Combined_Synopsis-Solicitaiton_(50310219Q0159).pdf

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The Securities and Exchange Commission, 100 F Street, NE, Washington, DC 20549, intends to procure a web-based subscription that provides access to a database of all EDGAR filings, SEC staff comment letters and company responses, and SEC No-Action Letters.

NOTE: The SEC will only accept responses from companies that currently have a COTS product that meets all requirements in Attachment 1 – Requirements List.

(i) This is a Combined Synopsis/Solicitation for commercial items prepared in accordance with the format in Subpart 12.6 of the Federal Acquisition Regulation (FAR), as supplemented with additional information included in this notice. This announcement constitutes the only solicitation; quotes are being requested and a written solicitation will not be issued.

(ii) Solicitation # 50310219Q0159 is issued as a request for quotation (RFQ).

(iii) The solicitation document and incorporated provisions and clauses are those in effect through Federal Acquisition Circular 2019-05. Provisions and clauses incorporated by reference have the same force and effect as if they were given in full text.

(iv) The NAICS code is 519130 “Internet Publishing and Broadcasting and Web Search Portals” and the business size standard is 1,000 employees. This combined synopsis/solicitation is issued unrestricted.

(v) This combined synopsis/solicitation contains the following line item numbers (CLINs):

CLIN Description QTY Unit of Issue

Unit Price

Total Price

00001 BASE PERIOD

Subscription to disclosure research database for 550 users in accordance with Attachment 1 - Requirements List.

12 MONTHS

00002 Base Period – Optional Quantity: 50 Users This Option CLIN may be exercised by the SEC throughout performance of the Base Period. To the maximum extent practical, Optional Quantities, if exercised via this CLIN shall be prorated from time of exercise to the end of the period of performance of this CLIN.

12 MONTHS

00003 Base Period – Optional Quantity: 100 Users This Option CLIN may be exercised by the SEC throughout performance of the Base Period. To the maximum extent practical, Optional Quantities, if exercised via this CLIN shall be prorated from time of exercise to the end of the period of performance of this CLIN.

12 MONTHS

00004 OPTION PERIOD I

Subscription to disclosure research database for 550 users in accordance with Attachment 1 - Requirements List.

12 MONTHS

00005 OPTION PERIOD I - Optional Quantity: 50 Users This Option CLIN may be exercised by the SEC throughout performance of the Option Period I. To the maximum extent practical, Optional Quantities, if exercised via this CLIN shall be prorated from time of exercise to the end of the period of performance of this CLIN.

12 MONTHS

00006 OPTION PERIOD I - Optional Quantity: 100 Users This Option CLIN may be exercised by the SEC throughout performance of the Option Period I. To the maximum extent

12 MONTHS

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00007 OPTION PERIOD II

Subscription to disclosure research database for 550 users in accordance with Attachment 1 - Requirements List.

12 MONTHS

00008 OPTION PERIOD II - Optional Quantity: 50 Users This Option CLIN may be exercised by the SEC throughout performance of the Option Period II. To the maximum extent practical, Optional Quantities, if exercised via this CLIN shall be prorated from time of exercise to the end of the period of performance of this CLIN.

12 MONTHS

00009 OPTION PERIOD II - Optional Quantity: 100 Users This Option CLIN may be exercised by the SEC throughout performance of the Option Period II. To the maximum extent practical, Optional Quantities, if exercised via this CLIN shall be prorated from time of exercise to the end of the period of performance of this CLIN.

12 MONTHS

00010 OPTION PERIOD III

Subscription to disclosure research database for 550 users in accordance with Attachment 1 - Requirements List.

12 MONTHS

00011 OPTION PERIOD III - Optional Quantity: 50 Users This Option CLIN may be exercised by the SEC throughout performance of the Option Period III. To the maximum extent practical, Optional Quantities, if exercised via this CLIN shall be prorated from time of exercise to the end of the period of performance of this CLIN.

12 MONTHS

00012 OPTION PERIOD III - Optional Quantity: 100 Users This Option CLIN may be exercised by the SEC throughout performance of the Option Period III. To the maximum extent practical, Optional Quantities, if exercised via this CLIN shall be prorated from time of exercise to the end of the period of performance of this CLIN.

12 MONTHS

00013 OPTION PERIOD IV

Subscription to disclosure research database for 550 users in accordance with Attachment 1 - Requirements List.

12 MONTHS

00014 OPTION PERIOD IV - Optional Quantity: 50 Users This Option CLIN may be exercised by the SEC throughout performance of the Option Period IV. To the maximum extent practical, Optional Quantities, if exercised via this CLIN shall be prorated from time of exercise to the end of the period of performance of this CLIN.

12 MONTHS

00015 OPTION PERIOD IV - Optional Quantity: 100 Users This Option CLIN may be exercised by the SEC throughout performance of the Option Period IV. To the maximum extent practical, Optional Quantities, if exercised via this CLIN shall be prorated from time of exercise to the end of the period of performance of this CLIN.

12 MONTHS

(vi) Description of requirements: See Attachment 1 – Requirements List

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(vii) Period of Performance: The period of performance shall be from 10/01/2019 through 09/30/2020 and four (4) 12-month Option Periods.

Place of Delivery: Securities and Exchange Commission, 100 F Street, NE, Washington DC, 20549.

FAR PROVISIONS & CLAUSES:

FAR 52.252-2 CLAUSES INCORPORATED BY REFERENCE (FEB 98) This contract incorporates one or more provisions 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 full text of a provision may be accessed electronically at this address:

https://www.acquisition.gov/?q=browsefar

(viii) The provisions at FAR 52.212-1, Instructions to Offerors – Commercial Items (Oct 2018), applies to this acquisition.

(ix) The provision at FAR 52.212-2, Evaluation – Commercial Items (Oct 2014) applies to this acquisition. Below is a description of the evaluation procedures that the SEC will use to evaluate quotes received for this solicitation:

In accordance with FAR 13.106-2, the SEC has broad discretion in fashioning suitable evaluation procedures. The SEC intends to use comparative evaluation of quotes to determine the best response. The SEC will use comparative evaluation for both price and technical capability: The SEC will compare quotes, including a WebEx demo and trial user comparison of each solution, with each other in a uniform and fair manner. It is an assessment of which response is “best” as a whole. The SEC reserves the right to select a response that provides benefit to the SEC that exceeds the minimum but is not required to do so. Responses may exceed the minimum requirements but the SEC is not requesting or accepting alternate quotations. Once the SEC determines the Offeror that is best-suited (i.e., the apparent successful Offeror), the SEC reserves the right to communicate with only that Offeror to address any remaining issues, if necessary, and finalize an award with that Offeror. These issues may include technical and price.

If the parties cannot successfully address any remaining issues, as determined pertinent at the sole discretion of the government, the government reserves the right to communicate with the next best-suited Offeror based on the original analysis and address any remaining issues. Once the SEC has begun communications with the next best-suited Offeror, no further communications with the previous Offeror will be entertained until after a contract is awarded.

This process shall continue until an agreement is successfully reached and a contract is awarded.

(x) The provision at FAR 52.212-3, Offeror Representations and Certifications-Commercial Items (Oct 2018) is applicable to this requirement. Companies responding to this solicitation shall include a completed copy of the provision at 52.212-3, Offeror Representations and Certifications—Commercial Items, with its offer.

(xi) The clause at FAR 52.212-4, Contract Terms and Conditions – Commercial Items (Oct 2018), applies to this acquisition.

(xii) The clause at FAR 52.212-5, Contract Terms and Conditions Required To Implement Statutes Or Executive Orders – Commercial Items (AUG 2019), applies to this acquisition. In https://www.acquisition.gov/sites/default/files/current/far/html/52_212_213.html#wp1179194

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Section b, the following clauses apply: 52.203-6, Restrictions on Subcontractor Sales to the Government (Sept 2006), with Alternate I (Oct 1995); 52.204-10, Reporting Executive Compensation and First-Tier Subcontract Awards (Oct 2018); 52.209-6, Protecting the Government’s Interest When Subcontracting with Contractors Debarred, Suspended, or Proposed for Debarment (Oct 2015); 52.222-3, Convict Labor (June 2003); 52.222-21, Prohibition of Segregated Facilities (Apr 2015); 52.222-26, Equal Opportunity (Sept 2016); 52.222-35, Equal Opportunity for Veterans (OCT 2015); 52.222-36, Equal Opportunity for Workers with Disabilities (Jul 2014); 52.222-37, Employment Reports on Veterans (FEB 2016); 52.222-50, Combating Trafficking in Persons (Mar 2015); 52.223-18, Encouraging Contractor Policies to Ban Text Messaging While Driving (Aug 2011); 52.225-13, Restrictions on Certain Foreign Purchases (June 2008); 52.232-33, Payment by Electronic Funds Transfer—System for Award Management (Jul 2013); 52.239-1, Privacy or Security Safeguards (Aug 1996)

(xiii) Additional provisions and clauses applicable to this acquisition: FAR 52.204-7, System for Award Management (Oct 2018); 52.204-13 Commercial and Government Entity Code Reporting (Oct 2018); 52.204-16 Commercial and Government Entity Code Reporting (Jul 2016); 52.204- 18 Commercial and Government Entity Code maintenance (Jul 2016); 52.204-21 Basic Safeguarding of Covered Contractor Information Systems (Jun 2016); 52.209-5 Certification Regarding Responsibility Matters (Oct 2015); 52.209-7 Information Regarding Responsibility Matters (Jul 2013); 52.217-5 Evaluation of Options (Jul 1990); FAR 52.232-40 Providing Accelerated Payments to Small Business Subcontractors (Dec2013); 52.252-2 Clauses Incorporated by Reference (Feb 1998).

All FAR clauses and provisions incorporated by reference may be viewed in full text via the Internet at https://www.acquisition.gov/?q=browsefar.

FAR 52.217-7 Option for Increased Quantity - Separately Priced Line Item. (MAR 1989)

The Government may require the delivery of the numbered line item, identified in the Schedule as an option item, in the quantity and at the price stated in the Schedule. The Contracting Officer may exercise the option by written notice to the Contractor within 7 days. Delivery of added items shall continue at the same rate that like items are called for under the contract, unless the parties otherwise agree.

FAR 52.217-8 Option to Extend Services (Nov 1999)

The 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 contract performance.

FAR 52.217-9 Option to Extend the Term of the Contract (Mar 2000)

(a) The Government may extend the term of this contract by written notice to the Contractor within contract performance; provided that the Government gives the Contractor a preliminary https://www.acquisition.gov/sites/default/files/current/far/html/52_200_206.html#wp1137622 javascript:void(0) javascript:void(0) https://www.acquisition.gov/sites/default/files/current/far/html/52_233_240.html#wp1113650 http://farsite.hill.af.mil/reghtml/regs/far2afmcfars/fardfars/far/52_000.htm#P824_120716 http://farsite.hill.af.mil/reghtml/regs/far2afmcfars/fardfars/far/52_000.htm#P1198_177215 https://www.acquisition.gov/?q=browsefar

5 of 13 50310219Q0159 written notice of its intent to extend at least 7 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 60 months.

(xiv) The following SEC Instructions apply to this acquisition:

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

The base period of performance under this contract shall be from 10/01/2019 through 09/30/2020. This contract has four Option Periods of 12 months each 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 60 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.

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: Jeremy Garrett

Email: GarrettJ@sec.gov

RM 4123/ MS 4226

100 F Street, NE

Washington, DC 20549

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.

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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 OPTIONAL PERIOD INVOICING (23-MAR-09)

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.

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5004.00 APPOINTMENT OF CONTRACTING OFFICER'S REPRESENTATIVE (COR)

(14-NOV-12)

a. TBD, is hereby designated the Securities and Exchange Commission COR for administration and information relating to this contract. TBD is hereby designated as the Alternate COR for this contract.

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

only the CO has this authority.

c. The COR will manage the contract in coordination with the CO and within the terms of the contract and the boundaries of a COR's duties as outlined in the document "Instructions for CORs and Their Supervisors." The COR's responsibilities include reviewing invoices and charges by the Contractor and informing the CO of areas where exceptions are taken. If this is an award for services and contractor personnel are brought on-site to SEC facilities, the COR must adhere to SECR 10-24.

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

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.

6002.00 TYPE OF CONTRACT (23-MAR-09)

This is a firm fixed price type contract.

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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.

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

13)

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.

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- 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.

6012.02 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.

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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)

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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 PII, including privacy and security training requirements and privacy incident management.

e) The Contractor's employees, agents, and subcontractors shall immediately alert the SEC of any event, including the suspected or confirmed loss of PII. Notification must be made to the SEC of a breach as soon as practicable, but no later than twenty-four (24) hours after the Contractor becomes aware of it by contacting the SEC Service Desk at (202)551-4357. The Contractor shall act in accordance with its policies and procedures in the event of any suspected

12 of 13 50310219Q0159 loss of PII and shall support the SEC's investigation and resolution of reported incidents as requested by the SEC. For purposes of this Instruction, a "suspected loss of PII" shall be interpreted liberally to mean any situation in which the loss of PII or unapproved access to PII is deemed a reasonable possibility.

f) Return or Destruction of PII. At any time during the term of this contract at the SEC's written request or upon the termination or expiration of this contract for any reason, unless otherwise required by law to be retained, the Contractor shall, and shall instruct all authorized personnel to, promptly return to the SEC all copies, whether in written, electronic or other form or media, of PII in its possession or the possession of such authorized personnel, or securely dispose of all such copies, and certify in writing to the SEC that such PII has been returned to SEC or disposed of securely. The destruction of PII shall be performed according to NIST approved methods.

6014.00 USE OF CONTRACTOR DATA AND/OR MATERIALS (23-MAR-09)

The Contractor acknowledges and agrees to the following: The SEC anticipates using the data and/or materials to conduct analyses for use in reports, studies, memoranda, and presentations.

The SEC anticipates the following types of situation where analyses based on underlying data may be made public: by the SEC itself (E.g., SEC rulemaking and/or analysis done as part of an inspection or enforcement action), by SEC staff where the SEC is directing or facilitating the publication (e.g., a staff study in response to a Congressional request), by SEC staff facilitating their own private publication where the Commission has not taken a position regarding the publication of the analysis(e.g., a research report to be submitted by the individual staff to an academic conference or journal), and a former employee of the SEC who has substantially completed the analysis while on staff and is facilitating his/her own private publication( e.g., a research report to be submitted to an academic conference or journal). In all of these situations, only "insubstantial amounts" of the licensed data and/or material would be made public and no raw data would be made public, the authors would agree to abide by all contractual terms and conditions, and as the owner/licensor of the data the Contractor would receive attribution and be cited as the data source. "Insubstantial amounts" means an amount that has no independent commercial value and could not be used as a substitute for the service or product or any part of it.

(xv) The Defense Priorities and allocations System (DPAS) and assigned rating is not applicable.

(xvi) General Information: The SEC is requesting a technical demo via WebEx and a 3-business day complimentary trial subscription of the quoted solution for up to 10 SEC users in lieu of a technical quote. The tentative date for Technical demos is September 12, 2019. A written price quote is also required. Below are complete instructions and solicitation deadlines:

Solicitation Questions: All questions regarding this solicitation must be submitted in writing and sent via email to Jeremy Garrett (GarrettJ@sec.gov) by no later than 3:00 PM ET on September 5th, 2019. The SEC will post responses to all questions publically on FedBizOpps.

mailto:GarrettJ@sec.gov

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**Important** Notification of Intent to Respond to Solicitation: All companies that intend to submit a response for this solicitation must send an email to Jeremy Garrett (GarrettJ@sec.gov) by no later than 3:00 PM ET on September 9th with notification that your company intends to provide a response. This notification is needed so that the SEC can coordinate and schedule WebEx demos.

Written Price Quote: The SEC requests a fixed price quote that provides a separate price for the Base Period and each Option Quantity and Option Period CLIN; note there are a total of 15 CLINs. The SEC’s base requirement is for 550 users with the Option to add 50 and 100 users in each contract period. The price for each CLIN shall be inclusive of all fees. The SEC requests all available price discounts. There is no page limitation for the price quote. The price quote must provide the offeror’s Dun and Bradstreet number (DUNs) and must confirm that the offeror has active registration in the System Award Management (www.sam.gov). Any exceptions, deviations or conditional assumptions to the requirements of the solicitation must be clearly stated and explained within the first two pages of both the price quote. Exceptions, Deviations, and conditional assumptions may render your company’s offer non-compliant and in-eligible for award. The deadline for submission of the written price quote is 3:00 PM ET on September 11, 2019.

Technical Demonstration:

Your company will be provided a 60 minute timeslot to provide a WebEx technical demonstration of your company’s solution. The first 50 minutes of demonstration will be reserved for your company to demonstrate your company’s solution meets all of the SEC’s requirements in Attachment 1 – Requirements List. The tentative date for the demonstrations is September 12, 2019. The SEC will provide a Web Ex invitation with call-in number.

User Trial Subscription:

Following the Technical Demos, the SEC requests that each company submitting a response provide a 3-day complimentary trial subscription to the quoted solution for the SEC to complete comparative evaluation. The trial subscription shall be provided for up to 10 SEC users. The SEC will provide instructions for trial subscription once the Technical Demonstrations have been scheduled. A signed Attachment 2 - Product Demonstration Agreement shall be submitted with the written price quote no later than 3:00PM ET on September 11, 2019.

The SEC reserves the right to not make award resulting from this solicitation and the SEC will not pay any contractor quote/bid costs for this solicitation.

Attachments:

Attachment 1 – Requirements List Attachment 2 – Product Demonstration Agreement mailto:GarrettJ@sec.gov http://www.sam.gov/

FAR 52.217-9 Option to Extend the Term of the Contract (Mar 2000)