1605C1-21-R-00012_EBSA_Form 5500 Subscription.pdf

SEE ADDENDUMIS CHECKED

CODE 18a. PAYMENT WILL BE MADE BY

CODE

FACILITYCODE

17b. CHECK IF REMITTANCE IS DIFFERENT AND PUT SUCH ADDRESS IN OFFER

OFFEROR

CAS

S-4307 200 Constitution Ave, NW Customer Acquisition Services US Department of Labor

EBSA DC OPR CODE 16. ADMINISTERED BYCODE

X

X

541720

SIZE STANDARD:

% FOR:SET ASIDE:UNRESTRICTED ORCAS

RFPIFB

10. THIS ACQUISITION ISCODE

RFQ

14. METHOD OF SOLICITATION

13b. RATING

NAICS:

SMALL BUSINESS

08/23/2021 1400 ES

07/23/2021

202-693-4587Daveana Johnson (No collect calls)

INFORMATION CALL:

FOR SOLICITATION 8. OFFER DUE DATE/LOCAL TIMEb. TELEPHONE NUMBER a. NAME

4. ORDER NUMBER3. AWARD/ 6. SOLICITATION

1605C1-21-R-00012

5. SOLICITATION NUMBER

SOLICITATION/CONTRACT/ORDER FOR COMMERCIAL ITEMS 1. REQUISITION NUMBER PAGE OF

1 65 1621-OPR-21-NAT-0013OFFEROR TO COMPLETE BLOCKS 12, 17, 23, 24, & 30

Washington DC 20210

TELEPHONE NO.

17a. CONTRACTOR/

WASHINGTON DC 20210

ROOM N5718

200 CONSTITUTION AVE.

US DEPARTMENT OF LABOR

15. DELIVER TO

Washington DC 20210 S-4307 200 Constitution Ave, NW Customer Acquisition Services

9. ISSUED BY

7.

2. CONTRACT NO.

EFFECTIVE DATE

$22.00

18b. SUBMIT INVOICES TO ADDRESS SHOWN IN BLOCK 18a UNLESS BLOCK BELOW

ISSUE DATE

DELIVERY FOR FOB DESTINA-

TION UNLESS BLOCK IS

MARKED

11.

SEE SCHEDULEX

12. DISCOUNT TERMS

THIS CONTRACT IS A

RATED ORDER UNDER

DPAS (15 CFR 700)

13a.

SERVICE-DISABLED

VETERAN-OWNED

SMALL BUSINESS

HUBZONE SMALL

BUSINESS

8(A)

US Department of Labor

WOMEN-OWNED SMALL BUSINESS

(WOSB) ELIGIBLE UNDER THE WOMEN-OWNED

SMALL BUSINESS PROGRAM

EDWOSB

24.

AMOUNT

23.

UNIT PRICE

22.

UNIT

21.

QUANTITY

20.

SCHEDULE OF SUPPLIES/SERVICES

19.

ITEM NO.

THE DEPARTMENT OF LABOR (DOL), ON BEHALF OF THE

EMPLOYEE BENEFITS SECURITY ADMINISTATION (EBSA)

HAS A REQUIREMENT TO OBTAIN FORM 5500 RESEARCH

SUBSCRIPTION AND DATA ANLAYSIS SERVICES IN

ACCORDANCE WITH THE

ATTACHED PERFORMANCE WORK STATEMENT(PWS).

REQUEST FOR CLARIFICATION DUE BY: MONDAY, AUGUST

2, 2021, 1400 EST.

RESPONSES DUE BY: MONDAY, AUGUST 23, 2021, 1400

(Use Reverse and/or Attach Additional Sheets as Necessary)

HEREIN, IS ACCEPTED AS TO ITEMS:

XX

DATED

Deborah W. Worrells

. YOUR OFFER ON SOLICITATION (BLOCK 5),

INCLUDING ANY ADDITIONS OR CHANGES WHICH ARE SET FORTH

COPIES TO ISSUING OFFICE. CONTRACTOR AGREES TO FURNISH AND DELIVER

ARE

ARE

31c. DATE SIGNED

27b. CONTRACT/PURCHASE ORDER INCORPORATES BY REFERENCE FAR 52.212-4. FAR 52.212-5 IS ATTACHED. ADDENDA

31a. UNITED STATES OF AMERICA (SIGNATURE OF CONTRACTING OFFICER)

30c. DATE SIGNED 31b. NAME OF CONTRACTING OFFICER (Type or print)

ALL ITEMS SET FORTH OR OTHERWISE IDENTIFIED ABOVE AND ON ANY ADDITIONAL

SHEETS SUBJECT TO THE TERMS AND CONDITIONS SPECIFIED.

27a. SOLICITATION INCORPORATES BY REFERENCE FAR 52.212-1, 52.212-4. FAR 52.212-3 AND 52.212-5 ARE ATTACHED. ADDENDA

26. TOTAL AWARD AMOUNT (For Govt. Use Only)

OFFER

STANDARD FORM 1449 (REV. 2/2012)

Prescribed by GSA - FAR (48 CFR) 53.212

ARE NOT ATTACHED.

ARE NOT ATTACHED.

AUTHORIZED FOR LOCAL REPRODUCTION

PREVIOUS EDITION IS NOT USABLE

30b. NAME AND TITLE OF SIGNER (Type or print)

30a. SIGNATURE OF OFFEROR/CONTRACTOR

28. CONTRACTOR IS REQUIRED TO SIGN THIS DOCUMENT AND RETURN

25. ACCOUNTING AND APPROPRIATION DATA

29. AWARD OF CONTRACT:

REF.

32e. MAILING ADDRESS OF AUTHORIZED GOVERNMENT REPRESENTATIVE

32c. DATE 32b. SIGNATURE OF AUTHORIZED GOVERNMENT REPRESENTATIVE

ACCEPTED, AND CONFORMS TO THE CONTRACT, EXCEPT AS NOTED:

32a. QUANTITY IN COLUMN 21 HAS BEEN

RECEIVED INSPECTED

40. PAID BY39. S/R VOUCHER NUMBER38. S/R ACCOUNT NUMBER

37. CHECK NUMBER

FINALPARTIAL

36. PAYMENT

FINALPARTIAL

35. AMOUNT VERIFIED

CORRECT FOR

34. VOUCHER NUMBER33. SHIP NUMBER

COMPLETE

32g. E-MAIL OF AUTHORIZED GOVERNMENT REPRESENTATIVE

42d. TOTAL CONTAINERS42c. DATE REC'D (YY/MM/DD)

42b. RECEIVED AT (Location)

42a. RECEIVED BY (Print)

41c. DATE41b. SIGNATURE AND TITLE OF CERTIFYING OFFICER

41a. I CERTIFY THIS ACCOUNT IS CORRECT AND PROPER FOR PAYMENT

STANDARD FORM 1449 (REV. 2/2012) BACK

24.

AMOUNT

23.

UNIT PRICE

22.

UNIT

21.

QUANTITY

20.

SCHEDULE OF SUPPLIES/SERVICES

19.

ITEM NO.

EST.

SUBMIT ALL RESPONSES VIA E-MAIL TO

JOHNSON.DAVEANA@DOL.GOV.

0001 Form 5500 data subscription (Base Period)

Product/Service Code: D317

0002 Analyst

Product/Service Code: R702

1001 Form 5500 data subscription (Option Period One)

(Option Line Item)

(Anticipated Option Exercise Date) 364 Days After

Award

Product/Service Code: D317

1002 Analyst

(Option Line Item)

(Anticipated Option Exercise Date) 364 Days After

Award

Product/Service Code: R702

2001 Form 5500 data subscription (Option Period Two)

(Option Line Item)

Continued ...

32f. TELEPHONE NUMBER OF AUTHORIZED GOVERNMENT REPRESENTATIVE

32d. PRINTED NAME AND TITLE OF AUTHORIZED GOVERNMENT REPRESENTATIVE

65 2 of

ITEM NO. SUPPLIES/SERVICES QUANTITY UNIT UNIT PRICE AMOUNT

NAME OF OFFEROR OR CONTRACTOR

3 65

CONTINUATION SHEET

REFERENCE NO. OF DOCUMENT BEING CONTINUED PAGE OF

(A) (B) (C) (D) (E) (F)

1605C1-21-R-00012

(Anticipated Option Exercise Date) 364 Days After

Award

Product/Service Code: D317

2002 Analyst

(Option Line Item)

(Anticipated Option Exercise Date) 364 Days After

Award

Product/Service Code: R702

NSN 7540-01-152-8067 OPTIONAL FORM 336 (4-86)

Sponsored by GSA

FAR (48 CFR) 53.110

A - Solicitation/Contract Form B - Supplies or Services/Prices C - Description/Specifications D - Packaging and Marking E - Inspection and Acceptance F - Deliveries or Performance G - Contract Administration Data H - Special Contract Requirements I - Contract Clauses J - List of Documents, Exhibits and Other Attachments K - Representations, Certifications, and Other Statements of Bidders L - Instructions,Conditions, and Notices to Bidders M - Evaluation Factors for Award

A - Solicitation/Contract Form

B - Supplies or Services/Prices

CLIN Description Rate QTY U/I Subtotal Amount

Total Amount

0001 Form 5500 Data Subscription 12 MO

0002 Analyst 50 HR

Base Period Total $

CLIN Description Rate QTY U/I Subtotal Amount

Total Amount

1001 Form 5500 Data Subscription 12 MO

1002 Analyst 50 HR

Option Period One Total $

CLIN Description Rate QTY U/I Subtotal Amount

Total Amount

2001 Form 5500 Data Subscription 12 MO

2002 Analyst

50 HR

Grand Total with Options $

Although the Government estimates that the level of effort for the tasks below in Part 5 - Specific Tasks, the Contractor should propose the specific level of effort and mix of labor categories, including positions not specified as Key Personnel, it believes is needed to accomplish the specified tasks.

C - Description/Specifications

1.1 Description of Services/ Introduction

The contractor shall provide all personnel, equipment, tools, materials, supervision, and other items and non-personal services necessary to provide a subscription of edited Form 5500 data, as well as special runs and analyses as defined in this Performance Work Statement. The contractor shall perform to the standards in this contract.

1.2 Background

The Department of Labor’s (DOL) Employee Benefits Security Administration (EBSA) is committed to educating and assisting Americans covered by private retirement plans, health plans, and other welfare benefit plans; as well as plan sponsors and members of the employee benefits community. EBSA balances proactive enforcement with compliance assistance and works diligently to provide quality assistance to plan participants and beneficiaries. The Form 5500 Series was developed to allow employee benefit plans a uniform set of documents to submit to satisfy annual reporting requirements under Title I and Title IV of ERISA and under the Internal Revenue Code. The Form 5500 Series is intended to assure that employee benefit plans are operated and managed in accordance with certain prescribed standards and that participants and beneficiaries, as well as regulators, are provided or have access to sufficient information to protect the rights and benefits of participants and beneficiaries under employee benefit plans.

1.3 Objectives

EBSA is seeking a contract to support various Form 5500 research, compliance assistance and enforcement tasks. The contractor shall provide EBSA staff, at the start of the period of performance, with a subscription to a database which contains edited Form 5500 data, mapped with SEC, FINRA, investment performance and state insurance data.

The following elements should be available as part of the subscription in the edited Form 5500 data, mapped with SEC, FINRA, and state insurance data:

· The Form 5500 adviser name data must be edited to organize different naming conventions for the same company into one specific adviser or company name.

· Firms listed on the Form 5500 Schedules A and C need to be matched to registered investment advisers from the Investment Adviser Registration Depository (IARD).

· With that mapping in place, obtain Form ADV firm data and individual representatives’ disclosure reports for the registered investment advisers.

· Aggregate FINRA data on those same firms and individuals.

· Information from state insurance departments for the same firms and individuals, in order to provide another useful source of disclosure information on the advisers.

· Provide one specific headquarter location for multi-location companies

· Spread of the assets into various geographic locations (such as three digit zip code)

· Specific indicator for Taft-Hartley plans

· Audit level, trended fund data

The contractor is required to provide at least 50 labor hours of specialized analyst support to prepare various data queries on DC retirement plan data according to the needs of EBSA during the base period and in each option year, if exercised by the Government.

These analyses could include matching edited Form 5500 data with other data sets or non-matched variables of existing data structures.

1.4 Scope

The qualified contractor must already have the necessary data elements for the subscription in place at the start of the period of performance. The subscription shall be fully functional and available throughout the entirety of the contract (except during agreed upon maintenance and update periods), and also for the entirety of any option years if exercised by EBSA. Access to this subscription can be provided via direct database access or through a web application enabling EBSA staff to independently query data on employer sponsored benefit plans, financial advisors, other service providers, assets, geographical locations, and other general plan information.

1.5 Period of Performance

The period of performance shall be for one (1) Base Period of 12 months and two (2) 12-month option periods. The Period of Performance reads as follows:

Base Period: 9/19/2021 – 9/18/2022 Option Period I: 9/19/2022 – 9/18/2023 Option Period II: 9/19/2022 – 9/18/2024

The Government reserves the right to extend the term of this contract at the prices set forth in Section B in accordance with the terms and conditions contained in clause 52.217-9 entitled, “Option to Extend the Term of the Contract”.

1.6 General Information

1.6.1 Quality Control

The contractor shall develop and maintain an effective quality control program to ensure services are performed in accordance with this PWS. The contractor shall develop and implement procedures to identify, prevent, and ensure non-recurrence of defective services. The contractor’s quality control program is the means by which he assures himself that his work complies with the requirement of the contract. As a minimum, the contractor shall develop quality control procedures that address the areas identified in Technical Exhibit 1, “Performance Requirements Summary.” After acceptance of the quality control plan, the contractor shall receive the contracting officer’s acceptance in writing of any proposed change to the QC system.

1.6.2 Quality Assurance

The government shall evaluate the contractor’s performance under this contract in accordance with the Quality Assurance Surveillance Plan. This plan is primarily focused on what the Government must do to ensure that the contractor has performed in accordance with the performance standards. It defines how the performance standards will be applied, the frequency of surveillance, and the minimum acceptable defect rate(s).

1.6.3 Government Remedies

The contracting officer shall follow FAR 52.212-4, “Contract Terms and Conditions Commercial Items” or 52.246-4, “Inspection of Services-Fixed Price” for contractor’s failure to perform satisfactory services or failure to correct non-conforming services.

1.6.4 Recognized Holidays

The contractor is not required to perform services on the following federal holidays:

New Year's Day Labor Day Martin Luther King Jr.'s Birthday Columbus Day President's Day Veteran's Day Juneteenth Thanksgiving Day Memorial Day Christmas Day Independence Day

1.6.5 Hours of Operation/ Place of Performance

The contractor is responsible for being available to provide technical assistance during a regular set of at least eight business hours each work day Monday through Friday, excluding federal holidays. The contractor must at all times maintain an adequate work force for the uninterrupted performance of all tasks defined within this performance work statement. When hiring personnel, the contractor shall keep in mind that the stability and continuity of the work force are essential.

1.6.6 Type of Contract

The government anticipates the award of a fixed-price contract for the base period with equal monthly payments for a 12-month base period and two (2) option periods. Option periods are exercise at the Government’s decision.

1.6.7 Security Requirements

Throughout the period of this Agreement, the Government reserves exclusive and unlimited rights to the information provided to the Contractor, except for the information the Government makes available to the public. The Government also reserves exclusive rights to the results and findings produced by this project.

The Contractor agrees that the Government may use the Product to carry out the Government's Business Purposes, as defined herein, subject to the restrictions contained herein. The Government 's Business Purposes include: (a) sharing of the information provided by the Product ("Information") within and among Government 's employees and agents with a need to know; (b) incorporating portions of Information either in unmodified ("raw") or summary ("aggregate") form, into works that the Government creates, including, but not limited to: research papers (such as papers prepared for publication in academic journals), speeches, testimony, reports, official publications, and internal documents (created works hereinafter collectively, "Work Product"): and (c) sharing descriptive documentation provided by the Contractor regarding the Services (such as user guides and data dictionaries) within the EBSA and with government agencies (e.g., the United States Department of Treasury, the Federal Deposit Insurance Corporation, Financial Stability Oversight Council) who have a need to know such Information. The Government's Work Product will not incorporate

Information in a quantity or manner that would cause the Work Product to constitute a substitute for the purchase of the Product from the Contractor.

1.6.8 Special Qualifications

The contractor shall designate persons as key personnel and essential for the successful completion of all work assigned under this contract. The contractor shall also assign a senior level contact as the contract manager responsible for coordinating this project with all other contractor staff. Discussions and written correspondence between EBSA staff and this contract manager will be the primary means of communicating requests for custom queries and use of contractor analyst hours.

Contract Manager – The contract manager must have a minimum of five (5) years of experience with financial retirement data and/or issues.

EBSA anticipates that the successful completion of this project will require the services of people who will provide, individually or in combination, the following expertise and specialties.

1. Summarizing and analyzing Form 5500 data on defined contribution plans, defined benefit plans and welfare plans collected by the Department of Labor. Analysis of the data available on Schedules A, C, D, H, I of the Form 5500, including their attachments, and including information on investments and plan provisions.

2. Summarizing and analyzing Form 5500 data on Master Trusts, including their investments.

3. ERISA laws and regulations relating to Form 5500 reporting.

4. Reporting requirements of investment advisers and other service providers to employee benefit plans.

5. Experience in analysis of the IARD database, FINRA data, SEC data, and other data related to investment advisers and investment managers. Experience in matching these databases to Form 5500 data.

6. Analysis of data on direct and indirect fees, revenue sharing and performance associated with investments used by retirement plans. Analysis of data on direct and indirect fees, range of fees and premiums reported by welfare plans.

7. Integrating data from outside financial datasets (such as Preqin, Morningstar, Lipper, etc) in order to enhance reporting on assets and holdings listed in Form 5500 filings.

8. Experience in database administration, and providing database access to external customers either directly or via a web interface, including trainings and other technical support describing how to use their product.

Please note that a person may embody multiple skills.

The contract manager may not be removed or replaced without the written consent of the Government. The contractor shall ensure that all employees assigned to key personnel positions are retained in those positions for at least 180 days following Government approval of their resumes unless the person leaves the contractor’s employment or is incapacitated. Any replacement candidate must have the same or better qualifications as the person released. Resumes of replacement key personnel must be provided and the Government must approve the replacement before that person starts work. Prior to directing any of the key personnel to other projects, the contractor shall provide advance written notification of at least 14 calendar days to the COR and submit justification (including proposed substitutions) in sufficient detail to permit evaluation of the impact on the project. No change shall be made by the contractor without written consent of the COR and ratification by the Contracting Officer.

1.6.9 Post Award Conference/ Periodic Progress Meetings

The Contractor agrees to attend any post award conference convened by the contracting activity or contract administration office in accordance with Federal Acquisition Regulation Subpart 42.5.

1.6.10 Contracting Officer Representative (COR)

A COR will be delegated under separate cover.

1.6.11 Contract Manager

The contractor shall provide a contract manager who shall be responsible for the performance of the work. The name of this person and an alternate who shall act for the contractor when the manager is absent shall be designated in writing to the contracting officer.

The contract manager or alternate shall have full authority to act for the contractor on all contract matters relating to daily operation of this contract.

1.6.12 Identification of Contractor Employees

Contract personnel must ensure that all documents or reports produced by contractors are suitably marked as contractor products or that contractor participation is appropriately disclosed.

1.6.13 DOL Data Rights and Restrictions on Contractor's Use of Data

The FAR 52.227-14 Rights in Data – General will govern DOL’s rights of use in deliverables under the contract.

Any standard commercial agreement that the Contractor intends to execute with DOL for its provision of the subscription service must be provided in response to the solicitation for DOL’s review to ensure that the agreement is consistent with applicable federal laws and otherwise meets DOL’s requirements under the contract. DOL’s acceptance and execution of such an agreement is conditioned on its consistency with applicable federal laws and its terms satisfying the requirements expressed in the contract.

Some information and data provided by DOL to the Contractor for its performance of the contract may contain confidential information that, due to requirements of the Privacy Act of 1974 and/or other federal laws, will be prohibited from being disclosed or used by the Contractor outside the terms of the contract. DOL shall clearly mark such information and/or data prior to providing it to the Contractor and may require that Contractor execute a Nondisclosure Agreement in connection with such information.

The FAR 52.227-16 Additional Data Requirements shall govern situations in which DOL may require the delivery of additional data produced or used in performance of this contract. Essentially, the Contracting Officer may, at any time during contract performance or within a period of 3 years after acceptance of all items to be delivered under this contract, order any data first produced or specifically used in the performance of this contract. DOL’s rights in such data shall be governed by the Rights in Data – General, as discussed in the first paragraph, above.

PART 2 DEFINITIONS & ACRONYMS

CO. Contracting Officer.

Contracting Officer’s Representative (COR). A representative from the requiring activity assigned by the Contracting Officer to perform surveillance and to act as liaison to the contractor

Defective Service. A service output that does not meet the standard of performance associated with it in the Performance Work Statement.

DOL. Department of Labor

EBSA. Employee Benefits Security Administration

PWS. Performance Work Statement

Quality Assurance. Those actions taken by the government to assure services meet the requirements of the Performance Work Statement.

Quality Assurance Surveillance Plan (QASP). An organized written document specifying the surveillance methodology to be used for surveillance of contractor performance.

PART 3 GOVERNMENT FURNISHED PROPERTY, EQUIPMENT, AND SERVICES

3.1 General

The government shall provide the facilities, equipment, materials, and/or services listed below.

3.2 Equipment

The Government will provide all computers and networks to access the data subscriptions by EBSA staff.

PART 4 CONTRACTOR FURNISHED ITEMS AND SERVICES

4.1 General

Except for those items specifically stated to be government furnished in Part 3, the contractor shall furnish everything required to perform this PWS.

PART 5 SPECIFIC TASKS

5.1 Basic Services and Data Elements

These data elements are required to be part of the subscription at the beginning of the period of performance.

EBSA requires both the data outlined below and other pertinent information to be available to EBSA at the start of the contract. This subscription shall be fully functional and available throughout the entirety of the base contract period, and also for the entirety of any option years if exercised by EBSA. The data structure needed and expected access of data for this contract is detailed below.

A. Plan data shall contain no less than the following:

i. Plan data containing plan name, plan assets, active participants, number of investment options, advisor information, and region.

ii. Other data about the funds held by the plan, including fund allocation data, ticker symbol, fund balance, fund type, adviser information, industry information, and recordkeeper information.

B. Adviser/consultant and recordkeeper data shall contain no less than the following:

i. Distribution data containing total DC distribution, plan count, average plan size, distribution by plan size (assets/participants), geographic breakdown (plan map), and industry breakdown.

ii. Fund data containing fund name, manager information, asset class, plan count, and total asset data.

iii. Linkages of investment advisors between the Form 5500 and the Form ADV.

C. Asset manager data shall contain no less than the following:

i. Distribution data containing total DC distribution, contractor rankings and awards, top funds data, geographic breakdown (plan map), distribution by plan size data, general plan data, menu capture data, and investment vehicle data.

ii. Funds data containing fund name, distribution amounts, plan counts, total assets, average number of participants, average plan assets, menu capture data, and average plan holding data.

iii. Territory map containing color coded US map and territory breakdown by salesperson.

D. Advisor regulatory filing information shall contain no less than the following:

i. Registered Investment Advisers (RIAs) and Broker-Dealers (BDs) data containing primary name, alias name, IARD/Central

i. Registration Depository (CRD) number, SEC file number, addresses, phone numbers, website addresses, assets under management, fee arrangements, client types, Affiliated Investment Adviser Representatives or Affiliated Registered Representatives, state registrations, advisory activities, other business activities, financial industry affiliations and private fund reporting, Participation or Interest in Client Transactions, custody information, Control Persons data, and disclosure information.

ii. Investment Adviser Representatives (IARs) and Registered Representatives (RRs) Data containing full name, CRD number, address, phone number, assets under management, email address, current firm registration, registration and employment history, state registrations, industry exams passed, affiliation data, and customer disputes, Disciplinary and Regulatory Events data.

E. Fund distribution data shall contain no less than the following:

i. General data containing total DC distribution (includes share of total fund assets in DC plans and category averages), Contractor Distribution Rankings and Awards data, Consultants and Advisors data, recordkeeper distribution data, geographic breakdown, distribution by plan size, industry distribution data, investment vehicle breakdown data (such as value of assets held by investment vehicle type), number of plans, average plan size, average plan holding, asset class information, total menu information, and fees and revenue sharing data.

ii. Consultants’ and Advisers’ names, total compensation, and assets.

iii. Recordkeepers’ names, total assets, distribution shares, and plan count information.

F. Data search functionality shall include:

i. Funds search criteria by distribution, performance, fees, geography, and other pertinent information.

ii. Asset managers search criteria by distribution, geography, and other pertinent information.

iii. Plans search criteria by plan ratings, company information, financial data, investment menu, participant data, and service provider information.

iv. Service provider search criteria by distribution, investment menu, service provider information, and other pertinent information.

G. Miscellaneous EBSA-specific needs:

i. One specific headquarter location for multi-location companies.

ii. Spread of the assets into various specific geographic locations.

iii. Specific indicator for Taft-Hartley plans.

iv. EBSA regional indicators.

v. Quarterly data feeds, including having the majority of data elements available through web access.

The plan data should cover a significant portion of the ERISA plans filing Form 5500s, at least data on 30,000 to 40,000 employee benefit plan Form 5500 filings. Mapping to financial information through IARD/CRD numbers should be available for at least 9,000 entities.

5.2 Additional Services and Data Elements

These data elements are not required but will be factored into the evaluation of the overall product.

A. Welfare Plan Information

i. Fees associated with health and welfare plans

ii. Information on service providers (such as brokers and carriers) associated with welfare plans

iii. Data on the number of participants, premiums and plan funding

B. Supplemental Financial Data

i. Integrating data from outside financial datasets (such as Preqin, Morningstar, Lipper, etc) in order to enhance reporting on assets and holdings listed in Form 5500 filings.

ii. Information on hedge funds, private equity, and other alternative assets.

iii. Data on Master Trust investment Accounts.

5.3 Tasks

The tasks described below shall be completed during the base year and during each option year that may be exercised by the Government.

EBSA seeks a subscription contract that will consist of a one (1) year base period with two one (1) year option periods to be exercised at the option of the Government; the contract will entail multiple tasks. The contractor shall provide a subscription containing the specified data elements and the necessary maintenance during the entirety of this contract, and training and analysis tasks. The contractor shall furnish the necessary personnel, materials, services, facilities, and all other things necessary to aid EBSA in performing tasks critical to the our mission. The following sections describe the tasks and associated deliverables.

Task 5.3.1: Initial Project Meeting

Within two weeks of the start of the period of performance, the contractor shall meet, either in person or by telephone, with the COR, the Office of Enforcement contact, and any other relevant staff to clarify the project objectives, scope of work, deliverables, requirements, and any questions the contractor may have regarding the project. The contractor shall be prepared to discuss any issues pertinent to this project. During the meeting, communication procedures will be outlined as agreed upon by both parties. OPR will present all initial specific analyst queries, analysis of data, and/or enhancements to the subscription and web applications as well as any planned future analysis to the extent possible at the initial project meeting. Within two (2) weeks following the initial meeting, the contractor shall submit a memorandum summarizing the meeting and any conclusions or decisions that resulted.

Deliverables:

5.3.1.1 Briefing: Initial Project Meeting, due 2 weeks after the start of the period of performance.

5.3.1.2 Memorandum: Summary of Initial Project Meeting, due 2 week after meeting.

Task 5.3.2: Provide EBSA users with subscription access

The contractor shall provide EBSA staff with subscription access either directly to a given database or through a web application at the beginning of the period of performance. This will enable EBSA staff to independently query data on plans, financial advisors, assets, geographical locations, and other general plan information.

Task 5.3.2.1: Five "Super-Users"

A minimum of 5 authorized “super-users” from EBSA will have direct contact with the contractor in addition to access to the subscription. The contractor shall allow the 5 authorized users to have direct contact to designated contractor staff for questions and answers. These 5 authorized users, for all purposes, may be thought of as “super-users.” These 5 EBSA “super-users” will be responsible for compiling all non-technical support questions relating to the subscription to the contractor and will serve as facilitators between all EBSA standard users and the contractor. However, in rare cases when the non-technical support issue is critical and time sensitive and “super-users” unavailable, the standard users will be permitted to contact the designated support staff.

Task 5.3.2.2: Standard Users

An additional 35 users will have direct access to the subscription or web application; however, these users may not contact the contractor directly. When questions relating to the contractor subscription arise (except technical support questions), the standard users will direct their questions to the “super-users”. However, in rare cases when the non-technical support issue is critical and time sensitive and “super-users” unavailable, the standard users will be permitted to contact the designated support staff.

Task 5.3.2.3: Training

The contractor shall provide initial training and demonstration of the subscription web application to both “super-users” and standard users of the subscription, and also semiannual training thereafter. Due to the number of the participants, there may need to be 2 separate training events. The training may be in-person or web-based. Follow-up questions (except those related to technical support) after the training will be directed to the “super-users”, who will communicate with the contractor. However, in rare cases when the non-technical support issue is critical and time sensitive and “super-users” unavailable, the standard users will be permitted to contact the designated support staff.

Task 5.3.2.4: Technical Support

The contractor shall provide EBSA technical assistance with the initiation and use of the subscription, the identification of problems, and the reporting of issues during a regular set of at least eight business hours each work day Monday through Friday, excluding Federal holidays. The exact support hours will be agreed upon during the initial project meeting (e.g. Monday to Friday, 9:00 AM to 5:00 PM Eastern or Pacific Time). The contractor shall provide defect tracking, software diagnosis, and software problem analysis and resolution over the telephone and via e-mail. The 35 standard users shall be permitted to send technical support issues directly to the designated technical support staff. However, the 35 standard users will send non-technical support issues through the “super-users”.

But in rare cases when the non-technical support issue is critical and time sensitive and “super-users” unavailable, the standard users will be permitted to contact the designated technical support staff regarding a non-technical support issue.

Task 5.3.2.5: Updates to the Subscription

If the Contractor makes updates or additions to the underlying data upon which the subscription is based, then the Contractor shall also make the same updates and additions to the subscription. For example, if the Contractor were to incorporate newly filed Form 5500 data and include additional linking/matching data between service providers, then the Contractor shall also make the newly filed Form 5500 data and the additional linking/matching data between service providers available via the subscription.

Deliverables:

5.3.2.1 Five “Super-Users” will be given access to both the subscription and designated contactor staff, due at the beginning of the period of performance.

5.3.2.2 An additional 35 standard users will be given access to the subscription, due at the beginning of the period of performance.

5.3.2.3 Training, due within six (6) weeks of the beginning of the period of performance and semiannually thereafter.

5.3.2.4 Access to email and telephone technical support, due at the beginning of the period of performance.

5.3.2.5 Updates to the subscription, due when updates are made to underlying data.

Task 5.3.3: Provide Specific Custom Analyses

EBSA shall contact the contractor for specific custom queries that are not supported in the subscription or are otherwise not feasible for EBSA staff to create. These custom queries will be due as soon as reasonable after the request depending on data availability and complexity. If EBSA determines that the results are not satisfactory or that other variables are needed, the contractor shall modify the output to accommodate EBSA’s needs.

The contractor shall provide at least 40 hours of analyst support to run various data queries using the edited Form 5500 data and related other data. These analyses could include matching the edited Form 5500 data with other data sets or non-matched variables of existing data structures (e.g. Form ADV) or could include specialized regional distributions of service providers. Neither the time spent maintaining the subscription nor the time spend providing technical support to EBSA for the web application or direct database access shall be counted against these 40 hours of analyst support.

Deliverables:

5.3.3.1 Memorandum - Results of custom analyses or ad-hoc data requests: due, as needed (TBD).

Task 5.3.4: Monthly Analyst Time Reports and Ongoing Communication

The contractor will prepare brief monthly reports to be conveyed to the COR via e-mail, documenting the analyst support labor hours used during the month and the specific request or query accomplished using that time. The focus of the reports is on the use of the hours of analyst support discussed in Task 3. These monthly reports will detail the specific work done to accomplish tasks, problems encountered, work anticipated in the coming month (if known), the number of labor hours expended each month, and any budgetary or substantive issues requiring the COR’s action. The labor hour data in the monthly progress reports will include analyst support labor hours used during the reporting period and to date, and the proportion of analyst support labor hours expended in relation to the total number of analyst support hours.

In addition to these written monthly reports, the contractor is expected to communicate informally, by phone and e-mail, with the COR as needed.

Deliverables:

5.3.4.1 Monthly Progress Reports: due, monthly.

TECHNICAL EXHIBIT 1

PERFORMANCE REQUIREMENTS SUMMARY

Performance Objective Standard Performance Threshold Method of

Surveillance

PRS # 1.

Initial Project Meeting and subsequent summary memorandum.

Meeting occurs on time and memorandum submitted on time.

COR makes no more than 2 valid written complaints during the period of performance. No more than a two-week delay in agreed upon schedule.

100% inspection by COR

PRS # 2

The contractor shall provide EBSA staff with subscription access either directly to a given database or through a web application at the beginning of the period of performance. This shall include access to five “super-users” and 35 other users.

The contractor shall provide training and demonstrations. The contractor shall provide technical support. The contractor shall provide updates to the subscription.

Data subscription contains required elements and is available to users throughout period of performance. Trainings and demonstrations are useful and presented on time.

Updates are provided when the underlying data is updated.

COR makes no more than 2 valid written complaints during the period of performance. No more than a two-week delay in agreed upon schedule.

100% inspection by COR

PRS # 3

The contractor shall provide specific custom analyses and/or ad-hoc data requests.

The contractor shall submit accurate and timely custom analyses or ad-hoc data requests. Specific requests shall be determined.

COR makes no more than 2 valid written complaints during the period of performance. No more than a two-week delay in agreed upon schedule.

100% inspection by COR

PRS # 4

The contractor shall provide monthly progress reports.

The contractor submits progress reports that are detailed and timely.

COR makes no more than 2 valid written complaints during the period of performance. No more than a two-week delay in agreed upon schedule.

100% inspection by COR

TECHNICAL EXHIBIT 2

DELIVERABLES SCHEDULE

Deliverable Title Due Date

5.3.1.1 Briefing: Initial Project Meeting Within 2 weeks of the beginning of Period of Performance

5.3.1.2 Memorandum: Summary of Initial

Project Meeting Two weeks after meeting

5.3.2.1 Five “super-users” given access to

subscription and designated contractor staff

Beginning of Period of Performance

5.3.2.2 35 standard users given access to subscription

Beginning of Period of Performance

5.3.2.3 Training and demonstration on use

of subscription

Within 6 weeks of the beginning of Period of Performance, and semiannually thereafter

5.3.2.4 Access to email and telephone technical

support

Beginning of Period of Performance

5.3.2.5 Updates to subscription As updates are made to underlying data

5.3.3.1 Memorandum: Results of custom analyses

or Response to Ad-Hoc data requests As needed (TBD)

5.3.4.1 Monthly Progress Reports Monthly

D - Packaging and Marking

N/A

E - Inspection and Acceptance

52.246-6 Inspection - Time-and-Material and Labor-Hour. (MAY 2001)

F - Deliveries or Performance

The Contractor shall submit deliverables in accordance with PWS Technical Exhibit 2.

G - Contract Administration Data

N/A

H - Special Contract Requirements

1. Data Ownership/ Data Rights/ Contractor-Acquired Commercial Software Licenses

1.1 DOL Data Ownership

DOL retains sole ownership of all data for which it provides Contractor access or that the Government places, stores, or generates on applications and/or infrastructure utilized by Contractor in performance of the contract (“DOL-furnished Data”). This includes unprocessed ESI and any transformed ESI, such as when raw ESI is loaded into the EMS.

Contractor shall ensure that, during the term of the contract and for any period of time beyond the contract term that Contractor maintains possession or control of any DOL-furnished Data, DOL retains on demand access and download capability of all data for any purpose, including but not limited to research, investigation, transfer, or migration to other systems.

Contractor shall not use, copy, modify, or distribute to others any DOL-furnished Data, except as required for the performance of the contract, or unless written permission to do so is provided by the Contracting Officer.

Contractor shall provide the Contracting Officer notice immediately of any third-party request for DOL-furnished Data and such a request shall not be fulfilled without the Contracting Officer’s prior written approval.

1.2 Data Rights in Contract Deliverables

Data first produced by Contractor in performance of the contract and deliverable to DOL shall be governed by FAR 52.227-14, Rights in Data-General, as follows:

• For data other than computer software, including computer software documentation and databases, the Government, and others acting on its behalf, reserves a paid-up, nonexclusive, irrevocable, worldwide license in such data to reproduce, prepare derivative works, distribute copies to the public, and perform publicly and display publicly by or on behalf of the Government.

• For computer software, the Government, and others acting on its behalf, reserves a paid-up, nonexclusive, irrevocable, worldwide license in such software to reproduce, prepare derivative works, and perform publicly and display publicly (but not to distribute copies to the public) by or on behalf of the Government.

Data not first produced by Contractor in performance of the contract that is deliverable to DOL, except for pre-existing commercial computer software, also shall be governed by FAR 52.227-14, Rights in Data-General. For such data, the Government reserves the same rights identified above for applicable data first produced under the contract, except for: 1) applicable restricted software delivered with the restrictive rights notice of FAR 52.227-14, Alt. III; and/or 2) applicable technical data marked with the limited rights notice of FAR 52.227-14, Alt. II.

Pre-existing Commercial Computer Software deliverable to DOL under the contract shall be governed by the applicable vendor’s standard commercial license to the extent that it is consistent with federal laws and meets DOL’s needs. Otherwise, such software shall be governed by FAR 52.227-19, or if DOL so chooses, by a separate license mutually agreed upon by DOL and Contractor.

I - Contract Clauses

52.202-1 Definitions. (JUN 2020)

52.203-3 Gratuities. (APR 1984)

52.203-5 Covenant Against Contingent Fees. (MAY 2014)

52.203-7 Anti-Kickback Procedures. (JUN 2020)

52.203-12 Limitation on Payments to Influence Certain Federal Transactions. (JUN 2020)

52.203-17 Contractor Employee Whistleblower Rights and Requirement To Inform Employees of Whistleblower Rights. (JUN 2020)

52.204-2 Security Requirements. (MAR 2021)

52.204-4 Printed or Copied Double-Sided on Postconsumer Fiber Content Paper. (MAY 2011)

52.204-13 System for Award Management Maintenance. (OCT 2018)

52.204-21 Basic Safeguarding of Covered Contractor Information Systems. (JUN 2016)

(a) Definitions. As used in this clause-

Covered contractor information system means an information system that is owned or operated by a contractor that processes, stores, or transmits Federal contract information.

Federal contract information means information, not intended for public release, that is provided by or generated for the Government under a contract to develop or deliver a product or service to the Government, but not including information provided by the Government to the public (such as on public Web sites) or simple transactional information, such as necessary to process payments.

Information means any communication or representation of knowledge such as facts, data, or opinions, in any medium or form, including textual, numerical, graphic, cartographic, narrative, or audiovisual (Committee on National Security Systems Instruction (CNSSI) 4009).

Information system means a discrete set of information resources organized for the collection, processing, maintenance, use, sharing, dissemination, or disposition of information (44 U.S.C. 3502).

Safeguarding means measures or controls that are prescribed to protect information systems.

(b) Safeguarding requirements and procedures. (1) The Contractor shall apply the following basic safeguarding requirements and procedures to protect covered contractor information systems. Requirements and procedures for basic safeguarding of covered contractor information systems shall include, at a minimum, the following security controls:

(i) Limit information system access to authorized users, processes acting on behalf of authorized users, or devices (including other information systems).

(ii) Limit information system access to the types of transactions and functions that authorized users are permitted to execute.

(iii) Verify and control/limit connections to and use of external information systems.

(iv) Control information posted or processed on publicly accessible information systems.

(v) Identify information system users, processes acting on behalf of users, or devices.

(vi) Authenticate (or verify) the identities of those users, processes, or devices, as a prerequisite to allowing access to organizational information systems.

(vii) Sanitize or destroy information system media containing Federal Contract Information before disposal or release for reuse.

(viii) Limit physical access to organizational information systems, equipment, and the respective operating environments to authorized individuals.

(ix) Escort visitors and monitor visitor activity; maintain audit logs of physical access; and control and manage physical access devices.

(x) Monitor, control, and protect organizational communications (i.e., information transmitted or received by organizational information systems) at the external boundaries and key internal boundaries of the information systems.

(xi) Implement subnetworks for publicly accessible system components that are physically or logically separated from internal networks.

(xii) Identify, report, and correct information and information system flaws in a timely manner.

(xiii) Provide protection from malicious code at appropriate locations within organizational information systems.

(xiv) Update malicious code protection mechanisms when new releases are available.

(xv) Perform periodic scans of the information system and real-time scans of files from external sources as files are downloaded, opened, or executed.

(2) Other requirements. This clause does not relieve the Contractor of any other specific safeguarding requirements specified by Federal agencies and departments relating to covered contractor information systems generally or other Federal safeguarding requirements for controlled unclassified information (CUI) as established by Executive Order 13556.

(c) Subcontracts. The Contractor shall include the substance of this clause, including this paragraph (c), in subcontracts under this contract (including subcontracts for the acquisition of commercial items, other than commercially available off-the-shelf items), in which the subcontractor may have Federal contract information residing in or transiting through its information system.

(End of clause)

52.204-25 Prohibition on Contracting for Certain Telecommunications and Video Surveillance Services or Equipment. (AUG 2020)

(a) Definitions. As used in this clause-

Backhaul means intermediate links between the core network, or backbone network, and the small subnetworks at the edge of the network (e.g., connecting cell phones/towers to the core telephone network). Backhaul can be wireless (e.g., microwave) or wired (e.g., fiber optic, coaxial cable, Ethernet).

Covered foreign country means The People's Republic of China.

Covered telecommunications equipment or services means-

(1) Telecommunications equipment produced by Huawei Technologies Company or ZTE Corporation (or any subsidiary or affiliate of such entities);

(2) For the purpose of public safety, security of Government facilities, physical security surveillance of critical infrastructure, and other national security purposes, video surveillance and telecommunications equipment produced by Hytera Communications Corporation, Hangzhou Hikvision Digital Technology Company, or Dahua Technology Company (or any subsidiary or affiliate of such entities);

(3) Telecommunications or video surveillance services provided by such entities or using such equipment; or

(4) Telecommunications or video surveillance equipment or services produced or provided by an entity that the Secretary of Defense, in consultation with the Director of National Intelligence or the Director of the Federal Bureau of Investigation, reasonably believes to be an entity owned or controlled by, or otherwise connected to, the government of a covered foreign country.

Critical technology means-

(1) Defense articles or defense services included on the United States Munitions List set forth in the International Traffic in Arms Regulations under subchapter M of chapter I of title 22, Code of Federal Regulations;

(2) Items included on the Commerce Control List set forth in Supplement No. 1 to part 774 of the Export Administration Regulations under subchapter C of chapter VII of title 15, Code of Federal Regulations, and controlled-

(i) Pursuant to multilateral regimes, including for reasons relating to national security, chemical and biological weapons…