SOLICITATION_QA_amendment2.xlsx
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- Attached to
- RFP for Quantitative Research Analytical Data Support (QRADS) Federal contract opportunity
- Solicitation number
- 50310218R0002
- Issued by
- Securities and Exchange Commission
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UPDATED SOLICITATION QUESTIONS AND ANSWERS 2-1-2018
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Sheet1 QRADS RFP Q&A January 10, 2018
| ID | Question | RFP Section | Paragraph(s) | Page(s) | Government Response | |
| 1 | Do teaming arrangements require a certain percentage of work to be performed by the prime or subcontractor? Can teaming arrangements be split 50%/50% between the two entities? | L.9.2. | Tab E | 84 | For Channel 1, FAR Clause 52.219-14, "Limitations on Subcontracting", is applicable, which states that, "At least 50 percent of the cost of contract performance incurred for personnel shall be expended for employees of the concern." As for all other channels, the Prime must perform a majority of the work for the channel. | |
| 2 | Under Channel 2, will the Project Manager be required to work on-site on daily basis? | Attachment L-6 | F. | 7 | Generally, the Project Manager is expected to be on-site during regular work hours. The government is open to negotiating the actual work schedule, as appropriate. | |
| 3 | Under Channel 3, will the Project Manager be required to work on-site on daily basis? | Attachment L-7 | F. | 10 | Generally, the Project Manager is expected to be on-site during regular work hours. The government is open to negotiating the actual work schedule, as appropriate. | |
| 4 | Is the Declaration for Federal Employment required with the proposal submission? | Attachment H-3 | - | - | No. | |
| 5 | For Key Personnel Resumes/Proposal Submission Purposes: Channels 1-5 require a Project Manager (PM), is the SEC expecting this to be the same person or 5 different PM’s for each channel? Can the SEC also confirm that Channels 3 and 4 only require a PM as Key Personnel. | H.19.1 (SEC 6010.01) Key Personnel | 1 | 50, 51 | Each Task Order will require a project manager, and the Key Personnel set out for each channel give the specific backgrounds being sought for the project manager for that channel. If an individual satisfies the requirements for more than one channel, it is fine to submit that person more than once. Channel 3 specifies the PM as Key, but also look at the other sample skillsets we have provided associated with that Channel. Channel 4 projects tend to be diverse, so only the PM was listed as Key. The individual Task Orders will provide guidance on potential supporting personnel. | |
| 6 | Would the government consider a 10 to 15 day extension on the due date? | L.4.2 | 1 | 73 | The proposal due date has been extended. Please see the amendment. | |
| 7 | There are only three volumes described in L.8.2, so it is unclear what the fourth volume is referring to in the referenced instruction—please clarify. | L.9 | 1 | 78 | L.9 has been updated as there are only 3 volumes. It now only has two volumes. Fix this response. | |
| 8 | If a single client organization is requested to complete a PPQ for more than one Channel, is it possible to have them submit only one and indicate in the transmittal email which Channel(s) it applies to vs. submitting individual versions with the specified extensions? This would alleviate additional effort on the client’s part and minimizes potential errors in adherence to submission requirements. | Tab F–Past Performance | 2 | 85 | No, a separate questionnaire must be submitted for each channel. | |
| 9 | Can the Government please advise if a hard copy submission is required? Solicitation states 'The Government will acknowledge receipt of the hard copy and emailed proposals after the specified RFP closing time.' | L.4.2 | 1 | 73 | Only emailed proposals are required and this has been updated. | |
| 10 | Can the offeror modify Attach L-1 Pricing Template in order to distinguish between Prime Contractor and Subcontractor rates as well as discounts? | L.9.1 | 80 | The content of the tables does not need to be modified. Offerors can simply distinguish between prime and subcontractor categories, rates, and discounts by simply putting in paranthesis the applicable information. For example, Data Analyst (Prime - Company Name). | ||
| 11 | Should an offeror win a Sample Task Order, please confirm awarded rates listed in attachment B-1 will be ceiling rates free from any/all discounts. | L.9.1 | Tab D (3) | 81 | The awarded rates for the IDIQ will be the rates proposed. If the awardee proposes discounted rates for the sample task order and is awarded a task order the discouned rates proposed will be included in the awarded task order. | |
| 12 | Can the Government advise if Prime Contractor and Subcontractors can use the same labor category? | L.9.1 | Tab D (b) | 80 | Yes, they may use the same labor categories. | |
| 13 | If a Prime or Subcontractor Past Performance is relevant and recent for more than one channel, is a PPQ required for that Past Performance for each channel? This could result in a client receiving multiple PPQs for one project. | Attachment L-3 | n/a | 1 | Yes, a PPQ is required for that Past Performance for each channel separately as each channel has its own proposal information and this will avoid confusion when the government conducts its evaluation which will be per channel. See 8. | |
| 14 | The Government mentions that the sample tasks are included for evaluation purposes, however included Sample Task Order Award evaluation in Section M, specifically M4. Please clarify. | Notice Letter/ Section M | First | 2 of 93 | The sample tasks are included for evaluation purposes for the IDIQ awards; however, the sample tasks may also result in task order awards if the government chooses to award one or more task orders and that is why evaluation criteria is included. | |
| 15 | What is the format and instruction for the “cross reference matrix”? | Section L.8.2 | Table | 79 | This has been removed from the table and is not required. | |
| 16 | FBO notice, 5th paragraph due time “ Proposals (in their entirety), BOTH hard and electronic copies are due NO LATER THAN 11:00 A.M. Eastern Standard Time on January 26, 2018 to the address in RFP Section L.4.2.” does not match the solicitation requirements in section L.4. Please correct. | Section L.4 | First | 74 | Please see updated proposal response due date and time in FBO notice and RFP amendment. | |
| 17 | FBO notice, 5th paragraph delivery requirement “ Proposals (in their entirety), BOTH hard and electronic copies are due NO LATER THAN 11:00 A.M. Eastern Standard Time on January 26, 2018 to the address in RFP Section L.4.2.” does not match the solicitation requirements in section L.4.2. Please confirm that offerors do not need to submit hard copies of the proposal. | Section L.4.2 | First | 75 | Please see updated proposal response due date and time in FBO notice and RFP amendment. | |
| 18 | The section references 4 volumes while the instruction is to submit 3 volumes. Please correct. | Section L.9 | First | 80 | Corrected. | |
| 19 | We request that the Government remove the requirement for letter of commitment for key personnel if the Task Orders are for evaluation purposes only. | L.9.2 | First | 84 | This will not be removed as the government reserves the right to award one or more task orders based on the sample task order submissions. | |
| 20 | Does the government still intend to release QRADS as a rolling solicitation? | Yes, the SEC still intends to use the rolling solicitation process and is developing the language regarding this process. This language will be provided via a future amendment to the solicitation. | ||||
| 21 | Will the government please provide more information about the SEC’s SDLC methodology? | The SEC Office of Information Technology follows a familiar software development lifecycle as performed in most IT departments, with appropriate technical review boards to provide oversight throughout the lifecycle. The program will provide guidance to the contractors to help guide them through the SDLC. | ||||
| 22 | Based upon the previous QRADS contract, can you estimate the percentage of time allocated to the development of new models as opposed to the improvement of existing models? | It is anticipated that there will continue to be refinements to existing models, as well as the development of new applications. A typical project might be the operationalization of code developed in-house for wider use in the agency. It is difficult to estimate the percentage of time allocated to each. | ||||
| 23 | How are often are current risk assessment models evaluated, recalibrated, and validated? | C.1 | 1 | 14 | There is currently no standard approach or timing to model calibration and validation at the SEC. | |
| 24 | Can you speak to the importance of descriptive statistics, trend analysis, and data visualization and the role each play when developing risk assessment models? | C.1 | 1 | 14 | Risk assessment models take into account a number of different factors, of which statistics, trend analysis and data visualization may play a part. | |
| 25 | Are commercial and non-commercial financial data housed within any other environments other than Oracle, Netezza, and/or Hadoop? | C.1 | 1 | 14 | Currently, those platforms are housing SEC data. | |
| 26 | QRADS 2018 speaks of expanding streams of commercial and regulatory data. Are these additional streams of data extracted from internal or external sources? | C.1 | 2 | 14 | It is anticipated that additional data streams will be both internal and external. | |
| 27 | Is the role of the contractor strictly theoretically and methodologically based, or will the contractor aid in the hands-on implementation of the mentioned activities? | C.4.2 | First | 18 | This Channel anticipates hands-on implementation. | |
| 28 | Can you speak to the importance of existing familiarity of Federal securities laws and the role such knowledge plays with respect to the analytic tasks mentioned within Channel 2? | Task Order 2 C 1 | First | 2 | The applications developed in this Channel support the mission of the SEC; understanding the role and mission of the SEC (and the related securities laws) would enhance the understanding of the use of the tools being developed as well as the ability to provide suggestions and recommendations for additional features and uses. | |
| 29 | Within Channel 2, the SOW notes that all data sets are housed within databases residing in the SEC network. Are all analyses to be executed within the confines of the SEC network? If so, can you speak to any required trainings, certifications, and/or licensures that are expected to be completed by the contractor prior to accessing data sets residing in the SEC network? | Task Order 2 | All analyses are expected to be conducted within the SEC network. All contractors, upon joining the project, must complete training with respect to understanding and complying with the SEC's financial, security and technology requirements. | |||
| 30 | How often and data sets housed within the SEC network updated? Specifically, the commercial, non-commercial, and regulatory data sets. | Task Order 2 D | 4 | 5 | The data sets are updated as made available from the commercial vendor or from regulatory bodies; the timing of these vary widely from daily to weekly to monthly. | |
| 31 | Would the Government consider either: (a) Excluding Past Performance from the 25 page limit and allowing and additional three (3) pages for Past Performance; or (b) If Past Performance is included in the 25 page limit, Past Performance be limited to three (3) pages? | L.8.2 General Format Instructions | VOLUME II: Corporate/Technical/Management and Past Performance Total Page Limit is 25 pages | 77 | Please see updated Section L regarding the page limit. | |
| 32 | Would the Government limit the resumes to three (3) pages and the Letters of Commitment to one (1) page? | L.8.2 General Format Instructions | VOLUME II: CORPORATE/TECHNICAL/MANAGEMENT AND PAST PERFORMANCE TOTAL PAGE LIMIT (EXCLUDING THE COVER LETTER, TABLE OF CONTENTS, RESUMES, CROSS REFERENCE MATRIX, LETTERS OF COMMITMENT, AND SUBCONTRACTOR TEAMING AGREEMENTS) TOTAL PAGE LIMIT – 25 | 77 | Page limits have been added to Section L for resumes and letters of commitment. 3 page limit for resumes and 2 page limit for letters of commitment. | |
| 33 | Will the Government please confirm the Cross Reference Matrix is the same as a Compliance Matrix? | L.8.2 General Format Instructions | ||||
| VOLUME II: CORPORATE/TECHNICAL/MANAGEMENT AND PAST PERFORMANCE TOTAL PAGE LIMIT (EXCLUDING THE COVER LETTER, TABLE OF CONTENTS, RESUMES, CROSS REFERENCE MATRIX, LETTERS OF COMMITMENT, AND SUBCONTRACTOR TEAMING | ||||||
| AGREEMENTS) TOTAL PAGE LIMIT – 25 | 77 | This matrix is not required. See updated Section L. | ||||
| 34 | Will the Government please confirm there are only three (3) volumes? |
VOLUME I – GENERAL INFORMATION/COST PRICE
VOLUME IICORPORATE/TECHNICAL/MANAGEMENT AND PAST PERFORMANCE
VOLUME III – SMALL BUSINESS SUBCONTRACTING PLAN
| L.9 | ||||||
| Format and Instructions for Proposal Submission | Offerors’ proposals shall consist of four (4) separate volumes for each Channel proposed with the total number of pages for each proposal volume as listed in the table in Section L.8.2. Offerors | 78 | There are now actually only 2 volumes. Please see updated Section L. | |||
| 35 | If the Offeror and its Subcontractors, or JV and its Subcontractors, mutually agree to one set of fully burdened ceiling labor rates for ALL key and non-key labor categories (as appropriate) inclusive of all contract periods, may Offerors submit a single set of rates? | Tab D – Cost/Price Proposal | ... the Offeror must establish fixed hourly rates using separate rates for each category of labor to be performed by each Subcontractor and for each category of labor to be performed by the Offeror, and for each category of labor to be transferred between divisions, subsidiaries, or affiliates of the Offeror under a common control. The fully-burdened labor rates include all direct labor and indirect costs applicable to that direct labor (such as fringe benefits, overhead, and G&A), and profit. | 80 | Yes. | |
| 36 | Will Prime Offerors be required to submit a minimum of one (1) Past Performance thereby allowing a maximum of two Past Performance submissions by Subcontractors? | Tab F –Past Performance | The Government will evaluate relevant past performance of each Offeror. The Offeror shall identify three (3) contracts/task orders with the Federal Government or Industry that demonstrate recent and relevant past performance | 84 | If a Prime chooses to submit past performance for their subcontractor the Prime offeror may submit two (2) maximum Past Performance references thereby allowing a maximum of one (1) Past Performance submission by their Subcontractor. See updated Section L. | |
| 37 | Will the Government please clarify if the Offeror must complete: |
(a) a total of three PPQs the entire proposal?
(b) a total of three PPQs per Channel?
(c) a total of three PPQs per Sample Task Order?
(d) some combination of (a) - (c)
(e) other?
| Tab F –Past Performance | The Offeror must complete its part of the Past Performance Questionnaire that is attached to this RFP and provide it to no more than three (3) references (government or industry). | 84 | The Offeror may complete a maximum of three PPQs per Channel. Also see question 8 and question 145. | ||
| 38 | If an Offeror's Past Performance covers and is relevant to more than one Channel, will only one PPQ for that Past Performance be required? | Tab F –Past Performance | The Offeror must complete its part of the Past Performance Questionnaire that is attached to this RFP and provide it to no more than three (3) references (government or industry). | 84 | No, separate PPQs must be provided for each Channel. |
| 39 | Would the Government clarify if these examples apply to the IDIQ as stated in the narrative, or are they examples for personnel in Channel 3 as stated in the Attachment title? If the latter, will the Government provide good examples of personnel positions for relevant tasks placed under Channels 1, 2, 4, and 5? | Attachment L-2-1 Recommendation for Channel 3 - Sample Personnel | The following personnel positions are good examples of personnel positions for relevant tasks placed under this IDIQ. | 123 | They are good examples for the Channel 3 IDIQ and any resultant Channel 3 task orders. |
| 40 | Where in the proposal, and in what format, should the detailed burn rate be provided? | STO 1, |
D. DELIVERABLES
The contractor shall submit a detailed work breakdown structure and burn rate to accomplish the objectives of this project.
STO, pg. 3
| Submit this information in Volume II. | ||
| 41 | There are no tables provided. Would the Government please provide the tables? | STO 1, |
D. DELIVERABLES
The contractor shall prepare deliverables specific to the Tasks as shown in the tables below 143 STO 1, pg 5
| The tables have been updated and are in the revised sample tasks statements of work incorporated into the RFP amendment. | |
| 42 | Are Offerors required to submit Encl 2, Non-Disclosure Agreement (Contractor Entity) as part of their proposal or is this Enclosure only for use after contract award? |
If it is to be submitted with the proposal, in which Volume should it be submitted?
| Enclosure 2 | Non-Disclosure Agreement (Contractor Entity) | 95 | It shall be submitted in Volume I. See the updated Section L.9. |
| 43 | Are Offerors required to submit Encl 2, Non-Disclosure Agreement (Contractor Personnel) as part of their proposal or is this Enclosure only for use after contract award? |
If it is to be submitted with the proposal, what contractor personnel are required in which Volume should it be submitted?
| Enclosure 2 | NON-DISCLOSURE AGREEMENT (CONTRACTOR PERSONNEL) | 103 | This is only to be completed and submitted after award if the vendor receives a task order award. | ||
| 44 | Will the Government please confirm this Release if for use after contract award and is not to be submitted with the proposal? | Authorization for Release of Credit Information | 107 | That is correct. This is only to be completed and submitted after award if the vendor receives a task order award. | |
| 45 | Can SEC share a list/diagram, versions of platform/tools included in the scope of Channel 3? | C.4.3 Channel 3: Database Development and Maintenance | 18 | This information will be shared with the winning bidder. | |
| 46 | Section L.4 on page 72 states that the proposal is due electronically via e-mail. |
However, Section L.4.2 references the Government's acknowledgement of receipt of the hardy copy of the proposal.
Also, the FBO notice on 12/26 states that both hard and electronic copies are due on January 26, 2018 to the address in RFP Section L.4.2.
Will the government please clarify whether hard copies are required?
| Section L.4 | Para 1 | 72 | Hard copies are not required, only electronic copies. |
| 47 | According to Section L.8.2, paragraph 1 on page 75, "Offerors shall furnish the proposal in three (3) separate volumes for each proposed Channel. |
However, in Section L.9, paragraph 1 on page 78, the instructions state that "Offeror's proposals shall consists of four (4) separate volumes for each Channel proposed… Would the government please confirm that there are only 3 volumes (Volume I: General/Cost; Volume II: Technical/Management; and Volume III Small Business Subcontracting Plan)?
| L.8.2 | Para 1 | 75 | See revised Section L. There are only 2 volumes now. |
| 48 | Section L.9.2 (Volume II) Tab A, page 82. The Title of Tab A is: “Cover Letter, Table of Contents and Sheet Identifying Proposed Channel.” The RFP does not provide a description of the Sheet.. Also, the Sheet does not appear in the Volume II Proposal Organization Table in Section L.8.2 on page 77. |
What information should this Sheet contain?
| Section L.9.2 Tab A | 82 | This sheet is not required any longer. See updated Section L. | |
| 49 | Page 83 Tab D (5) states, "A work breakdown structure and schedule that describes how the Offeror will successfully complete the requirements of the sample task order. The work breakdown structure shall identify the proposed personnel, their labor categories, and hours proposed to accomplish the requirements of the sample task order." |
In the absence of detailed requirements, will the government please provide the current level of support for each sample task order?
| L.9.2 Tab D | Item #5 | All of the task orders except Channel 3 are new projects and do not have existing levels of support. The Task Order for Channel 3 lists the data sets currently being supported under the existing Task Order. |
| 50 | Whether each sample task order is time & material or firm-fixed price is not clear; more information is needed in order to provide estimated hours pricing. |
If the sample task orders will be issued on a time and material basis, then will the government consider requiring vendors to provide only proposed labor categories and rates, rather than estimated hours?
If the government is leaning towards firm-fixed price Task Orders, then will the government please provide more tasking details for the level of effort estimation?
| L.9.2 Tab D | Item #5 | The sample tasks are Time-and-Materials. See the contract type in the sample tasks Statements of Work. The SEC requires the submission of labor categories, rates, and estimated hours. |
| 51 | All of the Sample Tasks, Section D Deliverables, state, "The contractor shall prepare deliverables specific to the Tasks as shown in the tables below. |
The only sample task that provides a deliverables table is Channel 3. Will the government please provide a deliverables table for the other Sample Tasks so that we may properly scope out the work?
| All Sample Tasks Section D, Deliverables | Please see the updated Statements of Work for the sample tasks as the tables have been added. | ||||
| 52 | Is Channel 2 Sample Task currently being performed now? If so, who is the incumbent, and how many FTEs are supporting it? | Channel 2 Sample Task | There is no current project nor incumbent for this project. | ||
| 53 | Is Channel 3 Sample Task currently being performed now? If so, who is the incumbent, and how many FTEs are supporting it? | Channel 3 Sample Task | The current incumbents are Vencore Labs and Inode Ink Corporation. | ||
| 54 | Is Channel 4 Sample Task currently being performed now? If so, who is the incumbent, and how many FTEs are supporting it? | Channel 4 Sample Task | There is no current project nor incumbent for this project. | ||
| 55 | Is Channel 5 Sample Task currently being performed now? If so, who is the incumbent, and how many FTEs are supporting it? | Channel 5 Sample Task | There is no current project nor incumbent for this project. | ||
| 56 | Can you share more details of ATLAS Text Analytics platform being used in the Channel? | SAMPLE TASK CHANNEL 5 SECTION C – STATEMENT OF WORK Channel 5 Analytical Methods and Support | 1 | There is no current text analytics project or platform to describe. | |
| 57 | Suggested non key personnel labor categories are provided for Channel 3. Will the government provide suggested labor categories for the other channels? | Attachment L-2-1 Recommendation for Channel 3 Sample Personnel | No. The offerors shall assess the project and suggest labor categories, skills and experience necessary to fulfill the requirements listed in each channel/task order. Where appropriate, the SEC has indicated which key personnel/labor categories are necessary, e.g., Project Manager, but even that is a minimal requirement and vendors can and should propose additional key personnel as they see fit. | ||
| 58 | Is Agile (i.e. Scrum) the preferred project management methodology? | General | One of the strategic initiatives at the SEC is to advance agile project management methodology across the agency, where it can benefit projects and costs. This RFP is designed to provide that opportunity in the QRADS projects. | ||
| 59 | Will sample task orders be awarded with the IDIQ contract? | RFP Section Letter | Paragraph 1, | 2 | Sample task orders will not be awarded with the IDIQ contract. The government may award one or more task orders very soon after the award of the IDIQ contracts. |
| 60 | In regards to Attachment 1: Non-Disclosure Agreement (Contractor Entity) (up-dated on November 2, 2017), Addendum One, how will the SEC operationalize the Conflict of Interest (COI) plan for bidders with potential COI issues? Put another way, how will SEC functionally implement COI measures to ensure fair procurement practices are enforced? | Any potential conflicts of interest will be evaluated by internal legal staff. The issued RFP will include a conflict of interest clause, and it is the responsibility of the bidder to identify any potential conflicts. All potential vendors will undergo review by the Contracting Officer to determine if there are potential COIs. If that is the case, the vendor may be disqualified, or asked to create a mitigation plan to avoid the conflict. The RFP includes a clause indicating the responsibilities, general rules, and procedures for identifying, evaluating, and resolving organizational conflicts of interest (OCI). An OCI mitigation plan would be required where an actual or apparent OCI is identified. In the event an actual or apparent OCI arises during the performance of the contract, the SEC would work with the contractor and/or contractors to prepare and incorporate an OCI mitigation plan where an adequate plan can be formulated. | |||
| 61 | In regards to RFP Section B.4 – Contract Pricing, Paragraph (a), Page 7: “ the Prime Contractor shall establish fixed hourly rates using separate rates for each category of labor to be performed by each Subcontractor and for each category of labor to be performed by the Offeror”, please confirm if the SEC is expecting the offeror to provide separate pricing for the prime and each subcontractor | The government is not expecting separate pricing; however, the government realizes separate pricing may be proposed if the Prime offeror has a subcontractor with different pricing. | |||
| 62 | In regards to Attachment L-1 Sample Task Pricing Template, does the SEC expect the response for each sample task order to include rates for all options years on the same basis and hours provided for the base period? | Yes. | |||
| 63 | In regards to Attachment L-4 “Small Business Subcontracting Plan Format”, would the SEC confirm if these goals apply to the overall IDIQ level or at each individual task order? | The goals apply at the IDIQ level. | |||
| 64 | There is a fourth volume referenced in L.9—please confirm that the requirement is for submission of three volumes. | RFP | L.9 | 78 | L.9 has been updated as there are only 2 volumes now. |
| 65 | Past Performance write-ups versus questionnaires: |
a. Will the government consider subcontractor past performance and respective questionnaires?
b. Please clarify whether Offerors are being asked for 3 relevant past performances per channel or across all the channels (wherein a past performance may cover multiple channels).
| L.9.2 | 82-83 | a. Yes. See updated section L.9.2. b. Offerors are being asked for 3 relevant past performances per channel. | |
| 66 | Channel 3: |
a. Could the government please expand on what "other file systems" for which the Contractor is requested to perform data management functions?
b. Please provide a copy of the "SEC DERA DataStage Job_Design_Standards_Guide" as part of this procurement and Contractor Bidder’s Library (CBL).
RFP Channel 3 Section C.4.3.2 20 a. As technology advances and changes, there may be a need to provide data management for file systems which cannot be projected at this point. The SEC needs to have the ability to change as technology changes and the Office of Information Technology adopts new platforms or file systems.
b. The Design Standards Guide will be provided to the vendor as part of the project initiation phase.
67 Channel 4:
a. Does SEC have an estimate of the number of reports required for this?
b. How many “internal” reports does SEC currently have?
c. What are the possible data sources that may feed into reporting?
d. Does the Offeror need to include a plan for user adoption of the reporting and analytics solutions?
RFP Channel 4 Section C 4.4.2 20-21 a. No, this is a broad description of the types of projects that may fall under this channel.
B. The SEC has multitudinous internal reports; this Section refers to reports that may designed with respect to a specific project.
C. Potential data sources include commercial data sets, EDGAR XBRL data, and internally generated data sets.
d. The user adoption should be addressed through the communication plan associated with the project, designed in conjunction with the government.
68 Channel 5:
a. Is selection of the tools in-scope of this engagement?
b. Are there any analytic tools currently in-place that we will be expected to use?
c. If yes, please provide details and/or those comprehensive lists.
RFP Channel 5 Section C 4.5.2 21-22 a. The selection of tools will be done in consultation with the SEC SME.
B. Please see the Key Personnel Description (pages 121-122) for Channel 5, Text Analytical Programming Analyst, for expected skillsets with respect to tools.
C. Please see the Key Personnel Description (pages 121-122) for Channel 5, Text Analytical Programming Analyst, for expected skillsets with respect to tools.
69 Section H.15 states that Offeror must demonstrate compliance via a quarterly report with NIST 800-61 as related to protection of PII.
Does this quarterly report apply even if Offeror’s work is performed completely on SEC equipment?
| RFP | H.15 (SEC 6012.05) | 46 | Yes. |
| 70 | In reference to the proposal organizational table for Volume II, the table currently does not have a page count allotment for the work breakdown structure. |
May the Offeror provide the work breakdown structure (WBS) as part of an Appendix, exclusive from the page count for the Volume?
| RFP Section L.8.2 | Paragraph(s) 4 | 79 | L.8.2 has been updated so that the WBS that has to be submitted as part of the Management Approach and is not included in the page count. |
| 71 | In section C.6 Task 3, the second paragraph indicates that ‘…may be asked to develop additional reports or reporting capability using Python.’ |
a. As Python has a large and diverse ecosystem of supporting libraries and capabilities, are there any restrictions to the tools or libraries that may be used within that environment?
b. Further, emerging technologies may allow or require specialized hardware/infrastructure in the form of advanced processor support or programmable hardware – is it anticipated and expected that any requests for additional capability that requires these tools would include access to them?
RFP Attachment L-6, Channel 2 Sample Task SOW Section C.6, Paragraph(s) 2, 150 A. Whatever restrictions that exist will be communicated to the winning bidder.
B. The government will provide access to tools needed for the projects.
72 Non-functional requirements are not called out explicitly within the scope of the sample task order.
Is it expected that the team should be planning to help identify those NFR’s in conjunction with the DERA SMEs or should the team be expecting to have these requirements defined for them, e.g., security/privacy, performance requirements, uptime/reliability]?
| RFP Attachment L-6, Channel 2 Sample Task SOW | Section C, Paragraph(s) N/A | 147-154 | The team should expect to work with the project SMEs to identify the NFRs. |
| 73 | The sample task order calls for output visualizations. Generation of outputs for inclusion in reports also may affect the workflow and report formatting mechanisms, as generally generation of outputs that are static may/would require a much different toolset/approach than a tool that provides interactive and/or dynamic visualizations |
a. Are these expected to be static outputs or interactive/dynamic visualization capabilities?
b. Are the visualizations expected to be generated for inclusion within reports or as standalone artifacts RFP Attachment L-6, Channel 2 Sample Task SOW Section C, Paragraph(s) N/A 147-154 a. Outputs at the moment are expected to be static, however there is a desire to provide users with dynamic capabilities, if possible.
B. This can be evaluated and decided with the project team.
| 74 | Is the expected use of Python as directed to input data to support simple ETL operations or more complex aggregations/summarizations/regressions and other modeling/classifications? | RFP Attachment L-6, Channel 2 Sample Task SOW | Section C, Paragraph(s) N/A | 147-154 | In this context, Python would be used by individual users to develop more complex analytics. |
| 75 | Channel 2 Sample Task Order Data Sources: |
a. Is the data currently used within the OIDS platform specifically limited/controlled/maintained within the SAS solution or external to it?
b. If internal, is it expected that external tools would use batch integrations, on-demand API integrations, or both?
c. If external, does the data warehouse/data lake currently require or direct the use of batch integrations, on-demand API integrations, OR allow for both?
| RFP Attachment L-6, Channel 2 Sample Task SOW | Section C, Paragraph(s) N/A | 147-154 | Data used within the OIDS platform is controlled and maintained externally and vendors should be prepared to develop applications from both direct use batch integrations and API integrations. In addition, internal base data tables are generated in the SAS solution that are temporary and updated frequently. | ||
| 76 | What tools are currently used to maintain and manage data lineage, abstract mapping, transformation rules, and rule history, e.g. Informatica, Synapse, etc.? | RFP Attachment L-6, Channel 2 Sample Task SOW | Section C, Paragraph(s) N/A | 147-154 | Over the course and duration of this IDIQ, these tools may change and be updated. When necessary they will be specified in the individual Task orders, but for the purposes of the IDIQ, all bidders should be prepared to be flexible to the future changing needs of the SEC. |
| 77 | Channel 2 sample task order forward-looking requirements: |
a. Should the solutions be designed to enable private/public cloud migration initiatives in the future, e.g. AWS GovCloud, Google Private Cloud, Microsoft Azure Private Cloud, etc.?
b. If yes, please define and clarify
| RFP Attachment L-6, Channel 2 Sample Task SOW | Section C, Paragraph(s) N/A | 147-154 | There is no current plan to migrate OIDS to the cloud. | ||
| 78 | Should the solutions be designed to enable cognitive interaction patterns in the future, e.g. voice, visual, VR/AR, etc.? | RFP Attachment L-6, Channel 2 Sample Task SOW | Section C, Paragraph(s) N/A | 147-154 | Cognitive interaction patterns are not currently conceived as part of the solution for this project. |
| 79 | Are there existing dashboard/interface/visualization platforms that the solutions should plan to integrate with, e.g. Tableau, intranet websites, etc.? | RFP Attachment L-6, Channel 2 Sample Task SOW | Section C, Paragraph(s) N/A | 147-154 | The OIDS interface is currently available throughout the agency. |
| 80 | Channel 2 sample task order—support for other/additional tools: |
a. Are there existing licensed assets or partnerships with existing vendors that could be leveraged in the solutions, e.g. Luminoso, Cyc, Microsoft, Google, IBM Watson, AWS, MicroStrategy. etc.?
b. If so, which or any are preferred?
| RFP Attachment L-6, Channel 2 Sample Task SOW | Section C, Paragraph(s) N/A | 147-154 | The SEC utilizes MicroStrategy and it is anticipated this platform would be leveraged in the solution. | ||
| 81 | What are the security standards that SEC expects, and how are security requirements managed between Channel 2 and Channel 3? | RFP Section, Channel 2 SOW | C.4.2.2, Paragraph(s) N/A, | 20 | Security standards are managed by the Office of Information Technology and the project will interface with OIT to implement needed security on applications and interfaces. |
| 82 | RFP Section: C.4.1.2. Tasks, Paragraph 1 and 3, Page 17; |
RFP Section C.3.2. Channel-2: Analytical Tool Development, Paragraph 1, Page 1 Attachment L-2;
RFP Section C.3.3. Channel-3: Database Development and Maintenance, Paragraph 1, Page 2 Attachment L-2:
The solicitation references both traditional and Agile project management methodology frameworks. Does the SEC have a preference for one of these frameworks?
| One of the strategic initiatives at the SEC is to advance agile project management methodology across the agency, where it can benefit projects and costs. This RFP is designed to provide that opportunity in the QRADS projects. | |||||
| 83 | Could the SEC please clarify whether this includes a requirement to integrate with existing SEC anomaly detection systems such as the Corporate Issue Risk Assessment Program (CIRA) as a data source? | RFP Section: C.4.1.2. Tasks | Paragraph 1-2 - States, “The Contractor(s) shall assist the SEC in the integration of multiple data sources”. | Page 17 | (Can't find this sentence as referenced in the question.) This sentence does not refer to any requirements with respect to CIRA. |
| 84 | Could the SEC clarify if all work must occur within either a physical government (SEC) or contractor’s office location? Or can telework be allowed so long as approval is obtained? | RFP Section: H.30: Telework (SEC 6010.07) | paragraph 1 | Page 58 | Generally, vendor staff is expected to be on-site during regular work hours. There may be opportunities to negotiate telework, in consultation with the project COR and SEC PM. |
| 85 | Please confirm that the SEC wishes to only receive an electronic copy of the proposal(s) for each channel? Under the listed section, it states, “The government will acknowledge receipt of the hard copy and emails proposals after the specified RFP closing time.” | RFP Section: L.4.2. Delivery of Proposal | Paragraph 1 | Page 73 | Yes, only electronic copies are required. Section L has been updated via the solicitation amendment. |
| 86 | What is the maximum length of a resume for each proposed key personnel? | RFP Section: L.9.2, Tab D Management Approach and Personnel, | Paragraph 1 | Page 83 | 3 pages. This has been added to section L. |
| 87 | The paragraph indicates that there are four separate volumes for each channel. However, also in the same paragraph and identified on page 75-77, section L.8.2., the RFP indicates that there are only three volumes. Could the SEC please provide the fourth volume, if applicable? | RFP Section L.9. Format Instructions and Proposal Submission, | Paragraph 1 | Page 78 | There are now actually only 2 volumes. Please see updated Section L. |
| 88 | States, “Please note that any pages exceeding the number of pages stated in the instructions in Section L.8.2 will not be evaluated by the government”. However, there are no page limits, unless this is referring to the Tabs as pages. Could the SEC please clarify? | RFP Section L.9. Format Instructions and Proposal Submission, | Paragraph 1 | Page 78 | There are page limits identified for each volume in the tables provided in Section L.8.2. Please re-read carefully. |
| 89 | Is the SEC amenable to receiving supplemental documents as attachments to one of the three volumes for a given channel? | RFP Section: L.9 Format Instructions and Proposal Submission, | Paragraph 1 | Page 78 | No. Only the documentation requested and allowed for via Section L.8 and L.9 will be accepted. |
| 90 | Does the SEC require that any proposed key personnel be U.S. citizens? | RFP Section: L.9.2. Tab D | Paragraph 2 | Page 83 | The SEC does not require that contractors be U.S. citizens; however, all non-citizens must have resided in the U.S. for at least three consecutive years prior to being assigned to an SEC contract and submitting the required paperwork through the SEC's Personnel Security. In addition, all non U.S. citizens must present a current Employment Authorization (including H1B Visa) or Permanent Resident Card. These documents must be valid for at least the length of the contract. The issue with the OPT is that it only allocates for up to 12 months of employment authorization – a contractor cannot be submitted for a contract that lasts longer than their OPT authorization. |
| 91 | C.3.4. Channel 4 states ".. producing and maintaining models or other analytical products, reports, software, tools and/or graphical displays". |
What tools (software/hardware) does the SEC currently have in place for analytics / visualization, or plan to use in the future?
| C | C.3.4. | 16 | Please reference the skillsets referenced in the Channel 4 Key Personnel descriptions. |
| 92 | H.19 states "The Contractor shall provide skilled personnel required for the effective and efficient performance of this contract. The Program Manager shall be an employee of the Prime Contractor." |
Does the Prime need to submit a Resume for the Program Manager position?
| H | H19 | 49-50 | Yes, a resume needs to be provided as H.19 has been updated to change the Program Manager to Project Manager and the Project Manager is key personnel. |
| 93 | L.4. Proposal Schedule states a proposal due date of January 26, 2018. |
Due to clarification needed on several sections of the RFP, would the Government consider extending the proposal due date?
| L | L.4 | 72 | The proposal due date has been extended. Please see the amendment. |
| 94 | In Volume II proposal organization table, the header lists Total Page Limit of 25 pages. |
Since the Technical Approach needs to now encompass both IDIQ level and Sample Task Order requirements, would the Government consider increasing the Page Limit for Volume II?
| L | L.8.2 | 77 | The page limit has been increased. Please see the amendment to the RFP. |
| 95 | Tab D – 3(d) states "The Offeror must provide an explanation of what costs are included in each overhead pool” |
Can the Government explain or provide an example of what information they are looking for?
| L | 9.1 | 81 | Overhead is an accounting term that refers to all ongoing business expenses not including or related to direct labor, direct materials or third-party expenses that are billed directly to customers. In other words, overhead is all non-labor expenses required to operate your business. Examples would be indirect labor, indirect materials, utilities and depreciation. The vendor determines its overhead; therefore, it is the vendor's responsibility to determine what costs are considered overhead. If the vendor has an approved accounting process that is in compliance with Cost Accounting Standards (CAS) as required by the solicitation this should be simple for the vendor to determine. |
| 96 | Tab C - Technical Approach states "The Offeror shall propose an approach to successfully perform the scope of the IDIQ and all requirements of the sample task order." |
In reference to the "scope of the IDIQ", is the Vendor expected to propose an approach to only the Scope section (i.e. C.4.4.1 Scope on pg. 20) of the Channel scope or is the Vendor expected to propose an approach that meets each of the Task requirements (i.e. C.4.4.2 Tasks)? Due to the strict page count limit, this will help the Vendor clarify which specific requirements we need to address.
| L | L.9.2 | 82 | We recommend the offeror propose an approach to the Scope section (i.e. C.4.4.1 Scope) of the Channel scope and an approach that meets each of the Task requirements (i.e. C.4.4.2 Tasks) to ensure that they show how they can meet all requirements. Vendors need to best determine how to respond and what to include in their proposals based on Section L and M. Also, the page limit has been increased, so please review the amendment. |
| 97 | Tab C - Technical Approach states "The Offeror shall propose an approach to successfully perform the scope of the IDIQ and all requirements of the sample task order." The Offeror shall include the following in the proposed approach for accomplishing the objectives of the IDIQ scope and Sample Task Order tasks:" |
Since the Government will be evaluating and awarding Sample Task Orders separately from the IDIQ scope, should the Vendor's Technical Approach at the IDIQ level be separate and distinct from the Vendor's Sample TO Technical Approach? (e.g. Tab C - Technical Approach section is split into 1) IDIQ Scope Tech Approach and 2) Sample TO Tech Approach).
| L | L.9.2 | 82 | The Vendor's Technical Approach at the IDIQ level does not need to be separate and distinct from the Vendor's Sample TO Technical Approach. Only one technical proposal is being requested, so it is the vendor's discretion as to how they present their technical approach to ensure that all IDIQ and sample task order scope and requirements are best addressed. |
| 98 | Tab B - Corporate Experience states "In addressing the Corporate Experience, the Offeror shall provide a detailed description of the Offeror’s experience as a firm providing consulting services to financial firms and related regulatory agencies." |
Is the reference of "experience as a firm" in the Corporate Experience section include the Prime and all Subcontractor teaming partners collective experiences? Or can only the Prime highlight corporate experiences.
| L | L.9.2 | 82 | This section may include the Prime and all Subcontractor teaming partners collective experiences. The proposal shall clearly identify if the experience was obtained by the Prime and/or identify the subcontractor that obtained the experience. |
| 99 | Tab B - Corporate Experience states "Relevant experience include experience with the stated |
technologies, tools, and processes, and years of experience in the subject matter areas presented in the IDIQ Channels…" Should the Vendor provide relevant experiences and years of experience in scope / areas across all IDIQ Channels or only for the associated Channel (e.g. experiences for only Channel 4 scope).
| L | L.9.2 | 82 | The Vendor is to provide relevant experiences and years of experience in scope for the Channel to which they are proposing (so for example Channel 4 if that is the Channel being proposed). | ||
| 100 | Tab A states, "Tab A – Cover letter, Table of Contents and Sheet identifying Proposed Channel". Would the Government please clarify if a separate Sheet identifying proposed Channel is required and if this separate Sheet is excluded from the 25 page count limit? | L | L.9.2 | 82 | A separate Sheet identifying proposed Channel is not required. Section L.9.2 has been updated. |
| 101 | #4 on page 83 Tab D states, "The Offeror may propose additional labor categories, rates and descriptions in addition to the Government-required labor categories (Key Personnel)." Please confirm that for Channel 4, the Vendor is only required to bid one LCAT (Project Manager) and only needs to submit one resume for the PM position. | L | L.9.2 | 83 | The Offeror must submit at least one resume for this role; there is no maximum on the number of resumes that can be reviewed. |
| 102 | #2 on page 83 Tab C states, "Identify the methodologies for managing special requirements and mitigating identified risks; Identify methods and approaches proposed to identify, analyze, |
test manage and adapt as needed for alternative approaches and novel situations."
Can the Government clarify and provide an example of "special requirements"
| L | L.9.2 | 83 | Special Requirements would be represented in the Task Order; none are provided at this time. |
| 103 | #2 on page 83 Tab C states, "Identify the methodologies for managing special requirements and mitigating identified risks; Identify methods and approaches proposed to identify, analyze, |
test manage and adapt as needed for alternative approaches and novel situations."
Can the Government clarify what events could cause the need for "alternative approaches"?
| L | L.9.2 | 83 | Alternative approaches might be required given limitations of time, scope, or technology. |
| 104 | For clarification, what is the intended difference between these elements of the technical approach and the management approach? |
- Technical Approach: “4. Identify the management procedures that will be implemented to control all aspects of sample task performance”
- Management Approach: “2) The Offeror’s management approach, program and project methodologies, and the degree to which the approach and management is likely to result in successful performance of any given task order.”
| L | L9.2 | 83 | Technical refers to the execution of the activity; Management refers to the ability of the vendor to manage the people, time, scope and communication to achieve the execution. |
| 105 | ATTACHMENT 2 NON-DISCLOSURE AGREEMENT (CONTRACTOR PERSONNEL) |
Do all key personnel need to sign the non-disclosure agreement at the time of proposal submission?
| A | 2 | 101 | No, this is only applicable at the Task Order level, so do not submit this as part of the proposal. |
| 106 | Labor Rates Table |
Would the Government please confirm they are only expecting the Vendor to submit pricing for proposed Key Personnel at the IDIQ Level?
| A | Pricing | 109 | This is not accurate. Offerors shall propose labor categories and rates for all key personnel and any other personnel that they anticipate they will use in the performance of any task order that may be awarded against their IDIQ contract if so awarded. The key personnel were included in the pricing template because they are the minimum labor categories required. |
| 107 | Sample Task Pricing Template - Order Base/Option Years |
Will the Government consider providing labor categories for the sample task area outlined for Channel 4 for the base year and option years?
| A | Pricing | 115 | The labor categories will be provided at the time the Task Order is released for Channel 4. |
| 108 | Last paragraph in C.1 Background states, "In FY16, new reports were developed in OIDS using new data sets for hedge funds and mutual funds. The objective of this project is to develop documentation for the Hedge Fund and Mutual Fund OIDS reports, documentation for the next generation of the OIDS tool (known internally as OIDS Phase III), as applicable, and internal documentation of report maintenance operations." |
Is there an incumbent Vendor currently performing this scope of work? (i.e. OIDS Help Documentation creation for current reports or OIDS reports maintenance ops documentation)? If so, is it the same Vendor as the company creating / developing the reports in OIDS?
| A | L-8 Sample TC 4 | L-8 pg 2 | There is no incumbent vendor currently performing this work. |
| 109 | Last paragraph in C.1 Background states, "In FY16, new reports were developed in OIDS using new data sets for hedge funds and mutual funds. The objective of this project is to develop documentation for the Hedge Fund and Mutual Fund OIDS reports, documentation for the next generation of the OIDS tool (known internally as OIDS Phase III), as applicable, and internal documentation of report maintenance operations." |
Who is the audience for these OIDS reports? Internal to SEC - non-analytics personnel ("economists, lawyers, policy makers, in or addition to other SEC staff"), analytics personnel within SEC (e.g. researchers) and/or other external audiences (e.g. public, Congress, etc)?
| A | L-8 Sample TC 4 | L-8 pg 2 | The audience for the OIDS reports is strictly internal. |
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