Responses Guidelines: Clarity and Conciseness: Keep your responses clear and concise.Yes/No Questions: For questions marked with a (Yes/No) response, provide an explanation only if requested. If no explanation is requested, simply answer Yes or No.Explanations: When an explanation is requested, be succinct and focus on the primary and most important aspects related to the specific question/request.Tables: If a question includes a table, you may create your own table that replicates the one in the RFP document. Ensure it does not take up more space than the sample table.Multiple Questions: For items that request responses to multiple questions, use separate spacing or bullet points for each response.Assumptions: Assume all assets and participant accounts will be serviced by one firm. Remember the liquidity restriction mentioned in the Early Withdrawal or Termination Provisions section. Questions: Provide single contact for all matters related to this RFP.Name:Title:Firm:Address:Phone number:E-mail:Complete the following for the primary local service representative that would work directly with participants.Representative’s Name:Years at Firm:Years in industry:Location (city, state):Total number of client accounts serviced:Total assets serviced:Total number of participants serviced:University degree(s) (BA/BS/MBA, etc. and school(s)):Professional credential(s):FINRA/Insurance license(s):Typical work schedule (days and hours):Anticipated turnaround time for returning emails and/or phone calls: Complete the table for any person who would work directly with the Committee, such as a relationship manager.Representative’s Name:Years at Firm:Years in industry:Location (city, state):Total number of client accounts serviced:Total assets serviced:Total number of participants serviced:University degree(s) (BA/BS/MBA, etc. and school(s)):Professional credential(s):FINRA/Insurance license(s):Typical work schedule (days and hours):Anticipated turnaround time for returning emails and/or phone calls:What is your recordkeeping fee assuming an open architecture investment menu (no use of proposed proprietary products)? Please provide 3-, 5-, and 10-year asset-based pricing under this scenario.What is your recordkeeping fee assuming the use of proposed proprietary products (funds and/or services)? Please provide 3-, 5-, and 10-year asset-based pricing under this scenario.List out those required proprietary products (funds and/or services) for enhanced pricing above.Please provide the current or initial crediting rate and the length of time that rate is guaranteed for the Stable Value/Fixed option.What are the additional rate guarantees for subsequent contract years?Provide the floor rate as applicable.Are there any surrender charges, contingent deferred sales charges, market value adjustments and/or other charges associated with a contract termination and subsequent transfer of plan assets to another provider?If yes, please provide a description of the contract provision as well as how such charges are calculated.Are there any liquidity restrictions on the Plan or any particular investment option, such as a 12-month put or other timed withdrawal provision, if the Committee were to terminate its relationship and transfer assets to another provider?Are there any liquidity restrictions at the participant level on the required proprietary investment option for enhanced pricing, such as a 90-day wash provision?For this product(s), what is the structure or type of investment (general account, separate account, pooled fund, etc.)?Would the rate on the Fixed Account, General Account, Stable Value, etc. option(s) change as the result of any termination and/or re-bid notice? Please describe.Would any assets in proprietary funds sit on your Firm’s balance sheet?Also describe the procedure required to give notice of termination of any and all required proprietary investment products.The County utilizes onsite education for Plan participants through a local service representative. The Committee would like to continue this service and is very interested in your ideas to optimize the education delivered to their participants. Based on the County’s demographic data and your Firm’s experience, complete the table below regarding your proposed on-site enrollment/education commitment. This response should be based upon the total days that could be committed to under the services contract. If partial service days are considered in the proposal, the partial service days should not be counted as full days, but rather as their proportional equivalent of each day (for example: two half days equal one full day under the contract).Proposed annual number of on-site service days in Year 1:Proposed annual number of on-site service days ongoing (after Year 1): Will you offer participants comprehensive financial planning services? (Yes/No)If yes, will you offer participants comprehensive financial planning services through a Certified Financial Planner? (Yes/No)Is this person(s) an employee of your organization or subsidiary? (Yes/No)Please provide a financial planning fee schedule.Are fees for a financial planning service proposed by your Firm assessed to the entire participant population or only to those who use the service?Describe the fee, if any, for providing investment advice, be it through the on-site representative using an online tool, or through the representative using some other program or approach.Please provide a managed account fee schedule as well as a self-directed brokerage fee schedule.Provide a list of all other participant-related administration expenses. Items such as loan fees and additional withdrawal processing expenses should be included.Participant Administration ServicesCost of Services ($)Loan set-up:Loan maintenance:Age 59.5 withdrawals:Hardship withdrawals:Required minimum distributions:QDRO determination:QDRO processing:Stop payment:Replacement 1099-R:Wire transfer/ETF:Other Disbursements: Provide a list of all plan sponsor-related administrative expenses. This would include special reporting charges, legal fees, administrative processing fees, communications fees, QDRO administration fees, and plan document preparation fees (including any fees to maintain, update, and/or ensure compliance of such document with the Internal Revenue Code).Plan Sponsor Administration ServicesCost of Services ($)Plan reporting:Plan document preparation:Plan document maintenance:Identifying population eligible for required minimum:Lost participant/bad address search:Assistance with audits:Custom communications including customization of:Plan-level fund changes:Participant communication/mailing:Others (list): Identify any other participant or plan sponsor service fees not included above.Briefly describe your data security process. Include a brief description of how access to participant data (current and archived) is controlled and monitored (i.e., who specifically can view participant account data, who can print this data, who can remove this data from your facility either on a laptop, memory stick, CD or as a printed report). Limit your response to 300 words.Briefly describe your data back-up process. Limit your response to 300 words.How many system security breaches has your organization experienced in the last three years? How many were under the current system?How frequently is the security of your data assessed by external parties? State the date of the most recent verification and the party that performed it.Briefly describe how indicative data, including Social Security numbers, is protected against fraud/theft (both internal and external threats), and what security protocols are in use to guard against fraud/theft? Limit your response to 300 words.Describe the process your firm goes through in determining who bears the liability in any data security breach and/or whether your firm will make a participant whole in this instance.Does your system use encryption in storage (Yes/No)? Does your system use encryption in transit (Yes/No)?List performance guarantees, if any, you propose. Disclose the dollars you are willing to put at risk for failing to meet the proposed benchmarks.

As an authorized representative of the Proposer, having carefully examined the Request for Proposals, propose to furnish services in accordance therewith as set forth in the attached proposal.I further agree that this proposal will remain in effect for not less than sixty (60) calendar days from the date that proposals are due, and that this proposal may not be withdrawn or modified during that time.I hereby certify that this proposal is genuine and not a false or collusive proposal, or made in the interests or on behalf of any person not therein named; and I have not directly or indirectly induced or solicited any Contractor or supplier on the above work to put in a false proposal or any person or corporation to refrain from submitting a proposal; and that I have not in any manner sought by collusion to secure to myself an advantage over any other contractor(s) or person(s).In order to induce the County to consider this proposal, the Proposer irrevocably waives any existing rights which it may have, by contract or otherwise, to require another person or corporation to refrain from submitting a proposal to or performing work or providing supplies to Pierce County, and Proposer further promises that it will not in the future directly or indirectly induce or solicit any person or corporation to refrain from submitting a response or proposal to or from performing work or providing supplies to Pierce County.

By submitting a proposal, I agree that all documents, reports, proposals, submittals, working papers, or other materials prepared by the Proposer pursuant to this proposal shall become the sole and exclusive property of the County, and the public domain, and not property of the Proposer. The Proposer shall not copyright, or cause to be copyrighted, any portion of items submitted to the County in response to this procurement.

I confirm I have reviewed the content of the following attachments included under this RFP: Sample Agreement and any other documents as identified as "sample" in the Attachments section and acknowledge I understand and agree to these requirements should my organization receive a contract as a result of this proposal.

By submitting a proposal, I understand and agree that if awarded funding from this RFP, the organization must be able to meet all insurance requirements based on services being purchased, prior to contract execution, and types of insurances may include, but are not limited to:Commercial General Liability Insurance: Required on all contracts. Standard levels are $1M occurrence/$2M aggregate (may be higher/lower, depending on value of contract and type of service).Commercial Automobile Liability Insurance: Required when the Contractor uses owned, rented, or leased automobiles to complete the services as required per the contract. Higher coverages may be required for fleet/large passenger vehicles. Workers Compensation Insurance: As required by Washington State.Professional Liability or Errors and Omissions Insurance: If the Contractor provides services such as analysis, consulting, counseling, daycare, legal, medical, nursing, pastoral, medical, or other services that require professional licensing.Cyber/Privacy and Security Insurance: If the Contractor is doing work that could give the Contractor access to personal or sensitive information from within the County's network or on the Contractor's personal computer, or lead to breaches of security, leading to a loss of privacy or identity theft.Crime/Employee Dishonesty Insurance: If the Contractor is in the custody or control of Pierce County funds such as cash, credit cards, checks or physical property.Other insurance(s) applicable to services being purchased: Such as Excess or Umbrella Liability Insurance if the contract is in excess of $500,000.In addition:Pierce County shall be named as an "Additional Insured" which must be provided in the insurance endorsement; andInsurance requirements also apply to any subcontractors hired by the main Contractor to deliver services, where applicable.Please see "Exhibit D" in the SAMPLE AGREEMENT under attachments to see full insurance requirements. If you have questions regarding insurance requirements, please submit them through the “Question & Answer” section of the RFP.

As an authorized representative of the Proposer, I certify to the best of my knowledge and belief that the organization and its principals:Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any Federal department or agency;Have not within a three-year period preceding this proposal been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State, or local) transaction or contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property;Are not presently indicted for or otherwise criminally or civilly charged by a government entity (Federal, State, or local) with commission of any of the offenses enumerated in paragraph (1)(b) of this certification; andHave not within a three-year period preceding this proposal had one or more public transactions (Federal, State, or local) terminated for cause or default.Does not employ any person nor contracts with any person or agency excluded from participation in federal health care programs under either 42 U.S.C. 1320a-7 (§§1128 or 1128A Social Security Act) or debarred or suspended.By checking the confirmation, I understand that a false statement on this certification may be grounds for rejection of this proposal or termination of any award. In addition, under 18 USC Sec. 1001, a false statement may result in a fine of up to $10,000 or imprisonment for up to 5 years, or both.

Please provide the name and title of the individual authorized to execute a contract on behalf of the organization.

Please provide the legal name, any d/b/a names, years in business, local address, billing address if different, email address, and phone number of the organization making the proposal.

Please provide the Employee Identification Number (EIN).

Must choose at least two (2) answers: Profit status (1 or 2) and organizational structure (3, 4, 5, or 6).

Please provide the name, phone, and email for:Executive Director/CEO/PresidentFinancial Manager/CFOContract Manager

Please provide the organization's UBI number. WARNING: Failure to provide a UBI number will be cause for the application to be disqualified from competition.

An organization must have, at the time of submission, an active UEI number when the funding for the procurement is identified as federal. Please list your UEI as issued by Sam.gov. Funding may or may not create a subrecipient relationship between the organization and the County. WARNING: Failure to provide a valid and active UEI number may result in the disqualification of the application from further consideration.

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