50310219Q0111_Data_Feed_Licensing.pdf

SEE ADDENDUMIS CHECKED

CODE 18a. PAYMENT WILL BE MADE BY

CODE

FACILITYCODE

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

OFFEROR

SEC-OA - 01

WASHINGTON DC 20549

100 F STREET NE

IT - 01 SUPPORT BRANCH

OFFICE OF ACQUISITIONS

SECURITIES AND EXCHANGE COMMISSION

SEC - OIT CODE 16. ADMINISTERED BYCODE

X

X

541519

SIZE STANDARD:

% FOR:SET ASIDE:UNRESTRICTED ORSEC-OA - 01

RFPIFB

10. THIS ACQUISITION ISCODE

RFQ

14. METHOD OF SOLICITATION

13b. RATING

NAICS:

SMALL BUSINESS

07/25/2019 1700 ES

07/11/2019

202-551-7736PAUL LAFRANCHISE

(No collect calls)

INFORMATION CALL:

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

4. ORDER NUMBER3. AWARD/ 6. SOLICITATION

50310219Q0111

5. SOLICITATION NUMBER

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

1 17 63000-19-0477OFFEROR TO COMPLETE BLOCKS 12, 17, 23, 24, & 30

MAIL STOP 4226

TELEPHONE NO.

17a. CONTRACTOR/

WASHINGTON DC 20549-2000

ATTN ASSET MANAGEMENT

100 F ST NE

OFFICE OF INFORMATION TECHNOLOGY

SECURITIES AND EXCHANGE COMMISSION

15. DELIVER TO

WASHINGTON DC 20549

MAIL STOP 4226

100 F STREET NE

IT - 01 SUPPORT BRANCH

OFFICE OF ACQUISITIONS

9. ISSUED BY

7.

2. CONTRACT NO.

EFFECTIVE DATE

$27.50

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

ISSUE DATE

DELIVERY FOR FOB DESTINA-

TION UNLESS BLOCK IS

MARKED

11.

SEE SCHEDULE

12. DISCOUNT TERMS

THIS CONTRACT IS A

RATED ORDER UNDER

DPAS (15 CFR 700)

13a.

SERVICE-DISABLED

VETERAN-OWNED

SMALL BUSINESS

HUBZONE SMALL

BUSINESS

8(A)

SECURITIES AND EXCHANGE COMMISSION

WOMEN-OWNED SMALL BUSINESS

(WOSB) ELIGIBLE UNDER THE WOMEN-OWNED

SMALL BUSINESS PROGRAM

EDWOSB

24.

AMOUNT

23.

UNIT PRICE

22.

UNIT

21.

QUANTITY

20.

SCHEDULE OF SUPPLIES/SERVICES

19.

ITEM NO.

Period of Performance: 09/08/2019 to 09/07/2020

00001 Base Year financial security data feed and annual licensing fee.

00002 Option Year 1 - financial security data feed and annual licensing fee.

(Option Line Item)

Continued ...

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

HEREIN, IS ACCEPTED AS TO ITEMS:

XX

DATED

ROSS SAXTON

. YOUR OFFER ON SOLICITATION (BLOCK 5),

INCLUDING ANY ADDITIONS OR CHANGES WHICH ARE SET FORTH

COPIES TO ISSUING OFFICE. CONTRACTOR AGREES TO FURNISH AND DELIVER

ARE

ARE

31c. DATE SIGNED

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

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

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

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

SHEETS SUBJECT TO THE TERMS AND CONDITIONS SPECIFIED.

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

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

OFFER

STANDARD FORM 1449 (REV. 2/2012)

Prescribed by GSA - FAR (48 CFR) 53.212

ARE NOT ATTACHED.

ARE NOT ATTACHED.

AUTHORIZED FOR LOCAL REPRODUCTION

PREVIOUS EDITION IS NOT USABLE

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

30a. SIGNATURE OF OFFEROR/CONTRACTOR

28. CONTRACTOR IS REQUIRED TO SIGN THIS DOCUMENT AND RETURN

25. ACCOUNTING AND APPROPRIATION DATA

29. AWARD OF CONTRACT:

REF.

32e. MAILING ADDRESS OF AUTHORIZED GOVERNMENT REPRESENTATIVE

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

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

32a. QUANTITY IN COLUMN 21 HAS BEEN

RECEIVED INSPECTED

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

37. CHECK NUMBER

FINALPARTIAL

36. PAYMENT

FINALPARTIAL

35. AMOUNT VERIFIED

CORRECT FOR

34. VOUCHER NUMBER33. SHIP NUMBER

COMPLETE

32g. E-MAIL OF AUTHORIZED GOVERNMENT REPRESENTATIVE

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

42b. RECEIVED AT (Location)

42a. RECEIVED BY (Print)

41c. DATE41b. SIGNATURE AND TITLE OF CERTIFYING OFFICER

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

STANDARD FORM 1449 (REV. 2/2012) BACK

24.

AMOUNT

23.

UNIT PRICE

22.

UNIT

21.

QUANTITY

20.

SCHEDULE OF SUPPLIES/SERVICES

19.

ITEM NO.

00003 Option Year 2 - financial security data feed and annual licensing fee.

(Option Line Item)

00004 Option Year 3 - financial security data feed and annual licensing fee.

(Option Line Item)

00005 Option Year 4 - financial security data feed and annual licensing fee.

(Option Line Item)

32f. TELEPHONE NUMBER OF AUTHORIZED GOVERNMENT REPRESENTATIVE

32d. PRINTED NAME AND TITLE OF AUTHORIZED GOVERNMENT REPRESENTATIVE

17 2 of

DRAFT

SEC TION B - Contract Line Item/Price Structure

T his contract consists of a Base Year and four (4) Option Years.

C LIN Description C ontract Type Total CLIN Price

0001 Financial Data Feed – Base Year Firm Fixed Price $

0002 Financial Data Feed – Option Year 1 Firm Fixed Price $ 0003 Financial Data Feed – Option Year 2 Firm Fixed Price $ 0004 Financial Data Feed – Option Year 3 Firm Fixed Price $ 0005 Financial Data Feed – Option Year 4 Firm Fixed Price $

Formatted

SEC TIO N C - DESCRIPTION/SPECIFICATIONS/STATEMENT O F WORK

C .1 Scope. The U.S. Securities and Exchange Commission (SEC) requires an external data feed in an electronic format from a data provider. The data feed will be retrieved from a secure File Transfer Protocol (FTP) site and uploaded on a daily basis into a database that the SEC’s proprietary personal trading and pre-clearance system can query. The data feed shall include the following fields: Security Name; Applicable T icker Symbol; CUSIP or equivalent number; IPO Effective Date; and Security Type, Domicile Identifier, Market Identifier, . This data shall be submitted in a pipe delimited flat text file with a designator to specify the delimiter.

C .1.1 Background. Employees of the SEC are required to submit a pre-trade request for securities transactions per SEC Supplemental Ethics Regulations. It is the intention of the SEC to add a data feed to enhance the user’s experience when conducting a security search.

C .2 Applicable Documents. The following are the documents applicable to this requirement. The SEC will provide the applicable documents referenced in Sections C.2.2 through C.2.4.

C .2.1 Federal Requirements and Industry Standards

1. T he E-Government Act of 2002 (Pub. L. 107-347), including the Federal Information Security

Management Act of 2002 (FISMA) – 44 U.S.C. Chapter 36.

2. Privacy Act of 1974, Public Law 93-579, 5 U.S.C. § 552a as amended.

3. T he Electronic Communications Privacy Act of 1986, Public Law 99-508, 100 Stat. 1848, 18

U.S.C. § 2510, October 21, 1986.

4. Section 508 of the Rehabilitation Act of 1973, as amended (29 U.S.C. 794d) for system accessibility requirements.

5. Office of Management and Budget (OMB) Memorandum M-14-04, FY 2013 Reporting Instructions for the Federal Information Security Management Act and Agency Privacy Management.

6. OMB Memorandum M-03-22, OMB Guidance for Implementing the Privacy Provisions (section 208) of the E-Government Act of 2002, September 30, 2003.

7. OMB Circular A-130, Appendix III, A Security of Federal Automated Information Systems, http://csrc.ncsl.nist.gov/secplcy/a130app3.txt.

8. W orld Wide Web Consortium (W3C), Platform for Privacy Preferences Project (P3P) at http://www.w3.org/P3P/.

9. Federal Information Processing Standard (FIPS) Publication (PUB) 104-2, Security Requirements for

Cryptographic Modules, May 2001

10. National Institute for Standards and Technology (NIST), Special Publication (SP) 800-122Guide to

Protecting the Confidentiality of Personally Identifiable Information (PII), April 2010.

11. NIST SP 800-115, Technical Guide to Information Security Testing and Assessment, Sept 2008.

12. NIST SP 800-100, Information Security Handbook: A Guide for Managers, Oct 2006.

13. NIST SP 800-95, Guide to Secure Web Services, Aug 2007.

14. NIST SP 800-92, Guide to Computer Security Log Management, Sep 2006.

15. NIST SP 800-88, Guidelines for Media Sanitization, Sep 2006.

16. NIST SP 800-61 Rev. 1, Computer Security Incident Handling Guide, Mar 2008.

17. NIST SP 800-53 Rev. 4, Security and Privacy Controls for Federal Information Systems and

Organizations, April 2013.

18. NIST SP 800-53A Rev 1, Guide for Assessing the Security Controls in Federal Information Systems, June

2010.

19. NIST SP 800-44 Version 2, Guidelines on Securing Public Web Servers, Sep 2007.

20. NIST SP 800-30 Rev 1, Guide for Conducting Risk Assessments, September 2012.

21. NIST SP 800-37, Rev 1, Guide for Applying the Risk Management Framework to Federal Information

Systems: A Security Life Cycle Approach, February 2010.

22. NIST SP 800-64, Rev 2, Security Considerations in the System Development Life Cycle, October 2008 http://en.wikipedia.org/wiki/Title_18_of_the_United_States_Code http://en.wikipedia.org/wiki/Title_18_of_the_United_States_Code http://www.law.cornell.edu/uscode/18/2510.html http://www.w3.org/P3P/

C .2.2 SEC Administrative Regulations

Se ction SEC R No. Title Date C.2.2.1 23-2A Safeguarding Non-Public Information 01/21/2000

C .2.2.1 SEC Information Security Requirements. The Contractor shall adhere to the following security requirements:

1. T he vendor shall notify the SEC within one (1) hour of the vendor, or vendor contractor, identifying that a breach may have occurred.

2. T he vendor shall provide documented procedures and allow validation of control procedures around the data.

C .2.3 SEC Security Information

Se ction Number Title Date C.2.3.1 II 24-04.02.01 Sensitive Data Protection 04/06/2006 C.2.3.2 OD 24-04.06 IT Security Access Management Program 12/12/2005 C.2.3.3 II 24-04.06.04 Personally Identifiable Information (PII) 04/20/2007 C.2.3.4 OP 24-04.10.03.02 IT Security Auditing and Logging Procedures 04/20/2006

C .2.4 IT Policies and Procedures

Se ction Document No. Title Date C.2.4.1 00-35-011-001.0 OIT Section 508/Rehabilitation Act

Compliance Standards and Guidelines 10/09/2001

C .3 Requirements

C .3.1 Section 508 Accessibility. The Contractor’s products and services shall comply with all applicable provisions of the standards issued by the Architectural and Transportation Barriers Compliance Board (Access Board) (http://www.access-board.gov/sec508/guide/) to ensure the accessible use of Federal electronic and information technology. See also Sections C.2.1.4 and C.2.4.1.

C .3.2 Project Management

C .3.2.1 Account Representative. The Contractor shall designate a Account Representative with the skills, knowledge, responsibility, and authority to respond to and resolve any problems, issues, concerns, resolutions, or plans with the Contracting Officer’s Representative (COR). The Project Manager shall maintain project communications and proactively alert the COR to potential contractual and performance concerns or issues.

C .3.2.2 Kick-off Meeting. Within two (2) weeks of contract award, the key Contractor personnel under this contract shall participate in a kick-off meeting to review the Project Plan and ensure a common understanding of project goals and expectations. The Contractor shall prepare and submit to the COR the minutes of the meeting with action items and planned completion dates for actions items identified within five days. The COR will notify the Contractor of any areas of disagreement. The Contractor shall work with the COR to resolve any issues and shall resubmit the revised minutes to the COR for review and approval within two days of receiving feedback (Deliverable 1).

C .3.2.3 Status Reports. The Contractor shall prepare and submit to the COR a formal Monthly Status Report that includes a schedule and cost variance report (that is, Gantt charts) indicating any variances that may have http://portal.sec.gov/sites/ofa/irm/policy/II/II24-04-02-01_Sensitive_Data_Protection.doc https://opc-ad-pvcsp2/Operating_Procedures_Tier4/OP24-04-06-01-04_User_Access_Reviews.doc http://portal.sec.gov/sites/ofa/irm/policy/II/II24-04-06-04_Personally_Identifiable_Information.doc https://opc-ad-pvcsp2/Operating_Procedures_Tier4/OP24-04-10-03-02_IT_Security_Auditing_and_Logging_Procedures.doc http://portal.sec.gov/sites/oit/ofa/irm/policy/Public/Section508ComplianceStandardsGuidelines.doc http://portal.sec.gov/sites/oit/ofa/irm/policy/Public/Section508ComplianceStandardsGuidelines.doc http://www.access-board.gov/sec508/guide/ occurred comparing the baseline (i.e., project plan) schedule and cost to the current schedule and cost (Deliverable 2).

C .3.2.4 Status Meetings. The Contractor shall conduct quarterly status meetings with the COR to discuss the findings of the scans and status meetings to discuss any other issues, as required. The Contractor shall prepare and submit to the COR the minutes of each meeting with action items and planned completion dates for actions items identified within five days. The COR will notify the contractor of any areas of disagreement. The Contractor shall work with the COR to resolve the issues and shall resubmit the revised minutes to the COR for review and approval within two days of receiving feedback (Deliverable 3).

C .3.3 Compliance. The Contractor shall ensure compliance with applicable laws, regulations, and federal mandates including OMB Memoranda and Circulars and National Institute for Standards and Technology (NIST) standards and guidelines. The contractor shall comply with the SEC and OIT policies and procedures included in Sections C.2.2 through C.2.4 above. Before going into production, the contractor shall be subject to security assessment and will be responsible for remediation activities that result from the security assessment, based on SEC’s remediation requirements.

C .3.4 Technical Business Requirements. The Contractor’s data source shall provide a master global securities list to populate the SEC’s proprietary personal trading pre-clearance system. Requirements include at a minimum, ticker, security name, and security type, CUSIP, and IPO Effective Date.

C .3.4.1 Security Universe Data Set. The Contractor’s data feed shall contain the following:

1. Global Financial Securities Data;

a. Global coverage includes securities domiciled inside and outside of the US.

b. Securities traded on exchanges outside of the US.

c. An element that indicates if a security is traded on an exchange outside of the United States.

2. Must contain examples of the following security types;

a. Equities

i. Common stock and preferred.

ii. American Depository Receipts.

b. Fixed Income;

i. Corporate bonds.

ii. Convertible bonds.

iii. Municipals.

c. Mutual Funds (open and closed);

d. Money Market Funds;

i. U.S. Treasury funds.

ii. U.S. Government and agency funds.

iii. Diversified taxable funds.

iv. T ax-free funds (e.g., tax exempt securities of local and state governments).

e. Exchange Traded Notes;

f. Exchange Traded Funds;

g. Digital Assets(e.g., virtual currencies; crypto-currencies; block chain; coins; tokens) Indicator

h. Initial Public Offerings; and

i. Corporate Actions (Mergers, Acquisitions, Spin Offs, etc.) Information

C .3.4.2 Required Data Fields. The data feed must include the following for all asset classes referenced in C.3.4.1:

1. Identify the security type;

2. Contain ticker if applicable to the security type;

3. Contain CUSIP or equivalent if applicable;

4. Contain full security name (not abbreviated name) and share class of all mutual funds; and

5. Identify the IPO effective date.

6. Identify location of exchange (US vs International)

7. Domicile Identifier

8. Market Identifier

C .3.4.3 Data Delivery Requirements. The minimum data requirements are as follows:

1. T he file shall be in a pipe delimited flat text file with a designator to specify the delimiter;

2. T he data must be available for transmission via secure FTP (file transfer protocol), supporting transmission via encrypted tunnel using SSL 3.0 or other SEC approved encryption. The SEC will determine the time when the data file will be available for transmission via the vendor’s secure FTP site;

3. T he master file must be delivered to initiate service, thereafter; updates must be delivered in the same format as the master file;

4. Data updates must be delivered daily, Monday through Friday;

5. Updates must contain additions, deletions, and changes to assigned securities via delta file(s) and a method of identifying no changes were reported for a given day; Additions, deletions and changes to assigned securities within the delta file(s) should be aligned with unique identifier keys; and

6. T able definitions and data must be provided in a standardized format that allows users to design their own applications to access the security data quickly and efficiently, without extensive technical training and support.

SEC TIO N D - PACKAGING AND MARKING

2001.00 Preservation, Packaging, Packing 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.

2002.00 Marking (Mar 2009). 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.

SEC TIO N E - INSPECTION AND ACCEPTANCE

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) – TBD. Inspection and Acceptance will be performed at the Securities and Exchange Commission, 100 F Street, NE, Washington, D.C. 20549.

SEC TIO N F - DELIVERIES OR PERFORMANCE

4001.00 Period of Performance w/Option Years (Mar 2009). The base period of performance under this contract shall be for one (1) year. T his contract has four (4) 1-year 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 (5) years and six (6) months. 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.2 Place of Performance. The Contractor shall provide its own workspace for all work performed to support this contract at the contractor’s facilities. The SEC will organize on-site meetings with SEC staff when and if required and approved in advance by the COR.

4003.00 Place of Delivery – FOB Destination (Jun 2013). T he deliverables to be furnished under this contract shall be delivered to the following address:

U.S. Securities and Exchange Commission Station Place - Headquarters 100 F Street NE Washington, D.C. 20549

4003.01 Schedule of Deliverables (Feb 2012). All deliverables shall be transmitted to the COR in Microsoft (MS) Office Suite or compatible format with either a cover letter printed on the prime Contractor’s letterhead or an electronic mail message identifying the Contractor and its business location describing the contents. Any statistics or details embedded in MS PowerPoint presentations must also be submitted in MS Excel to facilitate analysis. An alternative Contractor format is acceptable, following written approval from the COR. When deliverables are sent via e-mail, the Contractor shall request a confirmation of receipt from the COR.

T he table below lists the deliverables that will be furnished by the Contractor under this contract award.

Se ction De liverable Schedule C.3.2.3 Kick-off meeting minutes - draft W ithin 2 days after the kick-off meeting C.3.2.3 Kick-off meeting minutes - final W ithin 2 business days after receiving feedback from the

COR

C.3.2.4 Status reports W eekly C.3.2.5 Minutes of status meetings - draft W ithin 2 business days after the meeting C.3.2.5 Minutes of status meetings - final W ithin 2 business days after receiving feedback from the

COR

SEC TIO N G – CONTRACT ADMINISTRATION DATA

5001.00 Contract Administration (Dec 2011). 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: Paul LaFranchise

Phone: 202-551-7736 Email: lafranchisep@sec.gov

100 F Street, NE W ashington, DC 20549

5001.02 Contract Administration for Severable Services (Aug 2013) T he 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.

5003.00 Submission of Invoices (Apr 2012)

T he Securities and Exchange Commission accepts only electronic/e-mail invoices.

Invoices shall be submitted on a [FILLIN#1# insert Frequency of Invoice Submission here] 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.

5003.03 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.

5004.00 Appointment of Contracting Officer’s Representative (COR) (Nov 2012).

T he 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.

T he 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.

T he 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.”

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

T he 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.

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. T he COR may not agree to or issue a change to the contract terms and conditions. In the event the Contractor effects changes to the contract at the direction of any person other than the CO, the changes will be considered to have been made without any authority and no adjustments will be made to the contract.

5007.00 Payment Information (Feb 2012). Payment will be made to small business contractors within 15 days of receipt of a valid invoice.

Unless otherwise stated, and the contractor is not a small business, 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.

SEC TIO N H – SPECIAL CONTRACT REQ UIREMENTS

6001.00 SEC Non-Disclosure Requirements and Agreements (Jul 2012). Required non-disclosure agreements are attached and must be completed and returned to the Contracting Officer before starting work under this contract.

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.

T he 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 (Nov 2010). 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.

6002.00 Type of Contract (Mar 2009). It is anticipated that this contract will be awarded on a Firm-Fixed Price (FFP) basis.

6003.00 Representations and Certifications (Mar 2009). The Contractor’s completed Representations, Certifications, and Other Statements of Offerors or Respondents is incorporated herein by reference.

6005.00 Other Direct Costs (Aug 2011). 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.

T he 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.

6010.04 Contractor Responsibilities/Standards of Conduct (Jul 2013). 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.

T he 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.

http://www.gsa.gov/portal/content/102886

• 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 wo uld 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.

T he 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, contract 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.

6012.02 SEC 508 Requirements (March 2011). 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 electronic and information technology (EIT) products and services developed, acquired, maintained, and/or used under this contract/order must comply with the Electronic and Information Technology Accessibility Provisions set forth by the Architectural and Transportation Barriers Compliance Board (also referred to as the “Access Board”) in FAR 39.2.The complete text of Section 508 Final Provisions can be accessed at http://www.access-board.gov/sec508/provisions.htm.

All EIT products must comply with the following standards. Descriptions of the standards are viewable at the link

Section 508 Standards.

• 36 CFR 1194 Section 21-Software applications and operating systems

• 36 CFR 1194 Section 22-Web-based Intranet and Internet Information and Applications

• 36 CFR 1194 Section 23-Telecommunication Products

• 36 CFR 1194 Section 24-Video and Multimedia Products

• 36 CFR 1194 Section 25-Self-contained, closed products

• 36 CFR 1194 Section 26-Desktop and Portable Computers

• 36 CFR 1194 Section 31-Functional Performance Criteria

• 36 CFR 1194 Section 41-Information, documentation, and support

Offerors that fail to demonstrate compliance with the above standards, or provide equivalent salient characteristics, may be eliminated from further consideration for award.

T he Contractor shall indicate for each line item in the schedule whether each product or service is compliant or non-compliant with the accessibility standards at 36 CFR 1194 using a Voluntary Product Accessibility T emplate (VPAT). Further, the proposal 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 EIT 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, as well as for documenting EIT products and/or services that http://www.access-board.gov/sec508/provisions.htm http://www.access-board.gov/sec508/provisions.htm http://www.section508.gov/index.cfm?fuseAction=stdsSum http://www.itic.org/index.php?src=gendocs&ref=vpat&category=resources http://www.itic.org/index.php?src=gendocs&ref=vpat&category=resources http://www.itic.org/index.php?src=gendocs&ref=vpat&category=resources are incidental to the project, which would constitute an exception to Section 508 requirements. If a vendor claims its products and/or services, including EIT deliverables such as electronic documents and 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.

6012.04 Electronic and Information Te chnology Accessibility (Mar 2011). 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:

• T he right to Termination of the contract, delivery or contract, 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.

SEC TIO N I – CONTRACT CLAUSES

52.252-2 Federal Acquisition Regulation (FAR) Clauses Incorporated by Reference (Feb 1998) T his contract incorporates one or more clauses by reference, with the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available. Also, the full text of a clause may be accessed electronically at this address http://www.acquisition.gov/far/index.html.

52.212-1 Instructions to Offerors – Commercial Items (JULY 2013) 52.212-3 Offeror Representations and Certifications—Commercial Items (AUG 2013) 52.212-4 Contract Te rms and Conditions -- Commercial Items (MAY 2014) 52.212-5 Contract Te rms and Conditions Required to Implement Statutes or Executive Orders --

C ommercial Items (SEPT 2013). In paragraph (a), the following clause applies: 52.222-50. In http://www.access-board.gov/sec508/standards.htm#Subpart_b http://www.acquisition.gov/far/index.html paragraph (b), the following clauses apply: 52.203-6, 52.222-3, 52.222-19, 52.222-21, 52.222- 26, 52.222-35, 52.222-36, 52.222-37, 52.222-40, 52.232-33 and 52.239-1.

52.217-8 Option to Extend Services (Nov 1999) T he Government may require continued performance of any services within the limits and at the rates specified in the contract. These rates may be adjusted only as a result of revisions to prevailing labor rates provided by the Secretary of Labor. The option provision may be exercised more than once, but the total extension of performance hereunder shall not exceed 6 months. The Contracting Officer may exercise the option by written notice to the Contractor within 15 days.

52.217-9 Option to Extend the Te rm of the Contract (Mar 2000)

(a) The Government may extend the term of this contract by written notice to the Contractor within the current period of performance; provided that the Government gives the Contractor a preliminary written notice of its intent to extend at least 30 days before the contract expires. The preliminary notice does not commit the Government to an extension.

(b) If the Government exercises this option, the extended contract shall be considered to include this option clause.

(c) The total duration of this contract, including the exercise of any options under this clause, shall not exceed 5 years and 6 months.

52.225-25 -- Prohibition on Contracting with Entities Engaging in Certain Activities or Transactions Relating to Iran—Representation and Certifications (Dec 2012)

SEC TIO N J – LIST OF ATTACHMENTS

Attachment 1 - Certification by Corporations Regarding an Unpaid Delinquent Tax Liability or a Felony Conviction under Federal Law (FEB 2012).

SEC TIO N K - R CERTIFIC ATIONS AND REPRESENTATIO NS

T he Contractor shall have current, accurate and complete Representations and Certifications registered in the System for Award Management (SAM.gov).

SEC TIO N L – INSTRUCTIONS, CONDITIONS, AND OTHER STATEMENTS O F

O FFERORS OR RESPONDENTS

L.1 Submission of Proposals. Offerors are responsible for submitting a proposal by _______. The proposals shall be submitted via e-mail to Paul LaFranchise at lafranchisep@sec.gov.

Offers shall complete and submit the SF1449.

L.2 Submission of Questions. Questions concerning this Request for Proposal (RFP) shall be submitted in writing via e-mail to Paul LaFranchise at lafranchisep@sec.gov, not later than ________. Oral questions (telephone) will not be addressed or entertained.

L.3 General Proposal Guidelines. Your company must submit a Technical Proposal and a separate Price Proposal containing the information set forth below. The Technical and Price Proposal shall be separate and complete so that evaluation of one may be accomplished independently of the other. T he Government anticipates awarding a contract to the offeror whose response represents the best value to the Government, price and other factors considered.

W ithin the first two pages of the Technical proposal and Price proposal, the contractor shall identify and explain any exceptions, deviations taken, or conditional assumptions made with respect to the proposal versus the requirements of the contract. Any exceptions, etc., taken shall contain sufficient amplification and justification to permit evaluation. All benefits to the SEC shall be explained for each exception, etc.

taken. Offerors are cautioned that ANY exceptions, deviations taken, or conditional assumptions may re nder the quotation unacceptable and not considered for award.

L.5 Te chnical Proposal. T echnical Proposals shall address the requirements of the RFP and the evaluation factors presented in this RFP. The technical proposal shall not refer to cost/price. However, information concerning resources such as labor hours and labor categories shall be included (without reference to the associated rates or pricing) so that the SEC can evaluate the Offeror’s understanding of the scope of the required work. The page limit for technical proposals is 10 pages. The technical proposal shall be divided into the following sections:

Factor 1: Technical Capability and Approach. Describe your company’s understanding of the work requirements for this solicitation and demonstrate that your organization has the technical knowledge and capabilities to perform all of the work requirements.

Propose a detailed approach to successfully perform all work requirements of this solicitation. Statements such as “the contractor understands” or “the contractor will comply” and statements that paraphrase the SOW or other contract requirements are inadequate. Identify specific techniques and methods that your company would use to complete each requirement. Creative and innovative solutions that meet the SEC's requirements are encouraged.

T he Offerors shall include the following in its technical proposal:

1. T he number of securities included in its data feed, by asset class;

2. T he number of unique issuers included in its data feed;

3. An implementation plan;

4. A master file for the data outlined in C.3.4;

5. If daily delta files are provided in lieu of a new daily master file, the Offeror shall provide a sample delta file for a day after the creation of the master file;

6. A description of its ability to monitor and report performance and quality control requirements for the work requirements, including a description of how errors are addresses and resolved and the necessary timeframe to do so;

7. Identification of project risks and cost effective solutions to eliminate or mitigate potential risks; and

8. And, Trial access to the information to be included in the data feed.

Factor 2: Past Performance. Provide past performance information to demonstrate your company’s ability to successfully perform projects similar to this work requirements. Submit the following information for three (3) federal or commercial contracts performed within the past three (3) years that are similar in scope to the requirements of this SOW:

• Type of client (federal or commercial);

• Total contract dollar amount by year;

• A description of the contract work;

• Type of contract (for example, cost reimbursement, fixed price);

• Contract number and date of contract start and expiration;

• Name of contracting organization, telephone and fax numbers;

• Contracting Officer and telephone number;

• Contracting Officer’s Technical Representative, program manager, or similar official and telephone number;

• A list of all disputes associated with the contract; and

• A list of the contract options that were not exercised and the reason(s) why they were not exercised.

In demonstrating past performance, the offeror shall describe the relevance of the work experience listed above to the requirements contained in the SOW, and should provide any other information that would serve to establish the offeror’s proven corporate technical and managerial experience in fulfilling the requirements contained in the scope of this SOW.

L.4 Price Proposal.

a. Provide a Firm Fixed Price (FFP) proposal that includes a price proposal for each CLIN for the Base Year and all Four (4) Option Years. Offerors must include costs for all services, whether included in the Offeror’s annual subscription fee or provided under a separate charge.

b. T he price proposal shall be complete and accurate in all respects and provide all pricing data to demonstrate Offeror’s ability to satisfactorily perform the work called for by the solicitation. The price proposal must be aligned with the Offeror’s technical proposal to permit the Government to perform a complete evaluation of the proposed prices. The price proposal shall be valid through _________.

c. T he Price Proposal shall include:

• A completed and signed Page 1 of the SF 1448 with the Contractor’s Tax Payer Identification number

(T IN) and DUNS number typed.

• T he Offeror must meet all requirements as listed in Sections A-J and be registered in SAM. A copy of the current SAM registration shall be included in the Price Proposal submitted.

• T he Price Proposal must include the Tax Identification Number (TIN) of the Offeror.

• A statement of the financial qualifications of the Offeror and its ability to financially support and fulfill the requirements of the contract. The Offeror must submit its latest financial statements and/or D&B report. This section shall not exceed 5 pages.

• A statement explaining how the price was derived.

SEC TIO N M - EVALUATION OF PROPOSALS

T he SEC intends to award a single contract to the contractor that offers the “best value” solution, price and other factors considered. The SEC will evaluate technical proposals using the two (2) evaluation factors listed in Section M.1. The SEC will evaluate price in accordance with Section M.2. Technical factors when combined are more important than price. The importance of price increases as the technical merit of quotations becomes more equal.

T he SEC reserves the right to establish a competitive range and hold discussion for this procurement, the SEC reserves the right to make award without discussions, and the SEC reserves the right to make no award for this solicitation.

M.1 Te chnical Evaluation. The SEC will use two (2) factors below to evaluate technical proposals. The order of importance for the technical evaluation factor is as follows in descending order of importance: Factor 1: T echnical Capability and Approach, and Factor 2: Past Performance.

Factor 1: Technical Capability and Approach. The SEC will evaluate the Offeror's technical approach on the following:

1. T he Offeror's demonstrated technical capability and understanding of the work requirements.

2. T he ability of the Offeror to clearly describe a technical approach to successfully complete all work requirements of Section C and the reasonableness and completeness of the Offeror 's proposed approach and techniques for performing each work requirement.

3. T he quality of sample data provided, the completeness of the data set, and the ease of loading data files.

4. T he Offeror's demonstrated ability to identify project risk and cost-effective solutions to eliminate or mitigate the risks.

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