SOL50310219Q0106.pdf

(i) This is a combined synopsis/solicitation for commercial items prepared for the purchase of

Financial and Accounting Regulatory/Policy Training, catalog offerings covering topics relevant to Accounting and Financial Professionals, and eLearning Licenses in support of Accounting and

Financial Professional Training initiatives for the U.S. Securities and Exchange Commission (SEC)

Headquarters and Regional Offices. The Office of Human Resources (OHR), College of Securities and Professional Development will be the primary user for this service. This combined synopsis/solicitation for commercial items has been prepared for this purchase in accordance with the format in Subpart 12.6 , “Streamlined Procedures for Evaluation and Solicitation for

Commercial Items,” and FAR Part 13.5, “Simplified Procedures for Certain Commercial Items” as supplemented with additional information included in this notice and the Statement of Work ‐

Attachment 1.

This announcement constitutes the only solicitation; quotes are being requested and a written solicitation will not be issued.

(ii) Solicitation Number 50310219Q0106 is issued as a Request for Quote.

(iii) The Solicitation and incorporated provisions and clauses are those in effect through FAC 2019‐

03 effective July 12, 2019.

(iv) Solicitation Number 50310219Q0106 is an unrestricted acquisition (i.e., no set‐aside). The NAICS code for this procurement is 611430, Professional and Management Development Training, Size

Standard $11.0 Million.

(v) Quoters shall provide Financial and Accounting Regulatory/Policy Training, catalog offerings covering topics relevant to Accounting and Financial Professionals, and eLearning Licenses in accordance with Attachment 1 – Statement of Work.

This combined synopsis/solicitation contains the following Line Item Numbers (CLIN) contains the following line item numbers (CLIN) for annual contract cost:

00001 Base Period ‐ Task 1: E‐Learning Programs Provide training on topics in substantive areas of Accounting and Finance in accordance with attached Statement of Work and Pricing Schedule.

POP: Date of Award through twelve (12) months.

00002 Base Period ‐ Task 2: SEC & PCAOB Updates Conferences and Industry Conferences Provide training on topics in substantive areas of Accounting and Finance in accordance with attached Statement of Work and Pricing Schedule.

POP: Date of Award through twelve (12) months.

00003 Option Period One (1) ‐ Task 1: E‐Learning Programs Provide training on topics in substantive areas of Accounting and Finance in accordance with attached Statement of Work and Pricing Schedule.

POP: Date of Option Exercise through twelve (12) months.

00004 Option Period One (1) ‐ Task 2: SEC & PCAOB Updates Conferences and Industry Conferences Provide training on topics in substantive areas of Accounting and Finance in accordance with attached Statement of Work and Pricing Schedule.

POP: Date of Option Exercise through twelve (12) months.

00005 Option Period Two (2) ‐ Task 1: E‐Learning Programs Provide training on topics in substantive areas of Accounting and Finance in accordance with attached Statement of Work and Pricing Schedule.

POP: Date of Option Exercise through twelve (12) months.

00006 Option Period Two (2) ‐ Task 2: SEC & PCAOB Updates Conferences and Industry Conferences Provide training on topics in substantive areas of Accounting and Finance in accordance with attached Statement of Work and Pricing Schedule.

POP: Date of Option Exercise through twelve (12) months.

00007 Option Period Three (3) ‐ Task 1: E‐Learning Programs Provide training on topics in substantive areas of Accounting and Finance in accordance with attached Statement of Work and Pricing Schedule.

POP: Date of Option Exercise through twelve (12) months.

00008 Option Period Three (3) ‐ Task 2: SEC & PCAOB Updates Conferences and Industry Conferences

Provide training on topics in substantive areas of Accounting and Finance in accordance with attached Statement of Work and Pricing Schedule.

POP: Date of Option Exercise through twelve (12) months.

00009 Option Period Four (4) ‐ Task 1: E‐Learning Programs

Provide training on topics in substantive areas of Accounting and Finance in accordance with attached Statement of Work and Pricing Schedule.

POP: Date of Option Exercise through twelve (12) months.

00010 Option Period Four (4) ‐ Task 2: SEC & PCAOB Updates Conferences and Industry Conferences

Provide training on topics in substantive areas of Accounting and Finance in accordance with attached Statement of Work and Pricing Schedule.

POP: Date of Option Exercise through twelve (12) months.

(vi) Description of requirement for items to be acquired.

The Securities and Exchange and Exchange Commission (SEC) anticipates, awarding an Indefinite

Delivery Indefinite Quantity (IDIQ) contract with Firm Fixed Priced task orders.

The SEC intends to award a non‐personal services commercial contract to provide Financial and

Accounting Regulatory/Policy Training, catalog offerings covering topics relevant to Accounting and Financial Professionals, and eLearning Licenses for the SEC Headquarters, in Washington, D.C., and SEC Regional Offices (as applicable). The Government shall not exercise any supervision or control over the contract service providers performing the services herein. Such contract service providers shall be accountable solely to the contractor who, in turn, is responsible to the Government.

The contractor shall provide all personnel, equipment, supplies, facilities, transportation, tools, materials, supervision, and other items and non‐personal services necessary to complete and deliver the services as defined in accordance with Attachment 1, Statement of Work.

The anticipated period of performance shall be up to a Base Period (12 months) and four (4) one

(1) year option periods (if exercised).

Anticipated Contract Type: The Government anticipates awarding a firm‐fixed price Indefinite

Delivery/Indefinite Quantity (IDIQ) type contract. The Government reserves the right to make multiple awards or no award.

The primary place of performance is located at U.S. Securities and Exchange Commission, Headquarters Office, 100 F Street, NE, Washington, D.C. 20549. Additional locations may be added (as applicable). Please see Attachment 2 ‐ Places of Performance.

(vii) The anticipated date of contract award (s) is September 2019.

(viii) FAR 52.212‐1 Instructions to Offerors – Commercial, applies to this acquisition. Offerors may obtain full text versions of these clauses electronically at http://farsite.hill.af.mil/.

Parties responding to this solicitation who believe they can provide Financial and Accounting

Regulatory/Policy Training, catalog offerings covering topics relevant to Accounting and Financial

Professionals, and eLearning Licenses for the SEC Headquarters and Regional Offices may submit their quote in accordance with their standard commercial practices (e.g., on company letterhead, formal quote form, etc.) but must include the following information:

1. The Solicitation Number 50310219Q0106;

2. The time and date specified in the solicitation for receipt of quotes (12:00 PM EST, August 02, 2019);

3. Dun & Bradstreet Number (DUNS);

4. Contact Name, Email address, and telephone number;

5. Complete business mailing address;

6. Price and any discount terms (Note: Pricing shall be separate from Vendor’s Technical Quote;

7. “Remit to” address, if different than mailing address;

8. A completed copy of the representations and certifications at FAR 52.212‐3 (see FAR 52.212‐

3(b) for those representations and certifications that the Quoter shall complete electronically) or indicate that the representations and certifications are available on‐line;

9. A copy of System for Award Management (SAM) registration (see https://www.sam.gov/), or indicate that representations and certifications are available on‐line in the Reps & Certs section of their System for Award Management (SAM) record available at https://www.sam.gov, or a copy of System for Award Management application;

10. Acknowledgment of Solicitation Amendments, if applicable;

11. A technical description of the items being offered in sufficient detail to evaluate compliance with the requirement in the solicitation. This may also include product literature, or other documents, if necessary;

12. Narrative addressing the capability to provide Financial and Accounting Regulatory/Policy

Training, catalog offerings covering topics relevant to Accounting and Financial Professionals, and eLearning Licenses in support of Accounting and Financial Professional Training initiatives for the Office of Human Resources (OHR), College of Securities and Professional Development

(CSIP) for the SEC Headquarters and Regional Offices;

13. A statement specifying the extent of agreement with all terms, conditions, and provisions included in the solicitation. Quotes that fail to furnish required representations or information, or reject the terms and conditions of the solicitation may be excluded from consideration; and

14. Period for acceptance of quotes. The Quoter agrees to hold the prices in its quote firm for 180 calendar days from the date specified for receipt of quotes, unless another time period is specified in an addendum to the solicitation.

(ix) The provision at FAR 52.212‐2, Evaluation – Commercial Items (Oct 2014), applies to this acquisition as follows:

52.212‐2 Evaluation‐ Commercial Items (Oct 2014)

a. The Government will award a contract resulting from this solicitation to the responsible

Quoter whose quote conforming to the solicitation will be most advantageous to the

Government, price and other factors considered. This is a Best Value Procurement.

Comparative Analysis: Following the receipt of responses to the request for quote, the

Government will perform a comparative analysis (comparing quoters’ responses to one another) to select the quoter that is best suited to fulfill the requirements, based on the quoters’ responses to the factors outlined in this solicitation and their relative importance. It is anticipated that the contract award will be made to the responsible quoter submitting an overall quote that is determined most advantageous to the Government, price and non‐price factors considered.

The following factors, in descending order, shall be used to evaluate quotes:

1. Technical Approach and Understanding

2. Past Performance

3. Price

Technical Approach and Understanding will be accorded more weight than Past Performance.

Technical Approach and Understanding and Past Performance, when combined, are significantly more important than price. As the technical quotes become more equal, price becomes more important in making the award determination. In the event that two or more quotes are determined not to have any substantial technical differences, i.e., are technically equivalent, award may be made to the lower priced quote. It should be noted that award may be made to other than the lowest priced quote if the Government determines that a price premium is warranted due to technical merit. The Government may also award to other than highest technically rated quote, if the Government determines that a price premium is not warranted.

The Quoter’s technical quote (Volume 1) must demonstrate the vendor’s capability to perform the requirements outlined in the Statement of Work (SOW). Quoters shall provide a technical quote that includes the following two (2) general areas/factors: Factor 1, Technical Approach and Understanding and Factor 2, Past Performance.

Technical Approach and Understanding: The Quoter’s technical approach shall describe how it addresses specifications and Government requirements as listed in the Statement of Work

(SOW). The Quoter’s technical approach shall clearly describe and address the Quoter’s understanding of the desired outcomes contained in the SOW. Statements such as “the Quoter understands” or “the Quoter will comply” and statements that paraphrase the SOW or other contract requirements are inadequate.

Evaluation of technical approach and understanding will be based on the degree to which the quoter effectively demonstrates a knowledge, understanding, and technical ability to successfully meet the Government’s requirements.

Past Performance: The Government will evaluate relevant past performance of each quoter. The quoter shall identify three (3) contracts/task orders with the Federal Government or Industry that demonstrate recent and relevant past performance. Recent is defined as within the last three (3) years. Relevant is defined as work similar in complexity and magnitude to the work identified in the Statement of Work (SOW). Please include the following information:

Project Title;

Description of the Project;

Contract/Task Order Number;

Contract/Task Order Amount;

Government Agency/Organization;

Contracting Officer Representative (COR) name, address, phone number and email address;

Contracting Officer’s name, address, telephone number and email address;

Current status (e.g., completed and/or in progress, start and estimated completion dates);

Key personnel, (please identify those individuals who worked on the relevant project and are also proposed for this effort); and

A brief narrative of why your firm believes this reference is relevant to the proposed task.

Contractor Performance Assessment Reporting System (CPARS) Assessments are preferred and if a quoter has three (3) relevant and recent CPARS Assessments then the Quoter does not need to have the Past Performance Questionnaire completed. The Quoter may substitute a completed Past Performance Questionnaire if a CPARS Assessment is not available for the submitted reference. The Government may consider other relevant past performance information obtained from other sources known to the Government. The quoters must complete the Past Performance Questionnaire (Attachment 3) and provide it to no more than three (3) references. The references are expected to submit the Past Performance

Questionnaire by email to LaToya Carter at CarterL @sec.gov no later than the closing date/time of the solicitation. It is the responsibility of the quoter to ensure that the Past Performance

Questionnaire is returned to the correct email address no later than the solicitation closing date/time.

Evaluation of past performance will be based on consideration of all relevant facts and circumstances.

Information utilized shall be obtained from Contractor Performance Assessment Reporting

System (CPARS); and may be obtained from references listed in the quote, other customers known to the Government, consumer protection organizations, and others who may have useful and relevant information.

Volume I: Technical Quote

Each quoter shall submit a technical quote separate from the price quote.

Technical quotes shall be limited to 15 one‐sided pages. Past performance questionnaire is not included in the page limitation.

VOLUME 2: PRICE QUOTE

The contract will consist of Financial and Accounting Regulatory/Policy Training, catalog offerings covering topics relevant to Accounting and Financial Professionals, and eLearning

Licenses which will be billed at fixed price.

For the purposes of the evaluation, the Government will compare contract cost (inclusive of option periods) and pricing schedules as indicated in the Quoter’s Price Quote. Quoters are strongly encouraged to offer discounted pricing from established fixed price pricing schedules.

Each Quoter shall submit a price quote separate from the technical quote.

The price quote shall include contract cost totals, and attached price schedules on an Excel

Spreadsheet (see Attachment 4 – Pricing Spreadsheet).

The price quote shall include the following:

a) Contract Costs (inclusive of Base Period and Option Periods).

b) Attached price schedules.

c) If applicable, Prime Contractor/Subcontractor Arrangement or Teaming Arrangement

Supporting Documentation: If subcontracting or teaming is proposed, the Government will evaluate the acceptability of any subcontracting or teaming arrangement as part of its evaluation of price.

Price Quote: The Government expects to receive price competition through the submission of several price quotes. The Quoter’s proposed pricing will be evaluated against the Independent

Government Cost Estimate. Quoters shall propose fixed price contract costs and price schedules that are both realistic and reasonable.

A written notice of award or acceptance of a quote, mailed or otherwise furnished to the successful quoter within the time for acceptance specified in the quote, shall result in a binding contract without further action by either party. Before the quote’s specified expiration time, the

Government may accept a quote (or part of a quote), whether or not there are negotiations after its receipt, unless a written notice of withdrawal is received before award.

(x) Reserved.

(xi) FAR 52.212‐4, Contract Terms and Conditions – Commercial Items (Oct 2018), applies to this acquisition and a statement regarding any addenda to the clause.

(xii) FAR 52.212‐5, Contract Terms and Conditions Required to Implement Statutes or Executive

Orders – Commercial Items (May 2019) applies to this acquisition.

(xiii) FAR 52.212‐5, Contract Terms and Conditions Required to Implement Statutes or Executive

Orders – Commercial Items (May 2019) applies to this acquisition.

(xiv) Defense Priority and Allocations System (DPAS) is not applicable.

(xv) The due date and time for Quotes is Friday, August 2, 2019 at 12:00 PM EST.

Late quotes shall not be accepted.

Quotes shall be delivered via email to LaToya Carter, CarterL@sec.gov and Gabriel G. Aviles, AvilesG@sec.gov.

Quotes shall consist of three (3) electronic files, Mircrosoft Word, Adobe PDF, or Microsoft

Excel type files:

1. Volume 1 ‐ Technical Quote (Microsoft Word or Adobe PDF)

2. Volume 2 ‐ Price Quote (Microsoft Word, Adobe PDF and/or Microsoft Excel Spreadsheet)

3. Pricing Spreadsheet (Microsoft Excel Spreadsheet)

(xvi) All questions concerning this solicitation shall be submitted in writing to LaToya Carter at

CarterL@sec.gov, and Gabriel G. Aviles, AvilesG@sec.gov, no later than 12:00 PM EST, Tuesday, July 23, 2019.

Questions will not be answered orally. E‐mail submission of questions is required. Questions submitted after the specified time/date may not be addressed.

SECTION G - SEC Agency Contract Clauses and Provisions

2001.00 PRESERVATION, PACKAGING, PACKING, AND MARKING (23-MAR-09)

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

2002.00 MARKING (23-MAR-09)

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.

2003.00 ADDITIONAL SHIPPING INSTRUCTIONS (23-MAR-09)

The contractor shall include the SEC contract/delivery order number on all packing slips that accompany items shipped to the SEC.

3001.01 INSPECTION AND ACCEPTANCE BY THE COR (19-AUG-13)

Inspection and Acceptance of supplies and/or services to be furnished under this contract will be performed by the Contracting Officer's Representative (COR) - TBD. Inspection and Acceptance will be performed at the Securities and Exchange Commission, 100 F Street, NE, Washington, D.C. 20549.

4001.00 PERIOD OF PERFORMANCE - W/OPTION PERIODS (23-MAR-09)

The base period of performance under this contract shall be from date of award through twelve

(12) months . This contract has four one year option periods 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 five years. If exercised, the period of performance for each successive option will begin the day after expiration of the previous period. Exercise of any option requires a contract modification signed by the SEC Contracting Officer.

4003.00 PLACE OF DELIVERY - FOB DESTINATION (13-JUN-13)

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

U.S. Securities and Exchange Commission

TBD

TBD

Attn: TBD

Phone Number: TBD

E-mail: TBD

Status Reports:

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 shall contain the following information:

(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 Section G of this contract.

4004.00 DOCUMENTING, INSPECTING, AND ACCEPTING DELIVERABLES (3-JUN-

11)

The contractor shall submit all deliverables requiring a transmittal sheet with either the attached Deliverable Transmittal sheet or an alternative transmittal sheet that contains substantially the same information.

5001.00 CONTRACT ADMINISTRATION (2-DEC-11)

This contract will be administered by the SEC's Office of Acquisitions. All inquiries should be directed to the following address:

Securities and Exchange Commission

Office of Acquisitions

Attn: TBD

Email: TBD

TBD

100 F Street, NE

Washington, DC 20549

5001.03 CONTRACT ADMINISTRATION - NON-SEVERABLE SERVICES (30-AUG-

13)

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 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.

5003.00 SUBMISSION OF INVOICES (30-APR-12)

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.

5003.01 INVOICE SCHEDULING (23-MAR-09)

The contractor shall invoice according to the following schedule.

CLINs00001 through 00010, at the conclusion of the invoicing period.

5005.00 CONTRACT OPTIONS (23-MAR-09)

(a) Award of an initial contract will not obligate the Government to exercise any contractual option. Prior to exercising any option, the Government will make a determination that (1) funds are available, (2) the requirement covered by the option fulfills an existing need of the Government, and (3) the exercise of the option is the most advantageous method of fulfilling the Government's need, price and other factors considered.

(b) Failure to exercise an option shall not obligate the Government to pay any charges other than the contract price including exercised options.

5007.00 PAYMENT INFORMATION (7-MAR-18)

Unless otherwise stated, payment will be made within the guidelines of the Prompt Payment Act and requires that payment is made within 30 days from receipt of a valid invoice.

SECTION H - Special Contract Requirements

6001.00 SEC NON-DISCLOSURE REQUIREMENTS AND AGREEMENTS (FEB-18)

Required non-disclosure agreements are attached and must be completed and returned to the Contracting Officer before starting work under this contract. Note: Electronic and digital signatures are prohibited.

Provisions of the SEC Regulation Concerning Conduct of Members and Employees and Former Members and Employees of the Commission expressly prohibit unauthorized disclosure and improper use of confidential or non-public information or documents. See 17 C.F .R. § 200.7353(b)(1) & (b)(2). The Contractor, and its employees, agents, subcontractors, and subcontractor personnel who will have access to confidential or non-public information or documents in the performance of the contract, agree to be bound by the provisions of Sections 200.735-3(b)(1) and 200.735-3(b)(2) of the SEC's Regulation Concerning Conduct and the terms set forth in the attached non-disclosure agreements (Attachments 1& 2). For purposes of this clause, "confidential or non-public information," is defined as information generated by or in the possession of the SEC that is commercially valuable, trade secret, market sensitive, proprietary, related to an SEC enforcement or examination matter, subject to privilege, protected by the Privacy Act (5 U.S.C. § 552a), or otherwise deemed confidential or non-public by an SEC division director or office head, and is not otherwise available to the public.

An officer or executive authorized to bind the Contractor shall execute the non-disclosure agreement (Attachment 1) on behalf of the Contractor and return it to the Contracting Officer prior to the Contractor commencing work on the contract. The Contractor shall submit to the Contracting Officer a list of its employees, agents, and subcontractors that will be authorized access to SEC information by virtue of performing the requirements set forth in this contract.

Each person identified on the list shall then sign the non-disclosure agreement on behalf of themselves (Attachment 2) and submit it to the Contracting Officer before commencing work on the contract.

The Contractor shall also ensure that all of its employees, agents, and subcontractors assigned to perform the requirements set forth in this contract adhere to the terms of the non-disclosure agreement, protecting all confidential or non-public information, and to not divulge to any unauthorized person. Assignment of staff who has not executed the non-disclosure agreement or failure to adhere to this statement shall result in action by the Contracting Officer, as deemed appropriate. Violation of this clause or the attached non-disclosure agreements by the Contractor, its employees, agents, subcontractors, or subcontractor personnel may result in default of the contract and/or civil suits and/or criminal prosecution.

6001.01 RESTRICTIONS ON USE, DISCLOSURE, AND DUPLICATION OF

CONFIDENTIAL AND NON-PUBLIC INFORMATION (2-NOV-10)

Confidential or non-public information, for purposes of this clause includes but is not limited to, all financial, statistical, personnel and/or technical data which is furnished, produced, generated, or otherwise available to the Contractor, during the performance of this contract. Unless otherwise specified, confidential or non-public information shall not be used for purposes other than performance of work under this contract without the prior written consent of the Contracting Officer. The Contractor, and its employees, agents, subcontractors, and subcontractor personnel are restricted from duplicating or disclosing confidential or non-public information, in whole or in part, outside the Securities and Exchange Commission (SEC) for purposes other than fulfillment of the requirements set forth in this contract. Any presentation of any confidential or non-public information, or any reports or material derived from confidential or non-public information shall be subject to review of the Contracting Officer prior to publication or dissemination. Any questions about whether information is confidential or non-public shall be referred to the Contracting Officer prior to use disclosure or duplication.

(End of clause)

6002.00 TYPE OF CONTRACT (23-MAR-09)

This is a firm-fixed price Indefinite Delivery Indefinite Quantity type contract.

6003.00 REPRESENTATIONS AND CERTIFICATIONS (23-MAR-09)

The Contractor's completed Representations, Certifications, and Other Statements of Offerors or Respondents is incorporated herein by reference.

6004.00 APPROVAL OF SUBCONTRACTS (14-FEB-12)

The Contractor shall not enter into a contractual agreement with any party to furnish any of the work or services under this BPA without the written approval of the Contracting Officer. This provision shall not be interpreted as requiring the approval of contracts for employment between the contractor and personnel assigned for services thereunder.

6005.00 OTHER DIRECT COSTS (30-AUG-11)

All approved travel related expenses will be reimbursed in accordance with the current Federal Travel Regulation found at http://www.gsa.gov/portal/content/102886.

The reimbursement of travel expenses is subject to the following limitations: (1) any subsistence allowance (i.e., meals and lodging) is limited by a per diem allowance prescribed by the link above; (2) expenses incurred as a result of travel using a personal automobile are reimbursed as prescribed by the link above; (3) reimbursement of air and train travel is limited to the most economical rate and reasonable traveled route; and (4) each out-of-pocket travel and allowable miscellaneous administrative expense exceeding $75 requires a receipt that is to be attached to the expert's invoice.

6006.00 CONFLICTS OF INTEREST (FEB 2019)

(a) General

Subpart 9.5 of the Federal Acquisition Regulation (FAR) 48 C.F.R. 9.5, prescribes responsibilities, general rules, and procedures for identifying, evaluating, and resolving organization conflicts of interest.

(b) Purpose

The purpose of this SEC Instruction (SECI) is to avoid, neutralize, or otherwise mitigate organizational conflicts of interest which might exist related to a Contractor's performance of work required by this contract. Such conflicts may arise in situations including, but not limited to:

(1) A Contractor's participation as a offeror, or representative of a offeror, in a procurement in which it has provided assistance in the preparation of the Government's requirements and specifications;

(2) A Contractor providing advisory assistance to the Government for a procurement in which the Contractor, or a firm which the Contractor represents, is an actual or potential offeror; and

(3) A Contractor's participation as a offeror, or representative of a offeror, in a procurement where the Contractor has obtained confidential or proprietary information relating to competing offers as a result of the Contractor's work on prior contracts.

(c) Definition

For the purposes of this SECI, the term ,Contractor, means: the Contractor; any of the Contractor's parents, affiliates, or other entities in which the Contractor or such parents or affiliates have a financial interest; successors in interest to the Contractor or any of its parents or affiliates; proposed consultants or subcontractors at any tier; and employees thereof.

(d) Restrictions

The Contractor agrees:

(1) To remain ineligible to participate in any capacity (including participating as a prime contractor, subcontractor, or as the representative of another party) in offers, contracts, or subcontracts (whether solicited or unsolicited) that directly relate to the Contractor's performance of work under this contract.

(2) To execute, prior to beginning work on a contract, such Confidentiality Agreements, Non- Disclosure Agreements, or other documents which the Contracting Officer may, in their sole discretion, require in order to protect the proprietary nature or confidentiality of information provided by the Government or otherwise received by the Contractor in connection with its work under this contract.

(3) As otherwise provided in this contract, not to accept any compensation or any other form of payment from a broker, potential lessor, or any source other than the Government for services rendered under this contract, and to employ aggressive strategies to minimize the Government's lease costs where the Contractor would be entitled by common business practice to receive a real estate commission or any form of payment from a broker, potential lessor, or other party, for work performed under this contract.

(4) To immediately notify the Contracting Officer of any offer of compensation, other form of payment, or thing of value, made by a broker, potential lessor, or any source other than the Government to the Contractor related to services rendered under this Contract, regardless of whether such offer was made during Contractor's performance of work under a given contract or subsequent to Contractor's completion of work under such contract.

(5) Prior to the acceptance of a contract, request to immediately notify the Contracting Officer of any potential conflict of interest which would prevent or limit the Contractor's ability to perform the work required under the contract.

(6) To immediately notify the Contracting Officer of any conflict of interest discovered during the Contractor's performance of work pursuant to a Government contract; provided that the Contracting Officer shall have the right to impose such restrictions as they deem appropriate on Contractor's performance based on the existence of such a conflict or, if the Contracting Officer determines that such restrictions would not adequately address the conflict of interest at issue, to terminate the Contractor's performance of work under the contract at no cost to the Government.

(7) As otherwise provided in this contract, that if the Contractor declines to accept a task order request and subsequently participates (either directly or as a representative of another party) in a Government procurement action that was the subject of the task order request, then the fee which the Contractor would have been entitled to receive for such task order work or the fee actually paid by the Government for the task order's performance by another contractor, whichever is greater, shall be applied toward the Contractor's minimum order guarantee.

(8) That in the event that the Contractor knowingly withholds the existence of a conflict of interest from the Government, that the Contracting Officer may terminate this contract at no cost to the Government and any minimum guarantee(s) otherwise applicable to the Contractor will be forfeited; provided, that the foregoing shall be in addition to all other remedies and causes of action which the Government may have against the Contractor, including the suspension and/or debarment of the Contractor.

(9) To include this Conflict of Interest SEC Instruction, including this subparagraph, in all of the Contractor's subcontracts at all tiers (appropriately modified to preserve the Government's rights hereunder) which involve the performance of work by subcontractors in support of this contract.

(10) That, in addition to the remedies enumerated above, the Government may terminate this contract for cause in the event of the Contractor's breach of any of the above restrictions.

6007.00 COMPLIANCE WITH REGULATIONS (23-MAR-09)

The Contractor shall comply with all statutes, regulations, directives, instructions, and references applicable to the conduct of this acquisition as imposed by the Federal Government and the SEC, including, without limitation, those specified or referred to in this contract.

The Contractor and its employees shall become acquainted with and shall comply with the rules and regulations of the SEC's facilities, including, but not limited to security, controlled access, personnel clearances, and conduct with respect to health and safety at the site, regardless of whether or not title to the facility is vested in the SEC.

6010.04 CONTRACTOR RESPONSIBILITIES / STANDARDS OF CONDUCT (25-JUL-

The Contractor shall furnish all managerial, supervisory, and personnel to successfully, effectively, and efficiently accomplish all work required by this contract. Contractor personnel are employees of the Contractor and under its administrative control and supervision. Contractor personnel are not employees of the Government.

The Contractor shall select, supervise and exercise control and direction over its employees under this contract. The SEC will not exercise any supervision over the Contractor's employees, but may, in coordination with Contractor management, provide sufficient direction to contractor personnel to ensure that the purposes of the contract are met and the government's interests are protected.

Contractor shall be responsible for:

- Approving time cards of its employees,

- Approving leave requests of its employees,

- Performing performance evaluations of its employees

- Making hiring and firing decisions for its employees.

- Informing its employees that they are not employees of the SEC and have not received an appointment in the federal service.

- Informing its employees that they are not to accept direction from employees of the SEC beyond that required to accomplish the purposes of the Contract.

- Informing its employees that deliverables must be marked with employer's logo or other marking legend (as appropriate to the deliverable) and it must be removable if the SEC elects to use the deliverable as SEC materials. This applies to reports, slides, and other documents called out in the contract as deliverables.

- Informing its employees that the Contractor is responsible for approval of their time cards, leave requests and performance evaluations, and for hiring and firing decisions.

- Directing their employees to identify themselves in their communications (and in their work product as appropriate) as contractors rather than SEC or Federal employees, and ensuring that they in fact do so.

- Directing their employees to display their distinguishing badges or other visible identification of their status as contractors at meetings with government or outside personnel.

- Considering during their performance of the contract whether any actions they are taking would limit the ability of an SEC employee to exercise discretion on an inherently governmental function and bring such actions to the attention of the COR.

The Contractor is accountable to the SEC for the actions of its personnel. The Contractor's employees, when on-site at SEC facilities under this contract, shall only engage in duties specified in the statement of work, task order or other work statement, and not in other business, or political, charitable or other duties. The Contractor shall not recruit on SEC premises or otherwise act to disrupt official SEC business. The Contractor shall be responsible when its employees are on site at the SEC for maintaining satisfactory standards of employee competency, conduct, appearance, and integrity, and shall be responsible for taking such disciplinary action with respect to its employees as may be necessary. Contractor employees are expected to adhere to standards of conduct that reflect credit on themselves, their employer, the SEC and the Federal Government.

6012.00 SECURITY AND PRIVACY ACT MATTERS (23-MAR-09)

The security classification for work performed under this contract is Public Trust. The documents that shall be reviewed and produced are non-public and sensitive in nature and shall be protected from unauthorized disclosure. Work on this project request that personnel have access to Privacy Act Information. Personnel shall adhere to the Privacy Act, Title 5 of the U.S.

Code, Section 552a and applicable agency rules and regulations.

6012.01 COMPLIANCE WITH SECURITY REGULATIONS, POLICIES, AND

PROCEDURES (14-MAR-12)

The Contractor shall be responsible for compliance by its employees with SEC security regulations, policies, and procedures. This includes safekeeping, wearing, and visibility of identification badges. The SEC will issue Contractor identification badges to on-site Contractor personnel, and the badges shall be visible at all times while employees are on SEC premises. The Contractor shall provide all requested information (the SEC will provide forms to the Contractor at time of award) required to facilitate issuance of identification badges and shall conform to applicable regulations concerning the use and possession of the badges. The Contractor shall be responsible for ensuring that all identification badges issued to the Contractor employees are returned within forty-eight (48) hours following the completion of the contract, relocation, or termination of an employee and/or request of the Contracting Officer or the Contracting Officer's Representative (COR).

6012.02 SEC 508 REQUIREMENTS (FEB-18)

Pursuant to Section 508 of the Rehabilitation Act of 1973 (29 U.S.C. 794d), as amended by the Workforce Investment Act of 1998, all Information and Communication Technology (ICT) products and services developed, acquired, maintained, and/or used under this contract/order must comply with the Information and Communication Technology Accessibility Provisions set forth by the Architectural and Transportation Barriers Compliance Board (also referred to as the "Access Board") in FAR 39.203(a). The complete text of Section 508 Final Provisions can be accessed at Section 508 Law.

All ICT products must comply with the following requirements. Descriptions of the requirements are viewable at the link Section 508 Standards.

Offerors that fail to demonstrate compliance with the above requirements, may be eliminated from further consideration for award.

The Contractor shall indicate for each line item in the schedule whether each product or service is compliant or non-compliant with the accessibility requirements at 36 CFR 1194 using a Voluntary Product Accessibility Template (VPAT 2.0). Further, the quote must indicate where full details of compliance can be found (e.g., vendor's website or other exact location). The offeror further represents that all ICT products and services that are less than fully compliant have been reviewed and plans to correct are in place.

Respondents to this solicitation must provide any additional detailed information necessary for determining applicable Section 508 standards conformance. If a vendor claims its products and/or services, including ICT deliverables such as electronic documents, web content or electronic reports, meet applicable Section 508 standards, and it is later determined by the Government - i.e., after award of a contract/order, that products and/or services delivered do not conform to the described accessibility, remediation of the products and/or services to the level of conformance specified in the contract will be the responsibility of the Contractor at its expense.

6012.02 *A.01 ELECTRONIC AND INFORMATION TECHNOLOGY (EIT) (23-MAR-

09)

In accordance with Section 508 of the Rehabilitation Act of 1973 (29 U.S.C. 794d), all EIT supplies or services provided under this contract must comply with the applicable accessibility standards issued by the Architectural and Transportation Barriers Compliance Board at 36 CFR Part 1194 (see FAR Subpart 39.2). Electronic and information technology (EIT) is defined at

FAR 2.101.

6012.04 ELECTRONIC AND INFORMATION TECHNOLOGY ACCESSIBILITY (16-

MAY-11)

Each Electronic and Information Technology (EIT) product or service furnished under this contract shall comply with the Electronic and Information Technology Accessibility Standards (36 CFR 1194 ). If the Contracting Officer determines any furnished product or service is not in compliance with the contract, the Contracting Officer will promptly inform the Contractor in writing. The Contractor shall, without charge to the Government, repair or replace the non-compliant products or services within the period of time to be specified by the Government in writing. If such repair or replacement is not completed within the time specified, the Government shall have the following recourses:

The right to Termination of the contract, delivery or task order, purchase or line item without termination liabilities pursuant to the contract termination clauses; or

In the case of custom Electronic and Information Technology (EIT) being developed for the Government, the Government shall have the right to have any necessary changes made or repairs performed by itself or by another firm and the contractor shall reimburse the Government for any expenses incurred thereby.

For every EIT product or service accepted under this contract by the Government that does not comply with 36 CFR 1194, the contractor shall, at the discretion of the Government, make every effort to replace or upgrade it with a compliant equivalent product or service, if commercially available and cost neutral, on either the planned refresh cycle of the product or service, or on the contract renewal date, whichever shall occur first.

In the event of a modification(s) to this contract/order, which adds new EIT products and services or revises the type of, or specifications for, products and services the Contractor is to provide, including EIT deliverables such as electronic documents and reports, the Contracting Officer may require that the contractor provide an update of information provided in the solicitation to identify EIT compliance. Under any maintenance agreement, Contractor agrees to maintain compliance with Section 508 of the Rehabilitation Act of 1973 for all EIT.

In order to comply with 36 CFR 1194 Section 41, the Contractor shall submit all soft copies (e.g., user manuals, product documentation, etc.) in a format that will be readable using assistive technology, (e.g., screen reader). All imbedded charts, graphs, pictures, etc., must be accessible and understandable using a screen reader.

(End of Clause)

6012.05 PERSONALLY IDENTIFIABLE INFORMATION (PII) IN CONTRACTS TO

DESIGN, DEVELOP, OPERATE, OR MAINTAIN A SYSTEM OF RECORDS (JUNE

2019)

A Contractor that designs, develops, operates or maintains a system of records on behalf of the agency to accomplish an agency function or otherwise maintains Personally Identifiable Information (PII) in the performance of this contract shall, prior to taking such action, comply with the following requirements:

a) The Contractor shall have established policies and procedures in place to safeguard PII. The policies and procedures shall provide the Contractor's processes for identifying, assessing and mitigating privacy risks associated with PII. The policies and procedures shall also cover training of employees on their roles and responsibilities for safeguarding PII and reporting suspected or confirmed compromise of PII.

b) The Contractor shall also ensure that all processes, procedures and equipment associated with PII comply with all laws, regulations, and security mandates as defined by National Institute of Standards and Technology (NIST) Special Publication (SP) 800-61 Revision 2 or the latest revision, and SEC policies developed to safeguard the confidentially, integrity and availability of SEC data that may contain PII. In support of these requirements, the Contractor shall have:

- policies, procedures, and mechanisms designed to restrict access to SEC data on Contractor, subcontractor, or SEC inter/intra agency partner systems exclusively to authorized personnel;

- policies, procedures, and mechanisms that prevent transmission or disclosure of SEC data to an unauthorized party;

- policies, procedures, and mechanisms that ensure SEC data on portable devices are encrypted using methods compliant with Federal Information Processing Standard 140-2; and

- policies, procedures, and mechanisms that ensure SEC data transmitted across public networks (i.e., the Internet) by the Contractor, or its employees, agents or subcontractors, are protected using secure communications, including the use of Transport Layer Security (TLS) protocol and the Advanced Encryption Standard (AES) 256 bit encryption algorithm.

c) The Contractor shall make its privacy policies and procedures that describe administrative, physical, and technical safeguards to protect PII available for review by the SEC Office of Information Security within 10 business days of request.

d) The Contractor shall ensure that those individuals adhere to the Contractor's policies and procedures relating to PII and to SEC-prescribed policies and procedures for the safe handling of SEC…