1-SOW - LAS program v6.pdf

Statement of Work Leading Author Series

1.0 Background

The SEC’s mission is to protect investors, maintain fair, orderly and effective markets, and facilitate capital formation. In support of this mission, the College of Securities and Investor Protection (CSIP) works to provide the design, development, delivery and evaluation of technical skills/operations and instructional materials and programs in securities, legal, finance, accounting, regulation and economic analysis.

Instructional products, materials and programs result from analyzing organizational learning needs, job and target audience requirements, curriculum analysis, evaluation and redesign within the financial services industry including, but not limited to, fraud detection, advanced securities operations, current regulatory environment, risk assessment and analysis, accounting, finance, statistics, economics and business.

2.0 Objectives

The target audience is Securities and Exchange Commission employees. CSIP projects offering an average annual total of up to 8 book discussions per year. The number of book discussion seminars may vary depending on the availability of funds and selected speakers.

3.0 Scope

After consultation with the program manager, the contractor shall provide a recommended list of speakers to meet with the desired learning objectives of CSIP and that have a high likelihood of generating full enrollment and excellent seminar evaluations.

4.0 Requirements

In satisfaction of CSIP’s requirements to deliver authors approved by the program manager and appropriate for the target audience, the contractor shall perform the following:

• Identify and recommend topics and authors of interest to SEC staff;

• Meet with CSIP staff bi-monthly to discuss events and authors;

• Provide CSIP staff with consolidated lists of pre-published or recently published books with summaries to review at least 60 days prior to the quarterly selection of books titles and authors appropriate for the target audience;

• Schedule speakers and arrange up to an estimated eight (8), one to two hour, book discussion events at an SEC facility or virtually on a yearly basis;

• Coordinate the purchase and delivery of approximately 150 books per book discussion event at the most advantageous cost to the federal government (quantity of books may vary depending on event/audience).

• Coordinate with the author and/or publishing house on the SEC’s ability to record events for internal viewing within the agency or within other federal government agencies

The contractor shall:

4.1 Deliver a series of author-led presentations/events that receive excellent evaluations from the target audience.

4.2 Research recently published book titles and authors appropriate to the College of Securities and Investor Protection objectives.

4.3 Obtain marketing materials from publishing houses for selected titles and then provide to the program manager to assist in their development of marketing materials. Acceptable marketing materials include, but are not limited to, electronic versions of book jackets, early book reviews, author biographies, and public relations press kits distributed by the author’s publishing house.

4.4 Coordinate book discussions with the author and/or publishing house, including providing a pre-event briefing to author and CSIP staff.

4.5 Coordinate the purchase of approximately 150 copies of books for event participants at the most advantageous cost to the federal government and arrange delivery and shipment to the seminar site

5.0 Key Personnel

The Contractor shall provide skilled personnel required for the effective and efficient performance of this contract. The SEC reserves the right to review the resumes of all key personnel assigned to this contract and the results of the background investigations conducted by the Contractor. The SEC has the right to require the removal of any Contractor personnel assigned to this contract, at any time, for any reason.

The designated Key Personnel are as follows:

Program Manager

Key personnel specified are considered to be essential to the work being performed.

6.0 Deliverables

After consultation with CSIP staff, the Contractor shall provide a recommended list of speakers to meet the desired learning objectives of CSIP and that have a high likelihood of generating full enrollment and excellent seminar evaluations.

Section Deliverables/Work Products Timeframe for Delivery

4.0 Meet with CSIP staff As requested

4.2 Research and identify relevant published books and

authors 60 days in advance

4.3 Obtain marketing materials 30 days in advance

4.4 Book discussion As requested

4.5 Coordinate purchase and delivery of books As requested

7.0 Period of Performance

The period of performance will be a total of five (5) ordering periods with a duration of twelve (12) months each. Task orders will not be issued prior to the availability of appropriate funds from which expenditures there under may be made.

8.0 Place of Performance

Work shall be conducted at the Contractor’s worksite with the exception of in-person seminar events.

Meetings with CSIP staff can be virtual or in-person. Seminar events shall be conducted virtually (WebEx) or at the Securities and Exchange Commission’s office sites, the majority of which shall take place at Headquarters at 100 F St. NE, Washington, DC 20549*. In-person seminar events shall be telecast to the regional offices throughout the country. In the event that a seminar is hosted from a regional office, the Contractor shall be notified at the time of booking.

*location subject to change