[TABLE]

Part 1 – Conditions of Response

Conditions of Response

Introduction

About the Australian Taxation Office

The Australian Taxation Office is the Australian Government’s principal revenue collection agency. Its role is to manage and shape tax, excise and superannuation systems that fund services for Australians, and its national headquarters are located in Canberra, ACT.

• The ATO Charter outlines the rights and obligations of Australian Taxation Office clients under the law as well as the service and other standards they can expect in dealing with the Australian Taxation Office.

• Employees of the Australian Taxation Office are subject to the Australian Public Service Values and are bound by the APS Code of Conduct contained in Part 3 of the Public Service Act 1999 (Cth). The APS Values and Code of Conduct are available on the Australian Public Service Commission website.

• The Ethical business relationship statement sets out what contractors can expect from the Australian Taxation Office and its employees in their business dealings.

• The ATO Environmental Policy Statement outlines the Australian Taxation Office’s commitment, through integrated environmental management principles, to reduce its environmental footprint.

Further information about the Australian Taxation Office can be found at www.ato.gov.au.

	For information on doing business with the Australian Government, see the Selling to Government (Procurement) page on the Department of Finance website www.finance.gov.au.

What the Australian Taxation Office expects of its contractors

The Australian Taxation Office requires its contractors to act in a manner consistent with:

• the ATO Charter, the APS Values and Code of Conduct, the Ethical business relationship statement, and the ATO Environmental Policy Statement (see paragraph 1), and

• the ATO information security guidelines for contractors, the Work health and safety requirements for contractors and suppliers to the ATO, and Information management for our contractors.

About this Request for Response

This Request for Response (RFI) has 7 parts: Accessibility

• Part 1 – Conditions of Response,

• Part 2 – Statement of Requirements, (SOR)

• Part 3 – Response Form – General

• Part 3a – Response Form – Technical Requirements (Excel Spreadsheet)

• Part 4 – Tender Response Form – Financial,

• Part 4a – Tender Response Form – Financial Pricing (Excel Spreadsheet)

About this Part

This Part 1 – Conditions of Response sets out requirements, instructions, and guidance for preparing and lodging Responses in response to this Request for Information (RFI).

Invitation to Response

Invitation to Response

In this RFI, the ATO means the Commonwealth of Australia, represented by and acting through the Australian Taxation Office (ABN 51 824 753 556).

RFI objectives and expected outcomes

The ATO is seeking responses from the market for potential products and/or solutions for the requirement of a Biometric Liveness Detection Solution that can support the strategic objectives of the myID App. The intent of this RFI is identify the viability of potential solutions, the implementation and integration costs and the potential benefits of implementing this platform.

The insights from this RFI process will be utilised to inform internal decision making regarding this capability. The ATO expects to gain valuable insights and information from the industry to inform a future approach to potentially investing in a product or solution for this requirement.

As a direct result of this RFI, the ATO may proceed with a second stage that includes any of the following options after an analysis of responses to this RFI:

• Shortlist to potential viable solutions,

• Request for Tender (RFT),

• Request for Quote (RFQ),

• Limited (LT),

• Proof of Concept (POC),

• Product demonstration or trial (PD), and

• RFI closure.

To be considered for any potential second stage following this RFI process, Respondents should have provided a response to this RFI.

The ATO will communicate with Respondents once analysis of responses to this RFI is complete. Any Respondents selected to progress to potential further stages of the RFI process will be advised.

The ATO intends to use this RFI and any potential subsequent second stage following this RFI process to ensure the efficient and ethical use of public money by ensuring that the potential Required Supplies:

• Are delivered cost effectively and meet or exceed the quality levels, and the ATO’s requirements, objectives and outcomes, as detailed in the Part 2 – Statement of Requirements,

• Incorporate industry leading practices so that they meet the ATO’s needs in a cost effective and environmentally sustainable manner, and

• Are continuously improved to meet emerging needs and take advantage of industry developments in a cost effective and environmentally sustainable manner.

Group Responses

The ATO may consider a Response from a Responding Group – a group of individual legal entities that lodges the Response collectively (for example a consortium, joint venture or partnership) – but may reject it:

1. If that Response does not provide sufficient information to enable the ATO to clearly identify and properly evaluate the individual legal entities of the Responding Group and their proposed business model.

2. If that Response does not identify a lead member of the Responding Group (that lead member must be authorised to negotiate, act on behalf of, and bind, all members of the Responding Group) and a single point of contact for that lead member.

3. If the composition of the Responding Group changes from that specified in that Response (the ATO may accept a change in composition, and may impose any conditions on it accepting any such change), or;

4. If that Response proposes the ATO contract with any legal entity that does not exist at the time the Response is lodged or proposes that the ATO contract with two or more legal entities who will not be jointly and severally liable (to the extent allowable at law).

Part Responses and Alternative Responses

Whether or not the ATO will consider a Response for only part of the Required Supplies is identified in Part 1 – Conditions of Response – paragraph 5. The ATO may consider a Response that proposes alternatives to some or all of the Required Supplies (but which otherwise complies with this (RFI) but only if that Response:

• Proposes an alternative solution which clearly satisfies the ATO’s requirements, objectives and outcomes as set out in Part 2 – Statement of Requirements.

• Specifies each instance of change, the effect of the change (including effect on the prices and pricing provided), the reasons for the change, and how it may benefit the ATO, and;

• Provides sufficient detail about the alternative solution to enable its proper evaluation by the ATO.

No contract or undertaking

The ATO is not proposing to enter into a contract directly following this RFI. No other binding contract (including a process contract), express or implied, will exist between the ATO and any Respondent.

Neither this RFI, nor any statement or conduct by the ATO, will be or be deemed to be:

• An offer to enter into a contract, or;

• A binding undertaking of any kind by the ATO (including, without limitation, an undertaking that could give rise to any rights based on promissory estoppel, quantum meruit or any other contractual, quasi contractual or restitutionary grounds, or any rights with a similar legal or equitable basis whatsoever).

RFI Process

This RFI published through AusTender

This RFI is published through AusTender, the online tendering system for Australian Government Agencies. AusTender allows respondents to download RFI documentation and upload responses.

• A supplier proposing to lodge a Response in response to this RFI must first register as a user with AusTender at www.tenders.gov.au (access to and use of AusTender is subject to Terms of Use).

• If that supplier has obtained this RFI other than from AusTender, it must visit AusTender, register as a user, and download this RFI.

• If that supplier’s registered user details are or have become incorrect when it downloads this RFI, it should amend its details and download this RFI again.

• If there is any inconsistency between versions of this RFI, the version last published through AusTender will take precedence.

Use of AusTender

Before using AusTender for any matter related to this RFI, a supplier must inform itself of – and make its own assessment of – all security measures and other aspects of the AusTender technical environment (including operating system and browser version level minimum standards) as described on AusTender.

Neither the ATO nor the Commonwealth warrants that unauthorised access to information and data transmitted via the internet will not occur or takes any responsibility for any issues that may arise from a supplier’s infrastructure or internet connectivity or with respect to its use or attempted use of AusTender.

Additional information

Respondents should visit the AusTender page for this RFI to identify whether the ATO has prepared additional information relevant to this RFI (such as an information pack), and if so, the basis upon which the ATO will make that additional information available to respondents.

	If the ATO has prepared e.g. an Information Pack that contains commercially sensitive information, the ATO may require respondents to first sign confidentiality undertakings or the like before providing it to them.

Indicative timetable

The table set out below identifies proposed dates for key milestones for this RFI. This is an indicative timetable only – the ATO may alter and add to this timetable and may undertake other activities.

Industry Briefings

Industry briefings, if conducted, are for the purpose of providing background information only. Respondents should not rely on statements made at industry briefings as varying, supplementing or clarifying this RFI, as the ATO will notify respondents in accordance with Part 1 – Conditions of Response – paragraph 16 if it does so.

Variation or termination of RFI process

The ATO may at any time and at any stage of the RFI process, including during the evaluation process:

• Vary, supplement and clarify this RFI or any aspect or Part of it (including timing, assessment and other processes, Part 2 – Statement of Requirement, and Part 5 – Draft Contract).

• Seek and obtain clarification of, and additional information in relation to, Responses from anyone, and use any such information for the evaluation of Responses.

• Publish or disclose the names of respondents lodging Responses (whether successful or not).

• Seek amended Responses, call for new Responses, and suspend and re-start this RFI process.

• Use material a Respondent provides in response to one evaluation criterion to assess that Respondent against any another evaluation criteria.

• Shortlist Respondents and their Responses, and;

• Terminate this RFI process and not proceed with any potential second stage following this RFI process, if the ATO determines that no Response meets the Conditions for Participation or represents value for money, that no Respondent is fully capable of fulfilling the RFI requirements, or that it is in the public interest to do so.

  Where the ATO has a right under this RFI, the ATO is not obliged – and a Respondent has no right to require the ATO – to exercise that right, take any action, or provide any reasons if it does or doesn’t do so.

Notification of RFI variations and etc.

If the ATO varies, supplements, or clarifies this RFI, or terminates, suspends or restarts this RFI process, reasonable efforts will be made to inform suppliers as follows:

• By the ATO posting notices and other addenda on the AusTender page for this RFI – the ATO will accept no responsibility if a supplier fails to become aware of any notice or other addendum which would have been apparent from a visit to the AusTender page for this RFI.

• By AusTender sending notifications of addenda to the email addresses as identified by suppliers in their registered user details when they downloaded this RFI from AusTender – suppliers are to log in to AusTender and collect addenda as notified.

If the ATO varies or supplements this RFI after a Respondent had submitted a Response, it may seek an amended Response from that Respondent.

Public Interest Certificates

If a Public Interest Certificate (PIC) is or has been issued by the ATO in relation to this procurement, that PIC will be published on the AusTender page for this RFI.

Coordinated Procurement

Respondents should note that, should the ATO progress to any potential second stage following this RFI process, the Commonwealth has proposed to establish coordinated procurement contracting frameworks for use by Commonwealth bodies that are subject to the Public Governance, Performance and Accountability Act 2013 (Cth), such as the ATO. It is possible that the Commonwealth may approve the procurement of some or all of the Required Supplies under a coordinated process:

• Before the ATO completes the RFI process – in which case the ATO may discontinue the process, or remove the relevant Required Supplies from the scope of this RFI process, or;

• After the ATO has completed the RFI process – in which case this may impact the ATO’s approach following the completion of this RFI process.

Cooperative Procurement (piggy-backing)

This RFI process does not intend to award a contract following completion of this RFI process. However, subsequent stages of this process could result in the award of a contract that allows for other Commonwealth Agencies to place orders under that contract. Respondents should note that:

• Any future contract may allow such orders to be placed by Nominated Agencies (other Commonwealth departments and agencies nominated by the Respondent or the ATO for that purpose).

• Except as disclosed in the Part 2 – Statement of Requirements, no other Commonwealth department or agency has advised the ATO of their plans to obtain Required Supplies through such orders, but;

• The volume of Required Supplies to be provided by the Respondent in connection with any potential future arrangement may increase as a consequence of Nominated Agencies placing such orders.

ATO’s Contact Officer

The ATO’s Contact Officer is the person (and his/her relevant addresses are those) identified as such in the table below, or such other person (or addresses) as the ATO otherwise notifies a supplier.

The ATO’s Contact Officer is to be the sole contact point for any queries, requests for any information or complaints in relation to this RFI until this RFI process has concluded.

Complaints

Any complaints Respondents may have concerning this RFI, or the ATO’s management of it, should be directed in writing to the ATO’s Contact Officer. The ATO may have those concerns reviewed by an ATO officer, or refer them to a probity advisor, with a view to them being investigated and resolved.

Information on how to lodge a complaint is available on the ATO’s website.

General enquiries and questions

Respondents should contact the ATO’s Contact Officer:

• By email – if they have questions or requests for clarification in relation to this RFI.

Respondents submit their questions or requests for clarification on the basis that the ATO can provide their questions and requests (without disclosing their source), and the ATO’s responses to them, to other respondents either directly or by posting them on the AusTender page for this RFI (see Part 1 – Conditions of Response – paragraph 15).

Notices

Any notice given by a supplier to the ATO in connection with this RFI must be:

• In writing, marked to the attention of the ATO’s Contact Officer, and

• Sent by email to the ATO Contact Officer’s relevant address.

The ATO must give notices in connection with this RFI to a supplier in writing:

• By posting them on the AusTender page for this RFI, or;

• By hand delivery, post or email to a relevant address the supplier has identified (for example in its registered user details or its Response).

A supplier can identify in its Response information that it does not wish to receive by email, but in any event information that is classified “Protected” or higher will not be exchanged by email.

Suppliers participate in this RFI at their own risk

Participation in any stage of this RFI process, or in relation to any matter concerning this RFI, will be at a participating supplier’s sole risk, cost and expense. The ATO will not be responsible in any circumstance for any costs or expenses incurred by a supplier in preparing or lodging a Response (or an amended or new Response), or in otherwise taking part in or taking any other action related to this RFI process.

The ATO will not be liable (whether in negligence or on the basis of any promissory estoppel, quantum meruit or on any other contractual, quasi contractual or restitutionary grounds whatsoever) to a supplier for any loss, cost, expense, claim or damage as a consequence of:

• The ATO varying, suspending or terminating this RFI, or the ATO exercising (or not exercising) any of its other rights under or in relation to this RFI (whether the supplier is informed or not).

• Any other matter or thing relating or incidental to the supplier’s participation in this RFI process, or;

• The Respondent not being invited to participate in any process following completion of this RFI process.

The laws for the time being in force in the Australian Capital Territory apply to this RFI and RFI process.

Preparing a Response

Conditions for Participation

The Conditions for Participation are set out in Part 3 – RFI Response Form – General. Before preparing a Response, a supplier should first ensure that it (and all relevant subcontractors it proposes to identify in its Response) can meet the Conditions for Participation. The ATO:

• Will not consider a Respondents’ Response unless that Respondent complies (and all its relevant subcontractors comply) with the Conditions for Participation that apply as at the Closing Time.

• Will not further consider a respondent’s Response if that supplier (or any of its relevant subcontractors) ceases to comply with the Conditions for Participation at any subsequent time in the RFI process, and;

	The Conditions of Participation correspond to particular Commonwealth policies that preclude agencies such as the ATO entering into certain procurement contracts with certain organisations.

Form of Response

The RFI Response Forms are provided to assist Respondents in preparing their Responses.

• Respondents may use the RFI Response Forms for the purpose of their Response.

• Respondents should respond to the questions, and supply the information and materials, in the same order and under the same headings as shown in those RFI Response Forms.

• Respondents must respond to the questions, and provide the information and materials requested, in each Item of those RFI Response Forms honestly and completely. If a supplier does not, it will be evaluated as not complying with the relevant question or request.

Respondents must not make false or misleading statements in their Responses. Respondents should note that Division 137.1 of the Criminal Code, a Schedule to the Criminal Code Act 1995 (Cth), makes it an offence to knowingly provide false or misleading information to a Commonwealth entity.

Language and measurement

Unless otherwise specified, all Responses (including annexures) and supporting documentation must:

• Be written in the English language, and;

• Refer only to Australian legal units of measurement.

Response Price and pricing basis

The pricing information provided by a Respondent must:

• Remain unalterable for the RFI Period and not vary according to the mode of payment.

• Be expressed in Australian dollars (except for any component which the Respondent considers involves a foreign currency risk).

• Identify the GST exclusive amount/s, any GST amount/s applicable, and the total amount/s, and;

• Meet the Pricing Basis requirements set out in the Part 4 – RFI Response Form.

Competitive neutrality

Competitive neutrality requires that Government businesses should not enjoy net competitive advantages over their private sector competitors by virtue of public sector ownership. Respondents from the public sector must demonstrate in their Response that the requirements of competitive neutrality have been met, including as to payment of relevant taxes and charges, rates of return, and cost of funds.

Subcontracting

A Respondent must indicate in its Response if it intends any person or body who is not an employee to perform work in relation to the Required Supplies, and if so, must identify the full names of its proposed subcontractors and details of the work proposed to be undertaken by them.

Risk and Insurance

In its Response, a supplier must provide details of its current insurance cover for the purposes of the provision of the Required Supplies under the Contract (if its Response is accepted).

Conflict of interest

A Respondent must identify in its Response whether, to the best of its knowledge after making diligent enquiry, a conflict of interest (concerning itself or any related entity) exists or is likely to arise which does, may or may appear to:

• Impair its ability to provide the potential Required Supplies diligently and independently, or;

• Prejudice the impartial conduct of this RFI process or bring disrepute to or embarrass the ATO.

If such a conflict of interest arises or becomes likely to arise during this RFI process after a Respondent has lodged a Response, the Respondent must immediately notify the ATO of all details of the conflict.

The ATO may exclude a Response if such a conflict of interest is identified (by the Respondent or the ATO) and:

• The Respondent has not disclosed that conflict as above, or fails to take such steps as the ATO reasonably requires to resolve or otherwise deal with that conflict, or;

• The ATO considers that conflict cannot be resolved or otherwise dealt with to its satisfaction.

Collusive and anti-competitive conduct

A Respondent (and its officers, employees, agents and advisers) must not engage in any collusive (other than a Group Response to the extent permitted by this RFI), or any anti-competitive or similar conduct with any other person or body, in relation to the preparation or lodgement of its Response or this RFI process.

A Respondent must fully disclose in its Response:

• Whether its Response has been prepared with any consultation, communication, contract, arrangement, understanding or agreement with any competitor, and if so, the nature and extent of that consultation, communication, contract, arrangement, understanding or agreement, and;

• Whether it or any person associated with its Response (including directors and senior management) are or have been subject to proceedings relating to anti-competitive conduct in Australia or overseas.

The ATO may exclude a Response:

• If the ATO suspects any such collusive or anti-competitive conduct (and may report that suspicion to, and provide all relevant documents, information and assistance to, the appropriate authority).

• If the supplier does not make full disclosure of such matters in its Response, or;

• If the supplier, or any person or body associated with its Response, has ever contravened the anti-competitive provisions of the Competition and Consumer Act 2010 (Cth) or equivalent laws in Australia or overseas.

Improper information or assistance

In preparing a Response, a Respondent must not:

• Rely on any warranty, representation or conduct that is not expressly provided for in this RFI, or;

• Use the improper assistance of the ATO’s employees, former employees, contractors or ex-contractors or information unlawfully obtained or in breach of an obligation of confidentiality.

Improper influence

A supplier must not, and must not attempt to or procure or encourage any other person or body, in connection with its Response or this RFI process, to:

• Improperly influence any Australian Government employee or officer.

• Violate and applicable laws or Commonwealth policies regarding the offering of inducements, or;

• Breach the Lobbying Code of Conduct available at www.ag.gov.au/integrity/publications/lobbying-code-conduct).

Future Matters

Information provided by the ATO to Respondents in this RFI or during this RFI process concerning current, past or expected requirements, volumes, locations, environments or other relevant matters:

• Has not been (and will not be) independently audited or verified.

• May be based on projections from historical information which may not be accurate, and;

• May assume trends, events or other matters that may not be valid, or may not eventuate as and when expected or at all.

The ATO will have no liability to any supplier should any information or material provided in respect to this RFI be out of date, inaccurate or incomplete, or if actual requirements, volumes, locations, environments or other relevant matters vary from those as identified in this RFI or during the RFI process.

Commonwealth Legislation

Respondents must familiarise (and will be taken to have familiarised) themselves with all relevant Commonwealth legislation, including:

• The Privacy Act 1988 (Cth) – which imposes certain requirements on, particularly, Commonwealth contractors and their subcontractors.

• The Freedom of Information Act 1982 (Cth) – which gives members of the public rights of access to certain documents of the Commonwealth.

• The Auditor-General Act 1997 (Cth) – which allows the Auditor-General to conduct a review or examination, at any time, of any aspect of the operations of Australian Government agencies.

• The Ombudsman Act 1976 (Cth) – which authorises the Ombudsman to investigate the administrative actions of Australian Government departments and agencies and to investigate the actions of certain Australian Government contractors, and;

• The Government Procurement (Judicial Review) Act 2018 (Cth) – which provides suppliers the basis to seek the grant of an injunction or the award of compensation in relation to the contravention of relevant Commonwealth Procurement Rules (so far as those this relates to a covered procurement).

Respondents should obtain (and will be taken to have obtained) their own advice on the impact of such legislation on their participation in this RFI process and/or any resultant contract.

Respondents to inform themselves

A supplier is responsible for:

• Examining this RFI, all documents referred to in this RFI, and all other information made available in writing by the ATO to respondents in connection with this RFI process.

• Obtaining and examining all further information which is obtainable by making reasonable enquiries relevant to the risks, contingencies and other circumstances having an effect on its Response, and;

• Satisfying itself as to the correctness and sufficiency of its Response (including its Response Price), the nature and effect of any laws regulating the provision of the Required Supplies, the terms and conditions of Part 5 – Draft Contract, and its ability to comply with those terms and conditions.

Lodging a Response

Lodgement and Closing Time

Responses must be lodged electronically via AusTender by the Closing Time in accordance with this and the lodgement procedures and instructions on AusTender.

• The Closing Time is identified in Part 1 – Conditions of Response – paragraph 5. The ATO may extend the Closing Time by posting an addendum or notice on the AusTender page for this RFI, in which case the new Closing Time will apply to all respondents.

• The time displayed on AusTender is deemed correct and will be the means by which the ATO will determine whether a Response has been lodged by the Closing Time. The ATO’s decision is final.

• If there is any inconsistency between this RFI and the lodgement procedures and instructions on AusTender, this RFI will prevail.

• A Response lodged by a supplier through AusTender will be deemed to be authorised by the supplier.

Uploading Responses to AusTender

Respondents must lodge their Responses from the AusTender page for this RFI, by uploading their Response documents as electronic files to AusTender.

• AusTender allows a supplier to include, in each upload, a maximum of 5 electronic files. The electronic files included in a single upload must not exceed a combined size of 50 megabytes.

• The files included in a single upload should be zipped (compressed) for transmission to AusTender and uploaded from a high level directory on a supplier’s desktop computer, so as not to impede the upload process. Where a supplier lodges its Tender as multiple uploads, it should clearly identify each upload as part of its Response.

• When a given upload by a supplier has completed successfully, AusTender provides an official receipt on screen (the supplier should print and save that as proof of lodgement), and an email confirmation (sent according to the supplier’s registered user details). If the supplier does not receive that receipt, that upload has not completed successfully.

• Where a given upload by a supplier has completed successfully, and AusTender system logs confirm that the transmission of that upload commenced before, but concluded after, the Closing Time, the relevant response documents in that upload will be taken to have been lodged by the Closing Time.

• Where – due to a failure of the AusTender web site – a supplier has problems uploading its documents to AusTender prior to the Closing Time or has not received a lodgement receipt, the supplier should notify the ATO’s Contact Officer immediately. If the ATO advises the supplier in writing of alternative arrangements for the lodgement of those Response documents, and the supplier lodges them strictly in accordance with those alternative arrangements, those Response documents will be taken to have been lodged electronically via AusTender by the Closing Time.

• Responses and Response documents lodged after the Closing Time are late Responses and will not be accepted unless the delay is due solely to mishandling by the ATO.

Respondents must allow sufficient time for their Response lodgement, including time that may be required for any problem analysis and resolution prior to the Closing Time.

Response document files

Respondents must ensure that the electronic files comprising their Response documents comply with the following requirements (otherwise the relevant Response document/s will not be accepted and/or excluded from evaluation):

• Response documents must be in Microsoft Word or Excel format (or if not available to a supplier, another format/s agreed in writing by the ATO’s Contact Officer) and must be capable of being read (and if encrypted, decrypted) by the ATO’s Contact Officer.

• Response documents must be free of viruses, worms, malicious code or other disabling features which may affect AusTender and/or the ATO computing environment. The ATO may also refuse to accept and/or exclude from consideration any Response document it believes to potentially contain any such virus, worm, malicious code or other disabling feature.

• The file name of a Response document (when combined with the filepath) must identify the supplier, must not exceed 100 characters, and must not contain special characters (e.g. \ / : * ?““ < > |). Where the supplier’s Response comprises multiple files, each must have a unique name reflecting its content.

• Scanned or imaged material may be included in an electronic file comprising a (or part of a) Response document, so long the file does not thereby exceed the 50 megabyte file size limit. Such scanned or imaged material that exceeds that size limit may be provided separately to the ATO’s Contact Officer no later than 2 business days after the Closing Time. If the ATO requires the supplier to courier or security post originals of those scanned or imaged material to the ATO’s Contact Officer, the supplier must do so within 2 business days of that request.

Supporting material

Responses must be completely self-contained. No hyperlinked or other material may be incorporated by reference. Supporting material which elaborates or clarifies the Response, but which does not alter it in any material respect, must be provided to the ATO’s Contact Officer no later than 2 business days after the Closing Time. The ATO will not consider any material presented by a supplier as supporting material which, in the ATO’s opinion, materially alters the supplier’s Response.

Revised Responses

Where a supplier wishes to alter the Response it has lodged, it must lodge a revised Response prior to the Closing Time. The revised Response will (and will be taken to) supersede the supplier’s previous Response/s, and those previous Response/s will be excluded and not considered by the ATO.

Confidentiality of Responses

Respondents should note the following:

• Subject to paragraph 48, the ATO will keep all Responses confidential prior to it accepting a Response and afterwards will keep all unsuccessful Responses confidential (for the successful Response, the provisions of the Contract will apply). For the purposes of this and the next paragraph, a supplier’s Response includes all additional information the supplier provides to the ATO in the course of this RFI.

• Rights of access to information in, or in relation to, Responses and contracts exist under a range of Commonwealth legislation (including the Freedom of Information Act 1982, the Auditor-General Act 1997, and the Ombudsman Act 1976 ), and the Parliament and the courts also have rights to access a wide range of information.

• The ATO is required to report certain details of agreements, contracts and standing offers it enters into with an estimated liability (including GST where applicable) of $10,000 or more on AusTender and list on its website certain details of its current contracts which have a value of $100,000 or more.

• Information on those publishing and listing requirements, and confidentiality, can be found in the Commonwealth Procurement Rules, Resource Management Guide No. 423 Procurement Publishing and Reporting Obligations, Resource Management Guide No. 403 Meeting the Senate Order for Entity Contracts and Confidentiality throughout the Procurement Cycle (available at www.finance.gov.au).

Confidential Information

By lodging its Response, a supplier accepts that the ATO and a supplier may each only disclose the other’s Confidential Information if that disclosure doesn’t breach any law and is made:

• To its employees, officers or professional advisers for purposes of (or relating to) this RFI process and/or any resultant contract.

• In the case of the ATO – to its responsible Minister or in response to a request by a House or a Committee of the Parliament of the Commonwealth of Australia.

• With the other’s express written approval, or;

• As required or authorised by applicable government direction, policy or law.

Confidential Information of the ATO or of a supplier (as the case may be) means information concerning it or its operations, business or clients that is by its nature confidential and that the other knows, or reasonably ought to know, is confidential.

Ownership and use of documents

Response documents become the property of the ATO on their submission. The ATO may (and by lodging its Response, a supplier will be taken to have expressly authorised the ATO in writing to) use, retain, copy and disclose its Response (and the information contained in it) for the purposes of:

• Response evaluation.

• The preparation and management of any resultant contract, and;

• Any other related matter (including Governmental and Parliamentary requirements).

Response evaluation

Evaluation of Responses

A Respondent means a supplier (or a member of a Responding Group) that has lodged a Response. The ATO:

• Will not consider, and will exclude, any Response if the Respondent (or any subcontractor it identifies in its Response) does not comply with the Conditions for Participation (see Part 1 – Conditions of Response – paragraph 27).

• May undertake one or more shortlisting or other processes at any time, and may exclude any Response that in the ATO’s opinion fails to comply with these Conditions of Response, is materially incomplete, does not clearly satisfy the ATO’s requirements, or is otherwise clearly non-competitive.

Presentations, meetings, visits, demonstrations and reference checks

The evaluation of Responses may involve presentations by Respondents, meetings with Respondents. Such presentations, meetings, visits, demonstrations and reference checks may be held with, or in relation to, some or all of the Respondents.

Clarification

The ATO may seek clarification in relation to Responses and/or their Respondents. Respondents are to respond in the manner and form, and within the time period, specified by the ATO. The ATO is not under any obligation to take into account additional information provided by a Respondent in response to a clarification request and will not do so where that would introduce unfairness into the evaluation process.

Correction of clerical & etc. errors

The ATO may allow a supplier to correct or clarify unintentional errors in the supplier’s Response documents after the Closing Time, but only if the ATO is satisfied that the relevant correction or clarification proposed by the supplier does not alter its Response in any material respect and is only to rectify an unintentional error which is clerical or administrative, or an unintentional error of form.

Conducting security, probity and financial checks

The ATO may perform such security, probity and financial investigations and procedures as the ATO may determine are necessary in relation to any Respondent, its employees, officers, partners, associates, subcontractors or related entities. A Response may be excluded by the ATO if the Respondent does not provide, at its cost, all reasonable assistance to the ATO in this regard.

Substitution of Respondent

If the composition or control, or the business, of a Respondent changes, the ATO may (at its discretion):

• Allow the substitution of another legal entity for the Respondent upon receipt of a joint written request by that Respondent and that other legal entity (in which case the ATO will take into account the expected impact of the event on the information provided in the Response when evaluating the Response), or;

• Exclude the Response and not consider it further.

Evaluation process and criteria

Responses not otherwise excluded will be assessed by the ATO against the evaluation criteria:

• Responses will be evaluated by the Response Evaluation Team.

• The Response Evaluation Team will conduct that evaluation in such (technical, financial or other) evaluation stages as the Evaluation Plan requires or permits, will evaluate those Responses against the Evaluation Criteria described in the Evaluation Plan (as outlined below), and will provide its report and recommendations to the Delegate.

• The Delegate will provide direction based on the details of the report submitted by the Evaluation team.

• The criteria for any potential second stage of the procurement process are not yet known but will be provided to potential respondents at the time they are invited to make submissions in a second and/or later stages.

• Only Respondents deemed to have suitably met the criteria outlined below and the mandatory requirements outlined the RFI Part 2 – Statement of Requirements would be invited to any potential second stage of the procurement process.

• The Response Evaluation Team with assess responses based on the following criteria:

[TABLE]

Respondents should note that that the ATO:

• May request demonstrations from shortlisted Respondents (this may or may not be part of PoC activity).

• The evaluation criteria set out in the above table are not set out in any order of importance.

• Will not consider, and will exclude, any Response if the Respondent (or any subcontractor it identifies in its Response) does not comply with the Conditions for Participation (set out in the Part 3 – RFI Response Form).

• Will undertake a comprehensive review and assessment against the Evaluation Criteria of any Response that complies with the Conditions for Participation and will take into consideration the ability of the broader industry to satisfy the ATO’s requirements at a high standard and at an acceptable risk on a whole-of-life basis.

• May undertake one or more shortlisting or other processes at any time to exclude any Response that in the ATO’s opinion fails to comply with the Conditions of this RFI, is materially incomplete, or does not clearly satisfy the ATO’s requirements.

• Neither the lowest priced Response, nor the Response which by comparison provides the greater value for money to the ATO, will necessarily be accepted by the ATO, and;

• The ATO may not accept any Response at all.

Response selection

Offer Period of a Response

A Respondents must hold its Response open for acceptance by the ATO for the Offer Period, being:

• The minimum duration of the Offer Period identified in Part 1 – Conditions of Response – paragraph 5, or;

• If that Respondents has nominated a longer Offer Period in its Respondents response – that longer period.

The ATO may request an extension of the Offer Period.

Statements by Respondents

Respondent must not furnish any information, make any statement or issue any document or other written or printed material concerning the acceptance of any Response in response to this RFI for publication in any media without the prior written approval of the ATO. The ATO will not withhold its approval to the extent the Respondents is required to disclose information by the rules of a stock exchange.

Debriefing of Respondents

Respondents will be promptly notified following the:

• Rejection of their submission, or;

• The award of a contract in relation to this RFI.

Respondents will be offered an oral debriefing following the award of a contract in relation to this RFI. Respondents requiring a debriefing should contact the ATO’s Contact Officer.

Where a debriefing is requested, Respondents will be debriefed against the evaluation criteria (see Part 1 – Conditions of Response – paragraph 55). In accordance with Commonwealth policy, a Respondents will not be provided with information concerning other Responses, except for publicly available information such as the name of the successful Respondents and the total price of the successful Response.

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