Broadridge Investment Managers and Pension Fund Consultants Data
Added: Aug 25, 2015 8:14 am This is a combined synopsis/solicitation for commercial items prepared in accordance with the format in Federal Acquisition Regulation (FAR) Subpart 12.6, as supplemented with additional information included in this notice. This announcement constitutes the only solicitation; a quote is being requested and a written solicitation will not be issued.This solicitation #SECHQ1-15-Q-0189 is issued as a sole source request for quotation (RFQ) to Broadridge Financial Solutions, Inc. in accordance with FAR 13.501(a)(1)(ii) Sole Source Acquisitions. See attached Justification and Approval.This solicitation document and incorporated provisions and clauses are those in effect tough Federal Acquisition Circular 2005-83, effective August 3, 2015.The associated NAICS code for this solicitation is 518210 with a small business size standard is $32,500,000.00.This requirement is for online access to acquire access to MarketPlace data provided by Broadridge Financial Solutions, Inc. The period of performance is from September 15, 2015 - September 14, 2016 with two (2) one (1) year options.All responsible sources may submit a capability statement, proposal, or quotation, which shall be considered. Responses to this combined synopsis/solicitation are due no later than 12 PM EST, September 1, 2015. Any responses to this notice shall be sent to Cistina Turner at turnerc@sec.gov and Victor Cairo at cairov@sec.gov.The following addenda to FAR provision 52.212-1, Instructions to Offerors -Commercial applies to this acquisition:Offeror shall follow the guidelines below in preparing its response. All documents should be submitted electronically in MS Excel or compatible format.Offeror shall submit a complete Attachment 2 - Pricing.The following addenda to FAR provision, 52.212-2, Evaluation -Commercial Items applies to this acquisition:(a) The Government will award a contract resulting from this solicitation to the responsible offeror whose offer conforming to the solicitation will be most advantageous to the Government, price and other factors considered. The following factor(s) shall be used to evaluate offers:(i) Technically Acceptable(ii) PriceFAR 52.212-3 "Offeror Representations And Certifications-Commercial Items (Aug 2013)" applies. The contractor shall have completed representations and certifications online in the System for Award Management (SAM) at www.sam.gov.FAR clause 52.212-4, Contract Terms and Conditions -Commercial Items, applies to this acquisition.FAR clause 52.212-5, Contract Terms and Conditions Required to Implement Statutes or Executive Orders -Commercial Items applies to this acquisition of which the additional FAR clauses are applicable to the acquisition:• 52.203-6, Restrictions on Subcontractor Sales to the Government (Sept 2006), with Alternate I (Oct 1995)• 52.204-10, Reporting Executive compensation and First-Tier Subcontract Awards (Jul 2013)• 52.209-6, Protecting the Government's Interest When Subcontracting with Contractors Debarred, Suspended, or Proposed for Debarment (Aug 2013)• 52.219-8, Utilization of Small Business Concerns (Jul 2013)• 52.219-28, Post Award Small Business Program Rerepresentation (Jul 2013)• 52.222-3, Convict Labor (June 2003) (E.O. 11755).• 52.222-21, Prohibition of Segregated Facilities (Feb 1999).• 52.222-26, Equal Opportunity (Mar 2007) • 52.222-35, Equal Opportunity for Veterans (Sep 2010)• 52.222-36, Equal Opportunity for Workers with Disabilities (Jul 2014) • 52.222-37, Employment Reports on Veterans (Sep 2010) • 52.222-40, Notification of Employee Rights Under the National Labor Relations Act (Dec 2010) • 52.222-50, Combating Trafficking in Persons (Mar 2015)• 52.223-18, Encouraging Contractor Policies to Ban Text Messaging while Driving (Aug 2011)• 52.225-13, Restrictions on Certain Foreign Purchases (Jun 2008)• 52.232-33, Payment by Electronic Funds Transfer- System for Award Management (Jul 2013)The following additional terms and conditions are applicable to this acquisition:52.217-8 Option to Extend Services (NOV 1999) The Government may require continued performance of any services within the limits and at the rates specified in the contract. These rates may be adjusted only as a result of revisions to prevailing labor rates provided by the Secretary of Labor. The option provision may be exercised more than once, but the total extension of performance hereunder shall not exceed 6 months. The Contracting Officer may exercise the option by written notice to the Contractor within 15 days of contract expiration.52.217-9 Option to Extend the Term of the Contract (MAR 2000)(a) The Government may extend the term of this contract by written notice to the Contractor at any time within the period of performance provided that the Government gives the Contractor a preliminary written notice of its intent to extend 15 days before the contract expires. The preliminary notice does not commit the Government to an extension. (b) If the Government exercises this option, the extended contract shall be considered to include this option clause. (c) The total duration of this contract, including the exercise of any options under this clause, shall not exceed tee (3) years, and six (6) months.52.232-40 Providing Accelerated Payments to Small Business Subcontractors (DEC 2013)(a) Upon receipt of accelerated payments from the Government, the Contractor shall make accelerated payments to its small business subcontractors under this contract, to the maximum extent practicable and prior to when such payment is otherwise required under the applicable contract or subcontract, after receipt of a proper invoice and all other required documentation from the small business subcontractor. (b) The acceleration of payments under this clause does not provide any new rights under the Prompt Payment Act. (c) Include the substance of this clause, including this paragraph (c), in all subcontracts with small business concerns, including subcontracts with small business concerns for the acquisition of commercial items.3001.01 Inspection and Acceptance by the Contracting Officer's Representative (COR) (Aug 2013)Inspection and Acceptance of supplies and/or services to be furnished under this contract will be performed by the Contracting Officer's Representative (COR) - Caroline Early. Inspection and Acceptance will be performed at the U.S. Securities and Exchange Commission, 100 F Street, NE Washington, DC 20549.4001.00 Period of Performance w/Option Years (Mar 2009)The base period of performance under this contract shall be from 09/15/2015 tough 09/14/2016. This contract has two (2) option years. At the end of the base year, if exercised, the first option will begin. If all options are exercised, the period of performance will not exceed a total of two years. If exercised, the period of performance for each successive option will begin the day after expiration of the previous period. Exercise of any option requires a contract modification signed by the SEC Contracting Officer.The Period of Performance for Option Year 1 is 09/15/2016 - 09/14/2017.The Period of Performance for Option Year 2 is 09/15/2017 - 09/14/2018.4003.00 Place of Delivery- FOB Destination (June 2013)The deliverables to be furnished under this contract shall be delivered to the following address:U.S. Securities and Exchange CommissionLibrary100 F Street NE Washington DC, 205495001.00 Contract Administration (Aug 2011)This contract/delivery order will be administered by the SEC's Office of Acquisitions. All inquiries should be directed to the following address:Securities and Exchange CommissionOffice of AcquisitionsAttn: Cistina TurnerPhone: 202-551-8187Email: turnerc@sec.gov100 F Street, NEWashington, DC 205495003.00 Submission of Invoices (April 2012) The Securities and Exchange Commission accepts only electronic/e-mail invoices.Invoices shall be submitted on a submission of deliverable basis.Contractors should submit invoices in accordance with the SEC Prompt Payment Provision of the contract. Contractors are cautioned against submitting an invoice prior to goods and services being received/accepted. Invoices submitted prematurely may be rejected.Electronic/e-mail Invoice Instructions: Invoices must be in PDF Format and may not exceed 10MBSubject Line: Company name and the invoice numbere-mail Message:Company logo or letterheadCompany name and payment addressCompany point of contact (POC) for the invoice with phone and e-mailInvoice NumberSEC Contract or Order numberSEC CORFor supplies: contract line item number, item description, quantity delivered, and unit and extended price, per Section B CLIN structureFor services: contract line item number, item description, period of performance and associated costs, per Section B, contract line item, CLIN, structureShipping and handling charges, if applicableClearly mark duplicates of previous invoice submissions with "DUPLICATE"Clearly mark the final invoice with "FINAL INVOICE"Attach the invoice and any supporting documents in a secure tamper-proof or tamper-resistant format compatible with Adobe Acrobat.Electronic signatures are acceptable in scanned documents. Each page of a document must be clearly marked with information identifying it with the company, the contract, the invoice, and any other information required by the contract.E-mail invoices to the following address: 9-AMC-AMZ-SEC-Invoices@faa.gov5003.02 Software license Maintenance and Subscription Service Invoicing (Mar 2009)It is customary commercial practice to pay for software licenses maintenance at the beginning of the contract period of performance, after submittal of a proper invoice.5003.03 Option Period Invoicing (Mar 2009)Option periods may be paid only after (1) an option modification has been issued by the Contracting Officer; and (2) the Government's receipt of a proper invoice from the Contractor. An invoice received by the Government prior to issuance of an option modification will be rejected as an improper invoice.5004.00 Appointment of Contracting Officer's Representative (COR) (Nov 2012)The Contracting Officer (CO) shall appoint, in writing, a Contracting Officer's Representative (COR) and, if possible, an Alternate COR for this award. The COR and Alternate COR shall have a current Federal Acquisition Certification for CORs (FAC-COR) at the appropriate certification level for the contract. A COR may serve on a contract requiring certification at or below his/her level, but not on one requiring a higher level. The CO shall provide the Contractor with a copy of the COR appointment letter(s). The COR may not re-delegate his or her authority; only the CO has this authority.The COR will manage the contract in coordination with the CO and within the terms of the contract and the boundaries of a COR's duties as outlined in the document "Instructions for CORs and Their Supervisors." The COR's responsibilities include reviewing invoices and charges by the Contractor and informing the CO of areas where exceptions are taken. If this is an award for services and contractor personnel are brought on-site to SEC facilities, the COR must adhere to SECR 10-24.Only the CO has the authority to change the terms and conditions of this contract. The COR may request a contract modification, but the CO will make the final determination. The COR may not agree to or issue a change to the contract terms and conditions. In the event the Contractor effects changes to the contract at the direction of any person other than the CO, the changes will be considered to have been made without any authority and no adjustments will be made to the contract.5007.00 Payment Information (Feb 2012) Payment will be made to small business contractors within 15 days of receipt of a valid invoice.Unless otherwise stated, and the contractor is not a small business, payment will be made within the guidelines of the Prompt Payment Act and requires that payment is made within 30 days from receipt of a valid invoice.6002.00 Type of Contract (Mar 2009)This is a firm-fixed price type contract.6003.00 Representations and Certifications (Mar 2009)The Contractor's completed Representations, Certifications, and Other Statements of Offerors or Respondents is incorporated herein by reference.6012.02 Section 508 Requirements (Mar 2011) Pursuant to Section 508 of the Rehabilitation Act of 1973 (29 U.S.C. 794d), as amended by the Workforce Investment Act of 1998, all electronic and information technology (EIT) products and services developed, acquired, maintained, and/or used under this contract/order must comply with the Electronic and Information Technology Accessibility Provisions set forth by the Architectural and Transportation Barriers Compliance Board (also referred to as the "Access Board") in FAR 39.2.The complete text of Section 508 Final Provisions can be accessed at http://www.access-board.gov/sec508/provisions.htm.All EIT products must comply with the following standards. Descriptions of the standards are viewable at the link Section 508 Standards. • 36 CFR 1194 Section 21-Software applications and operating systems• 36 CFR 1194 Section 22-Web-based Intranet and Internet Information and Applications• 36 CFR 1194 Section 23-Telecommunication Products• 36 CFR 1194 Section 24-Video and Multimedia Products• 36 CFR 1194 Section 25-Self contained, closed products• 36 CFR 1194 Section 26-Desktop and Portable Computers• 36 CFR 1194 Section 31-Functional Performance Criteria• 36 CFR 1194 Section 41-Information, documentation, and supportOfferors that fail to demonstrate compliance with the above standards, or provide equivalent salient characteristics, may be eliminated from further consideration for award. The Contractor shall indicate for each line item in the schedule whether each product or service is compliant or non-compliant with the accessibility standards at 36 CFR 1194 using a Voluntary Product Accessibility Template (VPAT). Further, the quote must indicate where full details of compliance can be found (e.g., vendor's website or other exact location). The offeror further represents that all EIT products and services that are less than fully compliant have been reviewed and plans to correct are in place.Respondents to this solicitation must provide any additional detailed information necessary for determining applicable Section 508 standards conformance, as well as for documenting EIT products and/or services that are incidental to the project, which would constitute an exception to Section 508 requirements. If a vendor claims its products and/or services, including EIT deliverables such as electronic documents and reports, meet applicable Section 508 standards, and it is later determined by the Government - i.e., after award of a contract/order, that products and/or services delivered do not conform to the described accessibility, remediation of the products and/or services to the level of conformance specified in the contract will be the responsibility of the Contractor at its expense.6012.02 *A.01 Electronic and Information Technology (Mar 2009)In accordance with Section 508 of the Rehabilitation Act of 1973 (29 U.S.C. 794d), all EIT supplies or services provided under this contract must comply with the applicable accessibility standards issued by the Architectural and Transportation Barriers Compliance Board at 36 CFR Part 1194 (see FAR Subpart 39.2). Electronic and information technology (EIT) is defined at FAR 2.101.6012.04 Electronic and Information Technology Accessibility (Mar 2011)Each Electronic and Information Technology (EIT) product or service furnished under this contract shall comply with the Electronic and Information Technology Accessibility Standards (36 CFR 1194 ). If the Contracting Officer determines any furnished product or service is not in compliance with the contract, the Contracting Officer will promptly inform the Contractor in writing. The Contractor shall, without charge to the Government, repair or replace the non-compliant products or services within the period of time to be specified by the Government in writing. If such repair or replacement is not completed within the time specified, the Government shall have the following recourses:The right to Termination of the contract, delivery or task order, purchase or line item without termination liabilities pursuant to the contract termination clauses; orIn the case of custom Electronic and Information Technology (EIT) being developed for the Government, the Government shall have the right to have any necessary changes made or repairs performed by itself or by another firm and the contractor shall reimburse the Government for any expenses incurred thereby.For every EIT product or service accepted under this contract by the Government that does not comply with 36 CFR 1194, the contractor shall, at the discretion of the Government, make every effort to replace or upgrade it with a compliant equivalent product or service, if commercially available and cost neutral, on either the planned refresh cycle of the product or service, or on the contract renewal date, whichever shall occur first.In the event of a modification(s) to this contract/order, which adds new EIT products and services or revises the type of, or specifications for, products and services the Contractor is to provide, including EIT deliverables such as electronic documents and reports, the Contracting Officer may require that the contractor provide an update of information provided in the solicitation to identify EIT compliance. Under any maintenance agreement, Contractor agrees to maintain compliance with Section 508 of the Rehabilitation Act of 1973 for all EIT.In order to comply with 36 CFR 1194 Section 41, the Contractor shall submit all soft copies (e.g., user manuals, product documentation, etc.) in a format that will be readable using assistive technology, (e.g., screen reader). All imbedded charts, graphs, pictures, etc., must be accessible and understandable using a screen reader.6012.05 Personally Identifiable Information (PII) (Jun 2013)A Contractor that designs, develops, or operates a system of records on individuals, or otherwise collects or has access to personally identifiable information (PII) in the performance of this contract shall, prior to taking such action, comply with the following requirements:(a) The Contractor shall have established policies and procedures in place to safeguard SEC PII. The policies and procedures shall provide the Contractor's processes for identifying, assessing and mitigating privacy risks associated with PII. The policies and procedures shall also cover training of employees on their roles and responsibilities for safeguarding SEC PII and incident management of suspected or confirmed loss of SEC PII in accordance with OMB's Recommendations for Identity Theft Related Data Breach Notification, September 20, 2006, and OMB Memorandum M-07-16, Safeguarding Against and Responding to the Breach of Personally Identifiable Information, May 22, 2007.(b) The Contractor shall also ensure that all processes, procedures and equipment associated with PII comply with all laws, regulations, and security mandates as defined by National Institute of Standards and Technology (NIST) Special Publication (SP) 800-61 Revision 1 and are aligned with the incident categories and timelines referenced in Table J-1 of NIST SP 800-61, as well as U.S. government and SEC policies developed to safeguard the confidentially, integrity and availability of SEC data that may contain PII. In support of these requirements, the Contractor shall have:• policies, procedures, and mechanisms designed to restrict access to SEC data on Contractor, subcontractor, or SEC inter/intra agency partner systems exclusively to authorized personnel; • policies, procedures, and mechanisms that prevent transmission or disclosure of SEC data to an unauthorized party; • policies, procedures, and mechanisms that ensure SEC data on portable devices are encrypted using methods compliant with Federal Information Processing Standard 140-2; and • policies, procedures, and mechanisms that ensure SEC data transmitted across public networks (i.e., the Internet) by the Contractor, or its employees, agents or subcontractors, are protected using encryption compliant with Federal Information Processing Standard 140-2.(c) The Contractor shall provide quarterly assessments to the SEC demonstrating that the policies, procedures, and mechanisms required by (b) continue to be functional, that the Contractor is compliant with these requirements, and that these requirements are effective.(d) The Contractor shall provide a copy of its privacy policies to the Contracting Officer. The Contractor shall also provide a copy of the policies and procedures (or otherwise make such policies and procedures available) to all of its employees, agents, and subcontractors assigned to perform the requirements set forth in this contract.(e) The Contractor shall ensure that those individuals adhere to the Contractor's policies and procedures relating to PII and to SEC-prescribed policies and procedures for the safe handling of SEC PII, including privacy and security training requirements and privacy incident management.(f) The Contractor's employees, agents, and subcontractors shall immediately alert the SEC of any event, including the suspected or confirmed loss of SEC PII, that could potentially affect the privacy rights of individuals or which violates any federal law, regulation, mandate or requirement as defined in NIST 800-122 by contacting the SEC Information Systems Security point of contact and the SEC Incident Response Team at cops@sec.gov. The Contractor shall act in accordance with its policies and procedures in the event of any suspected loss of SEC PII and shall support the SEC's investigation and resolution of reported incidents as requested by the SEC. For purposes of this Clause, a "suspected loss of PII" shall be interpreted liberally to mean any situation in which the loss of PII or unapproved access to PII is deemed a reasonable possibility.6014.00 Use of Contractor Data and/or Materials (Mar 2009)The Contractor acknowledges and agrees to the following: The SEC anticipates using the data and/or materials to conduct analyses for use in reports, studies, memoranda, and presentations. The SEC anticipates the following types of situation where analyses based on underlying data may be made public: by the SEC itself (E.g., SEC rulemaking and/or analysis done as part of an inspection or enforcement action), by SEC staff where the SEC is directing or facilitating the publication (e.g., a staff study in response to a Congressional request), by SEC staff facilitating their own private publication where the Commission has not taken a position regarding the publication of the analysis(e.g., a research report to be submitted by the individual staff to an academic conference or journal), and a former employee of the SEC who has substantially completed the analysis while on staff and is facilitating his/her own private publication( e.g., a research report to be submitted to an academic conference or journal). In all of these situations, only "insubstantial amounts" of the licensed data and/or material would be made public and no raw data would be made public, the authors would agree to abide by all contractual terms and conditions, and as the owner/licensor of the data the Contractor would receive attribution and be cited as the data source. "Insubstantial amounts" means an amount that has no independent commercial value and could not be used as a substitute for the service or product or any part of it.
SECHQ1-15-Q-0189 Securities and Exchange Commission
8/25/15, 8:14 AM