREMENTS PROVIDED

ABOVE WILL NOT IN ANY WAY LIMIT THE CONTRACTOR’S LIABILITY.

The Contractor are solely responsible for any loss or damage to their personal property,

including but not limited to tools and equipment, rented machinery, or owned and leased

equipment. A waiver of subrogation shall apply in favor of DCRB.

DCRB shall not make any separate measure or payment for the cost of insurance and bonds. The

Contractor shall include all of the costs of insurance and bonds in the contract price.

The Contractor shall immediately provide DCRB with written notice in the event that its

insurance coverage has or will be substantially changed, canceled or not renewed, and provide an

updated certificate of insurance to the CO.

The Contractor shall submit certificates of insurance giving evidence of the required coverage as

specified in this section prior to commencing work. Evidence of insurance shall be submitted to:


Attn: Procurement Office

900 7th Street, NW, 2nd Floor


(202) 343-3200

[email protected]

The Contractor agrees that DCRB may disclose the name and contact information of its insurers

to any third party which presents a claim against the District for any damages or claims resulting

from or arising out of work performed by the Contractor, its agents, employees, servants or sub

Contractors in the performance of this contract.


Page 28 of 33

V. Force Majeure

Neither party shall be liable to the other for any loss, injury, delay, damages or other casualties

suffered due to strikes, riots, fires, acts or omissions or the failure to cooperate by any third

party, force majeure, acts of DCRB, or any cause whether similar or dissimilar to the foregoing,

beyond the reasonable control of such party.

W. Modification of Contract

Any modification of this Contract or additional obligation assumed by either party in connection

with this Contract shall be binding only if in writing and signed by the Contractor and DCRB

Contracting Officer. Administrative aspects of the Contract can be modified unilaterally by

DCRB and is enforceable upon submission to the Contractor.

X. Waiver

The waiver of any breach of the contract will not constitute a waiver of any subsequent breach

thereof, or a waiver of the contract.

Y. Quality

Contractor's workmanship shall be of the highest grade, and all materials provided under this

Contract shall be new, of the best quality and grade, and suitable in every respect for the purpose

intended.

Z. Appropriation of Funds

DCRB is subject to the annual appropriations process of the District of Columbia DCRB that

culminates in an appropriation act passed by the U.S. Congress and signed by the President of

the United States. Funds for the base period and additional option period(s) are subject to the

availability of funds. DCRB's liability under this contract is contingent upon and subject to the

availability of appropriated funds. The legal liability on the part of DCRB for the payment of

any money shall not arise unless and until such appropriations shall have been provided.

Page 29 of 33

APPENDIX B Board Lock-Out Rule

This rule is intended to protect the integrity of DCRB's search and selection procedures for the

retention of outside service providers. The Lock-Out Rule requires Board members, senior staff

and all DCRB employees involved in the procurement process to refrain from intentional,

unauthorized contact with such service providers during the search and selection period to avoid

the appearance of a conflict in the decision making process.

Authorized contact includes communication for:

(a) ordinary and necessary business purposes, and

(b) matters of public record.

The Lock-Out Rule shall be in effect from the time Offerors proposals are received by DCRB

and stays in effect until notified of its termination.

All work shall be performed in accordance with the DCRB's conflict of interest guidelines,

which are set forth at Appendix B, and shall not retain the services of a former Board or staff

member to perform services that would conflict with the post-employment provisions of 18

U.S.C. § 207 and the conflict of interest provisions at D.C.M.R., Title 7, § 1602-1604 and

D.C.M.R, Title 5 §§ 1811.

Offerors who initiate contact with Board Trustees or staff, other than as provided in this

solicitation, may be disqualified from this procurement.

Page 30 of 33

APPENDIX C

Procurement and Conflict of Interest Rules

CHAPTER 2

Ethics

2.1 Policy

2.2 General Standards of Ethical Conduct

2.2.1 Employees

2.2.2 Non-Employees

2.3 Sanctions

2.3.1 Employees

2.3.2 Non-Employees

2.4 Conflict of Interest

2.4.1 Employees

2.5 Personal Gain

2.5.1 Employees

2.6 Restrictions on Employment of Present and Former Employees

2.6.1 Employees

2.6.2 Offeror, Contractor, or Subcontractor

2.1 Policy

Employees involved in the procurement process must conduct business impartially and in a

manner above reproach, with preferential treatment for none. Employees must strictly avoid any

conflict of interest or the appearance of a conflict of interest in the procurement process.

2.2 General Standards of Ethical Conduct

2.2.1 Employees

Any attempt to realize personal gain through employment with the Board or by conduct

Page 31 of 33

inconsistent with proper discharge of the employee’s duties is a breach of ethical standards.

2.2.2 Non-Employees

Any attempt to influence any Board employee to breach the standards of ethical conduct set forth

in this Chapter or in §§1602- 1604 of the Board’s Procurement Regulations is a breach of ethical

standards.

2.3 Sanctions

2.3.1 Employees

Disciplinary action may be taken against employees who violate any provision of §§1602- 1604

of the Board’s Procurement Regulations or this Chapter. Any employee who violates any

provision of §§1602- 1604 of the Board’s Procurement regulations or this Chapter will be subject

to discipline up to and including termination of the relationship with the Board.

2.3.2 Non-Employees

Any effort made by or on behalf of a non-employee, including an offeror or contractor, to

influence an employee to breach the ethical standards set forth in §§1602- 1604 of the Board’s

Procurement Regulations or in this Chapter is prohibited and may be referred to appropriate

authorities for civil enforcement or criminal prosecution. A violation by a contractor or

subcontractor of §§1602- 1604 of the Board’s Procurement Regulations or this Chapter

constitutes a major breach of each Board contract or subcontract to which the violator is a party.

In addition, an offeror or contractor that violates or whose representative violates any provision

of §§1602- 1604 of the Board’s Procurement Regulations or this Chapter may be determined to

be non-responsible in future solicitations.

2.4 Conflict of Interest

2.4.1 Employees and Trustees

No employee or Trustee shall participate in or attempt to influence any procurement when the

employee or Trustee knows or has reason to know:

The employee or Trustee or any relative of the employee or Trustee has a financial

interest pertaining to the procurement;

The employee or Trustee or any relative of the employee or Trustee has a financial

interest in a business or organization pertaining to the procurement; or

The employee or Trustee or any relative of the employee or Trustee has an agreement or

Page 32 of 33

arrangement for prospective employment with a business or organization involved with

the procurement.

2.5 Personal Gain

2.5.1 Employees

It is a breach of ethical standards for any employee to receive or attempt to realize personal gain

or advantage, either directly or indirectly, as a result of their participation in any action related to

any procurement. No employee may solicit or accept, directly or indirectly, on his or her own

behalf or on behalf of a relative, any benefit, such as a gift, gratuity, favor, compensation, or

offer of employment from any person or entity having or seeking to have a contractual, business,

or financial relationship with the Board.

In the event an employee is offered or receives any benefit, the employee shall report the matter

to DCRB’s ethics officer who shall determine the disposition of the benefit. The failure to report

such offer or benefit to the ethics officer is a breach of these ethical standards.

2.6 Restrictions on Employment of Present and Former Employees

2.6.1 Employees

An employee who participates in the selection of a contractor, participates in the approval

process of a contract or contract modification, or supervises contract implementation shall not be

employed by the contractor in question with respect to the performance of the contract in which

the employee participated.

2.6.2 Offeror, Contractor, Subcontractor

An offeror, contractor, subcontractor shall not:

1. Employ for a period of 24 months after separation a Board employee to work on a Board

project on which the employee directly worked. The Executive Director may change this

limitation period if it is determined that it is in the Board’s best interests after review and

recommendation by the General Counsel.

2. At any time after granting employment to any Board employee who participated in the

selection of the contractor, participated in the approval of a contract or contract

modification with the contractor, or supervised the contract implementation, allow such

employee to work under the Board’s contract resulting from the selection or approval.

3. Offer to perform work for the Board premised on the hiring of a Board employee to

Page 33 of 33

perform part of the work that may reasonably be expected to participate in the selection

of that contractor, participate in the approval of a contract or contract modification with

that contractor, or supervise contract implementation.

4. Perform work for the Board under the supervision, direction, or review of a Board

employee who was formerly employed by the contractor without notifying the

contracting officer in writing.

5. Allow the relative of a Board employee or Trustee to work on a contract for which the

employee has any direct responsibility or supervision.

6. Permit any person whose employment the Board terminated, except pursuant to a

reduction in force by the Board, other than pursuant to a reduction in force, to work on

any Board contract or project.

7. Offer or grant a Board employee relative of Board employee, directly or indirectly, any

benefit such as a gift, gratuity, favor, compensation, offer of employment, or any other

thing having more than nominal monetary value or any other thing of value.