50310218R0005_AMD0017_(Track_Changes).pdf

SECTION A – SOLICITATION/CONTRACT FORM

EXECUTIVE SUMMARY

This Request for Proposal (RFP) is issued for purposes of conducting an On-Rampt Even in accordance with Section H.40 of the original RFP 50310218R0005. ONE OIT was originally solicited under RFP 50310218R0005 through Amendment 0014. Three (3) awards were made in the unrestricted pool and 15 awards in the restricted pool based on the original solicitation. This on-ramp intends to add ten (10) additional small business contractors to the restricted pool; however, the SEC reserves the right to award more, less, or no contracts at all if determined to be in the best interest of the Government. The evaluation process and award decision of the original contracts were based on RFP 50310218R0005. This on-ramp event is based upon substantially the same content unless otherwise indicated in this document.

The SEC seeks additional offers from small businesses only for the ONE OIT Multiple-Award Indefinite Delivery/Indefinite Quantity (IDIQ) Contract with time-and-material, labor-hour, and firm-fixed contract line items providing enterprise solutions for integrated information technology (IT) services, or “ONE OIT” solutions. The source selection process will neither be based on the Lowest Price Technically Acceptable (LPTA) nor Tradeoff process. For the basic IDIQ, the Highest Technically Rated Offerors with a Fair and Reasonable Price will determine the best value basis for contract awards.

Prospective Offerors are cautioned to review this RFP in its entirety. Prospective Offerors are reminded that the ONE OIT RFP may be amended at any time during the solicitation. It is recommended that all prospective Offerors check the FedBizOpps website, www.fbo.gov, for posted changes to this ONE OIT RFP.

Questions regarding this RFP may be submitted, via email, to ONEOIT@sec.gov at any time but must be received by the identified Government email box no later than 10:00AM ET on 10 December 2018. All questions/comments shall be submitted utilizing the ONE OIT Question Template provided in Section J – Attachment 13 of this RFP. The Government’s responses, along with the questions will be posted to the FedBizOpps website. Questions and/or comments received after the specified date/time may not be addressed by the Government.

Proposals must be submitted in accordance with Section L:

There will be no on-ramping in the Unrestricted Pool.

Restricted Pool: Proposals are due NLT 12:01PM ET on 8 February 2019.

Prospective Offerors shall clearly indicate in their response to the ONE OIT RFP that their proposal is valid for 180 days.

A restricted Contractor (i.e. small business) is any Offeror who meets the definition of any federally designated small business in NAICS Code 541512. Any entity that does not meet this standard at the time of proposal submission will be removed from consideration without further evaluation if submitting in the restricted category. A Small Business Prime Offeror can partner/subcontract with small and large businesses provided they comply with the Limitations on Subcontracting IAW FAR 52.219-14.

The current Statement of Objectives (SOO) represents a total of seven (7) individual Service Channels.

Small business proposals that do not adequately represent all 7 channels will not be considered responsive.

http://www.fbo.gov/ mailto:ONEOIT@sec.gov

The SEC will make the overall determination of responsibility which will include but is not limited to, information in the Federal Awardee Performance and Integrity Information System (FAPIIS), Dun and Bradstreet, exclusions denoted in the System for Award Management (SAM), the representations and certifications with SAM and Section K. The Offeror shall ensure information is accurate and up-to-date in FAPIIS and SAM at the time of submission of the proposal. The Offeror will not be considered for award if it is determined they are not Responsible in accordance with FAR Part 9.

INFORMATION FOR CONRACTORS WHO SUBMITTED A PROPOSAL IN RESPONSE TO THE

ORIGINAL SOLICITATION:

Previously submitted documents may be resubmitted if they comply with the following:

1. Relevant Experience Projects must be ongoing or have been completed within four (4) years from the proposal due date of this on-ramp and

2. Any revision in this document and any subsequent amendment.

SECTION B – SUPPLIES OR SERVICES AND PRICES / COSTS

B.1 MAXIMUM CONTRACT CEILING AND MINIMUM CONTRACT GUARANTEE

(a) Maximum. The maximum contract ceiling value of all contracts in this multiple award procurement is established at $2.5 Billion.

(b) Minimum. The minimum guaranteed award amount for this IDIQ Contract is $1,000 dollars per Contractor for the full term of the Contract. The exercise of the option period does not re-establish the Contract minimum.

(c) The Government has no obligation to issue Task Orders to the Contractor beyond the amount specified in paragraph (b). Once the conditions of paragraph (b) have been met, the Contractor continues to be afforded fair opportunity, as per FAR 16.505(b)(1), to compete for Task Orders issued through the expiration of the basic IDIQ Contract or termination of the Contractor’s basic IDIQ Contract, whichever occurs first, unless an exception to fair opportunity applies or unless the Contractor is placed in dormant status as detailed in Section H.40.

B.2. SERVICE CONTRACT LABOR STANDARDS (SCLS) GENERAL EXEMPTION

The IDIQ Contract labor categories are considered bona fide executive, administrative, professional labor and are exempt from the SCLS if used to perform the type of professional IT services within the scope of this Contract. The IDIQ Contract does not include wage determinations or SCLS clauses.

B.3. TASK ORDER CONTRACT TYPES

Task Order Contract types permitted include: FAR 16.2, Fixed-Price Contracts; FAR 16.601, Time-and- Materials; and FAR 16.602, Labor-Hour Contracts. These contract types can be used individually or in combination within a single Task Order comprising multiple Contract Line Item Numbers (CLIN). Task Orders may also incorporate option periods in accordance with FAR 17.2, Options.

B.4 MAXIMUM RATES AND CEILING PRICE

Maximum Rate represents and establishes maximum allowable labor rates in the form of fully-burdened rates for all IT Standard Service LCATs at the Senior Level for work performed at Government sites and work performed at Contractor sites. The burdened rates include the direct labor cost, G&A, O/H, fringe benefits, and profit. At time of award, the Contractor’s Maximum Rates will be incorporated into the Contract. These rates will be used as Maximum Rates for pricing of all labor proposed under future Task Orders issued under this IDIQ Contract.

Only the Ordering Contracting Officer is authorized to exceed the Maximum Rates established if necessitated by the task order requirement, for example for a special project. The Contractor shall provide detailed rationale in all instances if and when the Maximum Rate is exceeded.

A ceiling price will be included in the schedule of any resulting task order based on the estimate of the number of hours (Labor-Hour contract) and number of hours and amount of material (Time-and-Materials contract) required to perform the contract. The Government will not be obligated to pay the Contractor any amount in excess of the ceiling price in the Schedule, and the Contractor shall not be obligated to continue performance if to do so would exceed the ceiling price set forth in the Schedule, unless and until the Contracting Officer notified the Contractor in writing that the ceiling price has been increased and specifies in the notice a revised ceiling that shall constitute the ceiling price for performance under the task order.

B.5 LABOR CATEGORY TYPES

To enhance the consistency of labor and service cost/price offers and reporting, the Master Contract provides the Standard IT Service Senior Level Labor Categories (Attachment 4 – ONE OIT Labor Category Descriptions). These labor categories (LCATs), which are a subset of the Standard Occupational Classifications (SOCs) issued by the Department of Labor (DOL) Bureau, Labor Statistics Division, facilitate the standardization of labor types, descriptions, and rates across the master contract vehicle. This approach provides the Government more accurate cost forecasting, reporting, and tracking. Additionally, the Master Contract also provides for Non-Standard IT Service LCATs and Ancillary Service LCATs, as described below.

ONE OIT IDIQ provides the following three (3) types of LCATs:

(1) Standard IT Service LCATs – This labor category type includes the defined IT Service LCATs (see Attachment 4). Each of the defined Standard IT Service LCATs is further stratified to include only the Senior skill level. These may be modified through the term of this Master Contract to accommodate emerging IT Service LCATs as defined by the market, and the need for varying skill levels. The Contractor shall utilize the Standard IT Service LCATs to the maximum extent possible. Additional Standard IT Service LCATs with varying skill levels may be added over the term of this contract.

(2) Non-Standard IT Service LCATs - This labor category type includes any IT Service labor category and skill level that is not listed within the Standard IT Service LCATs (see Attachment 4). A Non-standard IT can be added at the contract and Task Order level. Additional Non-Standard IT Service LCATs with varying skill levels may be added over the term of this contract.

(3) Ancillary Service LCATs – This labor category type includes ancillary labor support with varying skill levels, and does not include any of the defined Standard IT Service LCATs or Non-Standard IT Service LCATs.

Ancillary Service LCATs may be used when the principal purpose of the Task Order is to furnish IT services-based solutions. Additional Ancillary Service LCATs with varying skill levels may be added over the term of this contract.

Standard IT Service Labor Categories (LCATs):

Standard IT Service Senior Level LCATs are the labor categories referenced in Attachment 4. They are presented as historically-based relevant positions that support Information Technology (IT) procurement requirements. IT is a dynamic discipline that will likely require additional uniquely defined IT Service labor categories with varying skill sets that emerge at some point through the term of this Master Contract. Additional Standard IT Service labor categories with varying skill levels may be added by the government via contract modification. The process to recommend the addition of new IT LCATs to the Master Contract is discussed in detail under Section G.14, Process to Add Labor Categories to the Basic IDIQ.

(i) The primary source of the Standard IT Service LCATs is the Department of Labor (DoL) Bureau of Labor Statistics (BLS) Service Occupational System. The Standard Occupational Classification (SOC) system is used by Federal statistical agencies to classify workers into occupational categories for the purpose of collecting, calculating, or disseminating data.

(ii) The Standard IT Service LCATs (see Attachment 4) contain some, but not all IT Service LCATs required to meet all current and future information technology service based requirements. Standard IT Service LCATs with different skill levels will be added to the Contract and Task Orders based on agency needs.

Non-Standard IT Service LCATs:

Any IT Services LCAT that does not fit within the Standard IT Service LCATs may be added to task orders.

The Master Contract Standard IT Service LCATs are robust and were written to encompass the broad scope of information technology. Additional labor categories would need to bring to bear skill sets that are so specialized or rare that they are not already encompassed in any existing Master Contract labor category. The SEC may consider additional labor categories on task orders when deemed necessary to provide IT services or an IT services-based solution. The SEC will perform due diligence in determining that Non-standard IT service labor categories are required.

Ancillary Service Labor Categories:

ONE OIT is to be used by the Securities and Exchange Commission in meeting professional Information Technology service objectives. Use of the non-IT ancillary service LCATs must be (1) integral and necessary;

(2) part of a total integrated solution within the scope of the Master Contract; and (3) not a labor category specified in the Master Contract. The Contractor should propose and identify each ancillary support service separately and the SEC should identify each ancillary support service by a separate CLIN on the task order award.

B6. TRAVEL (ALL ORDER TYPES)

Contractor personnel may be required to travel (local and travel outside of the local area) to support the requirements of this Contract as stated in individual Task Orders. For those Task Orders requiring travel, the Contractor shall include estimated travel requirements in the proposal as required by the Task Order Request for Proposal. Travel shall not commence without written consent in accordance with instructions in the Task Orders.

If authorized in the Task Order, travel will be reimbursed at actual cost in accordance with the limitations set forth in FAR Subpart 31.205-46, Travel Costs. Profit shall not be applied to travel costs. To the extent authorized by the Task Order, Contractors may apply indirect costs to travel in accordance with the Contractor’s usual accounting practices consistent with FAR 31.2. The Contracting Officer must identify a not-to-exceed travel ceiling under a separate CLIN on the Task Order.

SECTION C - DESCRIPTION/SPECIFICATIONS/STATEMENT OF OBJECTIVES

STATEMENT OF OBJECTIVES (SOO)

ONE OIT

AS OF JANUARY 29, 2018

1. PURPOSE

The primary purpose of this multiple Indefinite Delivery/Indefinite Quantity (IDIQ) contract is to provide the U.S. Securities and Exchange Commission (SEC), Office of Information Technology (OIT), with a streamlined, common, and flexible contracting vehicle to procure Information Technology (IT) services that will enable the SEC’s Divisions and Offices to meet the SEC’s strategic mission and objectives.

2. BACKGROUND

The Office of Information Technology (OIT) supports the Commission and staff of the SEC in all aspects of information technology. OIT has overall management responsibility for the Commission's IT program including, but not limited to, Platform Application Management and Development, Business Solution Delivery, IT Infrastructure Management, Information Security, Data Management, IT Governance, and Technology Business Management. The Commission’s functional responsibilities are organized into five Divisions and 23 Offices, each of which is headquartered in Washington, DC. The Commission's approximately 4,600 staff are located in Washington and in 11 Regional Offices throughout the country. SEC applications have wide range of users, including the general public who access SEC external facing applications like Edgar, Sec.gov, Investor.gov, etc.

2.1 CURRENT INFORMATION TECHNOLOGY (IT) ENVIRONMENT

OIT currently operates under the Service Delivery Framework (SDF) which governs the development of new software, installation of Commercial off the Shelf (COTS) software, and Externally Hosted Applications. The SDF employs a risk-based approach to ensuring on-time delivery of usable IT capabilities to customers. The process focuses on streamlined oversight where project life cycles are tailored based on project scope and complexity. One of the constraints which the contractor has to adhere to is the SDF. SDF is subject to change as new processes are introduced. See Attachment 1, “Service Delivery Framework” for the current version of

SDF.

The SEC maintains two major data centers where the infrastructure is comprised of Microsoft Windows 2008 and 2012, Red Hat Linux, and Sun Solaris 10 servers. These data centers have high bandwidth network connectivity for data storage replication and redundancy. Business applications require high availability with fault tolerance and disaster recovery capability to meet the Recover Time Objective (RTO) of four hours or less.

The Contractor shall consider the existing SEC Technical Environment described in the Enterprise Architecture Current Technical Architecture. All projects are expected to fall within the Enterprise Technology Bricks which is subject to change as new technology is introduced. See Attachment 3 – Technology Brick – Platform Standards.

3. SCOPE

This multiple-award IDIQ will provide the Securities and Exchange Commission with integrated IT solutions for evolving needs. This Master Contract allows for the application of technology to meet business needs including the ability to perform all current, leading edge and/or emerging IT services required to satisfy all IT services requirements anytime.

This multiple-award IDIQ will be an SEC OIT-wide strategic sourcing vehicle to provide a streamlined process to procure the comprehensive suite of IT services and IT solutions to support IT systems and software development in a variety of environments and infrastructures. All solutions and services must meet SEC policies, standards, and procedures as identified in the individual Task Orders (e.g., enterprise architecture, baseline configurations, lifecycle management, information security, and personnel security).

The suite of integrated IT solutions are comprised of, but not limited to, the IT Service Channels and Work Categories described below in Section 5, and may be combined and tailored in Task Order Requests to meet agency mission needs. Additionally, the Government reserves the right to add, remove, or revise Service Channels as necessary. Work may be performed at Government and Contractor facilities located throughout the United States, as specified in each Task Order, to provide a variety of IT solutions and support services. IT services and solutions within scope of this Master Contract include new, leading edge and emerging technologies that will evolve over the life of the Master Contract.

3.1 SCOPE OF WORK OVERVIEW

The Master Contract provides maximum flexibility in acquiring any IT services-based solution for any conceivable IT services-based requirement, driving government savings through efficiencies and improved reporting data with greater integrity, while maintaining a “One IT” philosophy.

The Master Contract scope includes any and all components of an integrated IT services-based solution, including all current leading edge technologies and any new technologies which may emerge during the Master Contract period of performance. The Master Contract provides IT Solutions through performance of a broad range of services which may include the integration of various technologies critical to the services being acquired. As the definition of IT changes over the lifecycle of the Master Contract, the scope of the Master Contract will be considered to coincide with the current IT definition at any given time.

The Master Contract includes any and all emerging IT components, IT services, and ancillary elements as they arise as required to achieve the agency’s mission. Therefore, because technological advances over the term of this Master Contract are inevitable, the scope of this Master Contract takes into consideration that Task Order Requirements are permitted to include any future IT services with their integral and necessary ancillary IT components and services as they arise during the entire term of this contract.

The scope of the Master Contract includes all conceivable aspects of IT Business Need, including but not limited to:

• Big Data

• Cloud Computing

• Context-aware Computing

• Critical Infrastructure Protection and Information Assurance

• Information Security

• Data-Centers and Data-Center Consolidation

• Digital Government

• Digital Trust and Identity Integration and Management

• Digitization and Imaging

• Energy and Sustainability Measurement and Management

• Enterprise Application Stores

• Mobile Security

• Enterprise Resource Planning

• Integration Services

• IT Governance and Lifecycle Management

• IT Helpdesk

• IT Operations and Maintenance

• IT Project and Program Management

• IT Services for Integrated Total Workplace Environment

• Mobile-Centric Application Development, Operations and Management

• Network Operations, Infrastructure, and Service Oriented Architecture

• Open Source Integration and Customization

• Outsourcing IT Services

• Remote Access

• Sensors, Devices and Radio Frequency Identification (RFID)

• Software Development and Testing

• Technology Business Management

• Telecommunications Support Services

• Virtualization

• Voice and Voice Over Internet Protocol (VOIP)

• Web Analytics

• Web Application & Maintenance

• Web Services

• Web Hosting

4. OBJECTIVES

The service channel and work category objectives identified within this SOO are described in general terms.

Each task order request will address specific requirements, project scheduling, and other related performance criteria, as applicable.

The Contractor shall provide the SEC and all its subordinate Divisions and Offices with Information Technology Support Services in the following areas described in detail in Section 5.

With information technology pervading all aspects of its business, the SEC depends on Contractor support from industry partners for problem resolution and support services to meet its business needs. The SEC expects its partners under contract to deliver optimal daily performance of the SEC IT operations and take day-to-day responsibility for the SEC IT operations, achieving the minimum performance objectives on a daily basis, and taking a proactive approach with the SEC in improving the operations and efficiencies of the SEC IT environment.

Certain contemplated tasks within certain task areas are considered inherently governmental functions. The Contractor will perform functions that are operational in nature, and will not be expected or permitted to perform any inherently government functions.

5. SERVICE CHANNELS

1. Application Management and Development (PLATFORM)

2. Business Solutions Delivery (NON-PLATFORM)

3. IT Infrastructure and Operations Management

4. Information Security

5. Data Management

6. IT Governance

7. Technology Business Management

Project management support shall be required across all service channels and subsequent task orders.

Program and project management support includes but is not limited to:

• Managing and supervising contractor team resources potentially at multiple locations

• Formulate and review deliverables in coordination with stakeholders, ensuring conformance with program and project task scope, schedules, costs and contractual obligations

• Organize, direct, coordinate, plan, and execute all TO activities

• Maintain and execute the approved Quality Assurance Surveillance Plan (QASP), if provided with the

Task Order

• Provide status reporting in accordance with the TO PWS and SOW such as Project Plan, Project Status

Reports, Project Briefings, Project Schedule, Technical and Financial Reports, etc.

• Participate in Kick-off meeting and provide meeting minutes

• Develop all deliverables in accordance with the SEC’s System Development Framework (SDF)

• Collect, categorize, and maintain all artifacts or work products created by the contractor team

• Develop and execute Transition Plans to transition in and out

5.1 Application Management and Development Services Channel (Platform)

Application Management and Development Services Channel Work Categories include, but are not limited to, the following:

5.1.1 Work Category – Platform Application Operations and Maintenance Support Services:

• Problem management and defect resolution including root cause analysis, developing workarounds for issues and developing bug fixes and working with vendors for patches, reporting and metrics

• Information assurance activities including supporting security assessments, audit activities, Security PO&AM (Plan of Action and Milestones) and security findings resolution

• Maintain application and system documentation and baseline configurations

• Support administration of applications, systems, platforms, databases and interfaces

• Provide system/application performance monitoring, proactive optimization and management of application performance, tuning, provisioning, vulnerability management and configuration management

• Decommissioning of legacy applications including planning and execution, data or application integration and/or migration

• Provide internal and external end user application support

• Deliver Tier 1, Tier 2 and Tier 3 application support

5.1.2 Work Category – Platform/Technology Specific Solutions delivery services:

• Support the operations and maintenance of SEC’s Enterprise Platform’s Services such as:

o Oracle Fusion Middleware o Drupal o Salesforce o ServiceNow o Microstrategy o Microsoft Sharepoint o EDGAR o Other/Future Platforms

• Provide Platform Application Development Support Services that include, but not limited to:

o Project and task management o Requirements gathering and analysis o System and solution engineering o Architecture and design services o Development and configuration services o Quality management including testing (such as functional/ load/ 508/ performance/ integration/regression/ compatibility/ security/ user acceptance testing, etc.) and continuous integration o Implementation o Data or application integration and/or migration o Administration of applications, systems, databases and interfaces o Management of releases for entire software life cycle, initiation to production deployment and warranty o Release, configuration and change management and support o Create and maintain application and system documentation and baseline configurations o Application optimization, modernization, updates or reengineering o Support security assessments for the new solutions o End user training and development of training materials

5.2 Business Solutions Delivery Services Channel (Non-Platform)

Business Solutions Delivery Service Channel Work Categories include, but are not limited to, the following:

5.2.1 Work Category – Business Analysis and Requirements Services:

• Requirements gathering and analysis using SEC tools and templates

• Business and/or use case development and process analysis

5.2.2 Work Category – System Development Life Cycle Support Services:

• Project and task management

• System and solution engineering

• Architecture and design services

• Development and configuration services

• Quality management including testing (such as functional/ load/ 508/ performance/ integration/regression/ compatibility/ security/ user acceptance testing, etc.) and continuous integration

• Implementation

• Data or application integration and/or migration

• Administration of applications, systems, databases and interfaces

• Management of releases for entire software life cycle, initiation to production deployment and warranty

• Release, configuration and change management and support

• Create and maintain application and system documentation and baseline configurations

• Application optimization, modernization, updates or reengineering

• Support security assessments for new solutions

• End user training and development of training materials

5.2.3 Work Category – Current Application Development Process or Tool (such as Agile, DevOps, etc.)

Support Services:

• Coaching

• Customer and user training inclusive of development of training materials

5.3 IT Infrastructure and Operations Management Services Channel

IT Infrastructure Management Services Channel Work Categories include, but are not limited to, the following:

5.3.1 Work Category - Infrastructure Operations Support Services:

• Storage and compute management support services

• Networking and telecommunications support services

• End user and customer support services

• Business continuity and contingency planning support services

• IT infrastructure facilities support and management

5.3.2 Work Category – Infrastructure Engineering Support Services:

• Capacity management support services

• Emerging infrastructure technologies support services

• Core enterprise infrastructure applications support services (E.g. Active Directory, Exchange)

• Support of SEC Cloud initiatives and projects by providing Cloud services; to include o Associated design, engineering, implementation, management and support

5.4 Information Security Services Channel

Information Security Services Channel Work Categories include, but are not limited to, the following:

5.4.1 Work Category - Security Engineering Support Services:

• Security integration support services

• Database security support services

• Security configuration baseline development support services

• Vulnerability management support services

• Data discovery and classification services

5.4.2 Work Category - Security Operations Support Services:

• Security monitoring support services

• Intrusion detection and prevention support services

• Security information and event management support services

• Incident management support services

• Computer forensics support services

• Firewall management support services

• Internet proxy management services

• Data leakage prevention support services

• Threat hunting support services

5.4.3 Work Category - Compliance Support Services:

• Security assessment & authorization support services

• Continuous diagnostics and mitigation support services

• Security policy management and enforcement support services

• Audit support services

• Governance, risk, and compliance tool support services

• Security and privacy awareness training support services

5.4.4 Work Category - Privacy Support Services:

• Privacy act legal support services

• Privacy impact assessment support services

• Privacy data scanning support services

• Data breach response support services

• Data breach response exercise support services

5.5 Data Management Services Channel

Data Management Service Channel Work Categories include, but are not limited to, the following:

5.5.1 Work Category – Data Analytics and Big Data Support Services.

This includes Analytics platform and technologies such as:

• Hadoop / Spark administration

• Netezza administration

• SOLR, Watson Explorer and search indexing tool administration and optimization

• Data development (relational, semi-structured & unstructured, and object stores)

• Data migration

• Data operations and optimization across agency data centers and agency AWS cloud assets

• Query optimization

• Operation of data feeds to and from external systems

• ETL scripting and administration in current environment of Tivoli, DataStage, and Hadoop/Spark

• Design and support for high availability and low latency big data analytics

• Data assurance, data backup, and disaster recovery support

• System and dataset documentation

• Business Intelligence, data analysis and reporting

5.5.2 Work Category – Database Management and Administration Support Services:

• Support for enterprise relational database management platforms, such as o Oracle

12c

RAC

Goldengate and DataGuard

RMAN

o SQL Server 2014 o MariaDb and MySQL o Sybase o Amazon Relational Database Services

PostgreSQL

• Review of data modeling and database design

• Design and support for high availability systems

• After hours support for production and priority systems

• Data assurance, data backup, and disaster recovery support

• System and dataset documentation

5.6 IT Governance Services Channel

IT Governance Work Service Channel Work Categories include, but are not limited to, the following:

5.6.1 Work Category – IT Strategic Planning Support Services:

5.6.2 Work Category – Enterprise Architecture Support Services:

• Architectural framework support services o Developing and maintaining the IT strategy & roadmap, to include:

Identify gaps in the agency’s ability to fulfill current business needs and propose ways to bridge the short comings using innovative solution

• Emerging technologies support services

• Solutions architecture support services o Enabling architecture assessment both early in and continuously throughout the planning and system development life cycles to include:

Identify overlap of functionality across SEC developed systems, COTS and other products and formulate strategies to maximize the utilizations Develop commonly used design patterns at the agency, and evaluate their pros and cons and recommend alternatives

• Technical standards support services o Improving the EA role in SEC processes and methodologies o Managing EA program operations

5.6.3 Work Category – IT Policy Management Support Services:

5.6.4 Work Category – IT Program and Project Management Support Services:

5.6.5 Work Category – IT Business Process Improvement (BPI) Support Services:

5.6.6 Work Category – IT Lifecycle Management Support Services:

• Configuration management

• Release management

• Change management

• System development life cycle (SDLC) management

5.6.7 Work Category – Quality Assurance and Testing Support Services including Independent Verification and Validation Services

5.7 Technology Business Management Services Channel

Technology Business Management Service Channel Work Categories include, but are not limited to, the following:

5.7.1 Work Category – IT Capital Planning and Portfolio Management Support Services

5.7.2 Work Category – Budget Planning and Execution Support Services

5.7.3 Work Category – IT Acquisition Support Services

5.7.4 Work Category – IT Asset Management Support Services

5.7.5 Work Category – Administrative Support Services

SECTION D – PACKAGING AND MARKING

D.1 2001.00 PACKAGING AND MARKING (MAR 2009)

Preservation, packaging, packing, and marking of all deliverable contract line items must conform to normal commercial packing standards to assure safe delivery at destination.

D.2 2002.00 MARKING (MAR 2009)

Marking – All information submitted to the Contracting Officer, the POC, or his/her designated contact shall clearly indicate the number of the contract for which the information is being submitted.

SECTION E – INSPECTION AND ACCEPTANCE

E.1 CLAUSES INCORPORATED BY REFERENCE

FAR TITLE DATE

52.246-4 INSPECTION OF SERVICES—FIXED PRICE AUG 1996

52.246-6 INSPECTION—TIME-AND-MATERIAL AND LABOR-

HOUR

MAY 2001

52.246-20 WARRANTY OF SERVICES MAY 2001

E.2 3001.01 INSPECTION AND ACCEPTANCE BY THE CONTRACTING OFFICER’S

REPRESENTATIVE (COR) (AUG 2013)

Inspection and Acceptance of supplies and/or services to be furnished under this contract will be performed by the Contracting Officer’s Representative (COR) – (Provided at time of award). Inspection and Acceptance will be performed at the Securities and Exchange Commission, U.S. Securities and Exchange Commission Station Place - Headquarters 100 F Street NE Washington, D.C. 20549

Specific requirements will be provided at the task order level.

SECTION F- DELIVERIES OR PERFORMANCE

F.1 CLAUSES INCORPORATED BY REFERENCE

FAR TITLE DATE

52.242-15 STOP WORK ORDER AUG 1989

F.2 IDIQ CONTRACT ORDERING PERIOD

The base ordering period of this Multiple award IDIQ Contract will be from date of award through 21 October 2023 with one five-year option period.

After the IDIQ Contract ordering period expires, the IDIQ Contract will remain an active Contract until the final Task Order performance is completed and shall govern the terms and conditions with respect to active Task Orders to the same extent as if it were completed during the IDIQ Contract ordering period.

F.3 TASK ORDER OPTION PERIODS

Options on Task Orders may be exercised beyond the end of the IDIQ ordering period.

In accordance with FAR 52.216-22, the Contract shall govern the Contractor’s and Government’s rights and obligations with respect to any order issued during the effective period of the Contract, including option periods that may be exercised after the Contract’s ordering period has expired.

F.3.1 SEC 4001.00 PERIOD OF PERFORMANCE W/OPTION YEARS (MAR 2009) – Specified at the Task Order Level

The base period of performance under this contract shall be from [specified at the task order level]. This contract has [specified at the task order level] options. At the end of the base year, if exercised, the first option will begin. If all options are exercised, the period of performance will not exceed a total of [specified at the task order level]. If exercised, the period of performance for each successive option will begin the day after expiration of the previous period. Exercise of any option requires a contract modification signed by the SEC Contracting Officer.

F.3.2 SEC 4001.00 *A.01 PERIOD OF PERFORMANCE W/O OPTION YEARS (MAR 2009) -

Specified at the Task Order Level

The period of performance for CLINS [specified at the task order level] through [specified at the task order level], [specified at the task order level] to [specified at the task order level].

F.4 TASK ORDER TRANSITION PLANS

At the end of the Task Order period of performance, the incumbent Contractor shall transition activities to the incoming Contractor or to the sustainment Contractor with minimal disruption of services to the Government.

The Contractor shall maintain sufficient qualified staff to meet all requirements of this effort. The Contractor shall submit a written transition plan unless designated otherwise by the Contracting Officer.

The Contractor shall identify those actions, plans, procedures, and timelines necessary to ensure a smooth transition from the Contract and/or the Task Order start date to full operational or end status by the Contractor.

The Contractor shall also identify those actions, plans, procedures, and timelines necessary to ensure a smooth transition-out for the follow-on Contractor. The Contractor shall provide a transition plan subject to Government approval. The Contractor shall provide transition information and briefings to the COR prior to expiration dates. Task Orders issued under the IDIQ contact may include transitions in/out requirements.

F.5 PLACE OF PERFORMANCE

The services to be provided under the IDIQ contract shall be accomplished at the locations identified in the Task Orders. The place of performance will be specified in each individual Task Order.

The work to be performed under this IDIQ will be performed primarily at the SEC Headquarters location or at the contractor’s facility:

• SEC Headquarters – 100 F Street NE, Washington, DC 20549

If required, performance may be at any of the regional offices. Currently, the SEC has regional offices in the following locations:

• Atlanta Regional Office- 950 East Paces Ferry Road, NE, Suite 900, Atlanta, GA 30326

• Boston Regional Office- 33 Arch Street, 23rd Floor, Boston, MA 02110

• Chicago Regional Office- 175 W Jackson Boulevard, Suite 900, Chicago, IL 60604

• Denver Regional Office- 1961 Stout Street, Suite 1700, Denver, CO 80294

• Fort Worth Regional Office- Burnett Plaza, Suite 1900, 801 Cherry Street, Unit 18, Fort Worth, TX

760102

• Los Angeles Regional Office- 444 South Flower Street, Suite 900, Los Angeles, CA 90071

• Miami Regional Office- 801 Brickell Avenue, Suite 1800, Miami, FL 33131

• New York Regional Office- 200 Vesey Street, Suite 400, New York, NY 10281

• Philadelphia Regional Office – 1617 JFK Boulevard, Suite 520, Philadelphia, P A 19103

• Salt Lake Regional Office- 351 S. West Temple St, Suite 6.100, Salt Lake City, UT 84101

• San Francisco Regional Office- 44 Montgomery Street, Suite 2800, San Francisco, CA 94104

• SEC Data Centers (Locations will be disclosed after award, as needed)

Work may be performed at the Contractor’s facilities when identified by the Task Order, or in situations such when teleworking is in the best interest of the government. These situations include inclement weather emergencies, office closures, and OPM public awareness announcements to avoid working in the city on a given day. Determination of what is in the best interest of the government shall be made by the COR.

The final required place of performance will be determined in the specific Task Orders. Onsite spaces at government facilities may be revoked at any time per government requirements. If working at the Contractor’s facility, the Contractor shall prepare all deliverables and other contract documentation utilizing Contractor resources. As directed by the Contracting Officer (CO), the Contractor shall continue performance in emergency or mission essential conditions. Any equipment such as laptops or phones provided to Contractor personnel shall be returned at the termination of the engagement or at another time mutually agreeable to both parties. COR approval is required. Additionally, the Contractor may be required to account for the whereabouts of their personnel should this information be requested by the COR.

F.6 TASK ORDER DELIVERABLES

F.6.1 SEC 4003.00 PLACE OF DELIVERY – FOB DESTINATION (JUN 2013)

The deliverables to be furnished under this contract shall be delivered to the following address:

Attn: [specified at the task order level] Phone Number: [specified at the task order level] E-mail: [specified at the task order level]

STATUS REPORT – TASK ORDER

The Contractor shall submit a monthly status report, via email, of all work performed under this contract by the 15th of each month. The progress report may contain but is not limited to the following information as applicable and further defined at the Task Order level:

(a) Summary of progress during the reporting period (include any significant technical information).

(b) Unanticipated technical or management problems of significance.

(c) Problems anticipated in future reporting periods.

(d) Summary of important meetings, briefings, trips and conferences during the period of the report and those planned for the following period.

(g) Labor hours utilized versus labor hours planned per task; this information shall be reported both (1) for the reporting period being and (2) for the entire contract (cumulative) through the most recent reporting period.

(h) Total cost (by cost element) versus budgeted task. The breakdown shall represent the period being reported on as well as the entire contract (cumulative) through the most recent reporting period.

(i) Statement that the contract can or cannot be completed within the total estimated cost.

(j) Statement of projection (budget) for the next reporting period.

All reports and correspondence, except as otherwise specified, shall be directed to the SEC points of contact identified in the task order.

F.6.2 4003.01 SCHEDULE OF DELIVERABLES (FEB 2012)

The specific list of deliverables will be specified at the Task Order level in the Performance Work Statement or Statement of Work. At a minimum, the deliverables shall include:

• Task Order Kick Off Meeting

• Project Plan and Schedule

• Monthly Project Status Report

• Informal Project Status update (as needed)

• Transition Plan

F.7 IDIQ DELIVERABLES

The Government does not waive its right to request deliverables under the IDIQ Contract, even if such requirements are not specifically listed in this table.

Deliverable Table Frequency Deliver To Subcontracting Reporting By the 30th calendar day after each contract year Contracting Officer and eSRS if large business

Data Calls As Required As Requested

F.8 SCHEDULE COMPLIANCE

In the event the Contractor anticipates difficulty in complying with any contract-level delivery schedule, draft or final, the Contractor shall immediately provide written notice to the Contracting Officer and the COR when the delay is first discovered as far in advance of the actual milestone date as possible. Each notification shall give pertinent details, including the date by which the Contractor expects to make delivery; provided that this data shall be informational only in character and that receipt thereof shall not be construed as a waiver by the Government of any contract delivery schedule, or any rights or remedies provided by law or under this contract.

SECTION G - CONTRACT ADMINISTRATIVE DATA

G.1 CLAUSES INCORPORATED BY REFERENCE

FAR TITLE DATE

52.232-18 Availability of Funds APR 1984

G.2 5001.00 CONTRACT ADMINISTRATION (DEC 2011)

This contract will be administered by the Office of Acquisitions of the SEC. All inquiries should be directed to the Contracting Officer/Contract Specialist at the following address:

Office of Acquisitions 100 F Street, NE Washington, DC 20549

Anke Taylor, Contracting Officer Email: ONEOIT@sec.gov

Tucker Smith, Contract Specialist Email: ONEOIT@sec.gov

Melody Bryant, Contract Specialist Email: ONEOIT@sec.gov

G.3 SEVERABLE AND NOV-SEVERABLE SERVICES – DETERMINED AT THE TASK ORDER

LEVEL

G.3.1 5001.02 CONTRACT ADMINISTRATION FOR SEVERABLE SERVICES (AUG 2013)

The services for the contract are considered severable services. Severable services are assigned to contractor personnel (CP) at time of award and need only information provided by SEC employees to complete the daily work. The Contracting Officer’s Representative (COR) will review deliverables within the time frames indicated in SEC clause 4003.01 – Schedule of Deliverables.

G.3.2 5001.03 CONTRACT ADMINISTRATION FOR NON-SEVERABLE SERVICES (AUG 2013)

The services for the contract are considered non-severable services. Non-severable services are considered to be new tasks, each with details of the task and when it is due.

a. The task is described by SEC employees and e-mailed to the Contracting Officer’s Representative

(COR).

b. COR ensures it is in scope and e-mails it to the vendor Project/Program Manager (PM).

c. Vendor PM reviews it and assigns the task to the Contractor personnel

(CP).

d. SEC employees work with the assigned CP.

The COR will review deliverables within the time frames indicated in approved technical direction letter / e-mail.

G.4 5003.00 SUBMISSION OF INVOICES (APR 2012)

The Securities and Exchange Commission accepts only electronic/e-mail invoices. Invoices shall be submitted on a monthly basis.

Contractors should submit invoices in accordance with the SEC Prompt Payment Provision of the contract.

Contractors are cautioned against submitting an invoice prior to goods and services being received/accepted.

Invoices submitted prematurely may be rejected.

Electronic/e-mail Invoice Instructions:

• Invoices must be in PDF Format and may not exceed 10MB

• Subject Line: Company name and the invoice number

• e-mail Message:

• Company logo or letterhead

• Company name and payment address

• Company point of contact (POC) for the invoice with phone and e-mail

• Invoice Number

• SEC Contract or Order number

• SEC COR

For supplies: contract line item number, item description, quantity delivered, and unit and extended price, per Section B CLIN structure

For services: contract line item number, item description, period of performance and associated costs, per Section B, contract line item, CLIN, structure

Shipping and handling charges, if applicable

Clearly mark duplicates of previous invoice submissions with “DUPLICATE”

Clearly mark the final invoice with “FINAL INVOICE”

Attach the invoice and any supporting documents in a secure tamper-proof or tamper-resistant format compatible with Adobe Acrobat.

Electronic signatures are acceptable in scanned documents. Each page of a document must be clearly marked with information identifying it with the company, the contract, the invoice, and any other information required by the contract.

E-mail invoices to the following address: 9-AMC-AMZ-SEC-Invoices@faa.gov. If you have questions regarding submission of invoices, the SEC’s Office of Financial Management may be reached at (202) 551- 7860.

G.5 5003.01 INVOICING SCHEDULE (MAR 2009)

The Contractor shall invoice monthly according to the following schedule:

TBD at the Task Order level.

G.6 5003.02 SOFTWARE LICENSE MAINTENANCE AND SUBSCRIPTION SERVICE

INVOICING (MAR 2009)

It is customary commercial practice to pay for software licenses maintenance at the beginning of the contract period of performance, after submittal of a proper invoice. Specific CLINs identified in the individual Task Order may be invoiced at the beginning of the month of service.

G.7 5003.03 OPTION PERIOD INVOICING (MAR 2009)

Option periods may be paid only after (1) an option modification has been issued by the Contracting Officer;

and (2) the Government’s receipt of a proper invoice from the Contractor. An invoice received by the Government prior to issuance of an option modification will be rejected as an improper invoice.

G.8 5003.04 PERFORMANCE BASED PAYMENT SCHEDULE INVOICING (JUL 2013)

The contractor shall invoice according to the Performance Based Payment Schedule as stated in the Task Order.

G.9 5004.00 APPOINTMENT OF CONTRACTING OFFICER’S REPRESENTATIVE (COR) (NOV

2012)

a. Provided at time of award, is hereby designated the Securities and Exchange Commission COR for administration and information relating to this contract. Provided at time of award is hereby designated as the Alternate COR for this contract.

b. The Contracting Officer (CO) shall appoint, in writing, a Contracting Officer’s Representative (COR) and, if possible, an Alternate COR for this award. The COR and Alternate COR shall have a current Federal Acquisition Certification for CORs (FAC-COR) at the appropriate certification level for the contract. A COR may serve on a contract requiring certification at or below his/her level, but not on one requiring a higher level.

The CO shall provide the Contractor with a copy of the COR appointment letter(s). The COR may not re-delegate his or her authority; only the CO has this authority.

c. The COR will manage the contract in coordination with the CO and within the terms of the contract and the boundaries of a COR’s duties as outlined in the document “Instructions for CORs and Their Supervisors.”

The COR’s responsibilities include reviewing invoices and charges by the Contractor and informing the CO of areas where exceptions are taken. If this is an award for services and Contractor personnel are brought on-site to SEC facilities, the COR must adhere to SECR 10-24.

mailto:9-AMC-AMZ-SEC-Invoices@faa.gov

d. Only the CO has the authority to change the terms and conditions of this contract. The COR may request a contract modification, but the CO will make the final determination. The COR may not agree to or issue a change to the contract terms and conditions.