50310219R0009_-_Ediscovery_Cloud_Pilot.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

X

518210

SIZE STANDARD:

100.00 % FOR:SET ASIDE:UNRESTRICTED ORSEC-OA - 01

RFPIFB

10. THIS ACQUISITION ISCODE

RFQ

14. METHOD OF SOLICITATION

13b. RATING

NAICS:

SMALL BUSINESS

05/17/2019

202-551-7736PAUL LAFRANCHISE

(No collect calls)

INFORMATION CALL:

FOR SOLICITATION 8. OFFER DUE DATE/LOCAL TIME

06/07/2019 1200 ES

b. TELEPHONE NUMBERa. NAME

4. ORDER NUMBER3. AWARD/ 6. SOLICITATION

50310219R0009

5. SOLICITATION NUMBER

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

1 39 OFFEROR 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

$32.50

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.

00001 Base Year - Cloud-based electronic Discovery pilot system in accordance with the SOW.

Period of Performance: 09/30/2019 to 09/29/2020

00002 Option Year 1 - Cloud-based electronic Discovery pilot system in accordance with the SOW.

(Option Line Item) 08/30/2019 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.

Period of Performance: 09/30/2020 to 09/29/2021

00003 Option Year 2 - Cloud-based electronic Discovery pilot system in accordance with the SOW.

(Option Line Item)

0 Days After Award

Period of Performance: 09/30/2021 to 09/29/2022

00004 Option Year 3 - Cloud-based electronic Discovery pilot system in accordance with the SOW.

(Option Line Item)

0 Days After Award

Period of Performance: 09/30/2022 to 09/29/2023

00005 Option Year 4 - Cloud-based electronic Discovery pilot system in accordance with the SOW.

(Option Line Item)

0 Days After Award

Period of Performance: 09/30/2023 to 09/29/2024

32f. TELEPHONE NUMBER OF AUTHORIZED GOVERNMENT REPRESENTATIVE

32d. PRINTED NAME AND TITLE OF AUTHORIZED GOVERNMENT REPRESENTATIVE

37 2 of

SECTION A – SOLICITATION/CONTRACT FORM

EXECUTIVE SUMMARY

The U.S. Securities and Exchange Commission (SEC) has a requirement for a Cloud-based electronic Discovery pilot system. It is the intention of the Government to award a single contract resulting from this Request for Proposal (RFP).

This RFP is issued to all small businesses for Cloud-based system services. The Government requests submission of a Technical Proposal and Price Proposal in accordance with the instructions of this RFP.

Contract Type It is anticipated that this contract will be awarded on a Time and Material (T&M) and Labor Hour (LH) basis with Fixed Price and Fixed Unit Price components.

Period of Performance The period of performance shall be for base period and four (4) option periods. The Period of Performance reads as follows, but may change as necessary:

Base Period: Twelve (12) months from award date Option Period 1: Twelve (12) months from completion of base period Option Period 2: Twelve (12) months from completion of base period Option Period 3: Twelve (12) months from completion of base period Option Period 4: Twelve (12) months from completion of base period

Place of Performance The work to be performed under this task order will be performed at:

SEC Headquarters 100 F Street, NE Washington, DC 20549

The Contractor staff is allowed to telework with COR’s approval on a case-by-case basis.

Hours of Performance The Contractor shall be available at the SEC Headquarters in Washington, D.C. (Station Place) between the hours of 7:00 AM and 6:00PM Eastern Time Monday through Friday, excluding Government holidays, during the term of contract. There may be times when support is required outside of the normal hours of performance and weekends. Exceptions may be made on a case-by-case basis and must be pre-approved by the Government COR. The actual daily start and stop times shall be coordinated with, and approved by, the COR. The Contractor will use the Contractor Time Management System (CTMS) to record hours worked for level of effort/labor hour CLIN under this contract. CTMS is a SharePoint site that is available to help track Contractor personnel hours for invoice purposes. CTMS is not a contractor’s time keeping system. All Contractor personnel shall obtain approval in writing, prior to working any additional hours for all labor hour contracts.

Contracting Officer’s Representative (COR) – TBD

Alternate Contracting Officer’s Representative (Alt COR) – TBD

Organization Conflict of Interest In addition, Contractor and subcontractor personnel performing work under this task may receive, have access to or participate in the development of program proprietary or budget information (e.g., cost or pricing information, budget information or analyses, specifications or work statements, etc.) or perform evaluation services which may create a current or subsequent Organizational Conflict of Interests (OCI) as defined in FAR Subpart 9.5. The Contractor shall notify the Contracting Officer immediately whenever it becomes aware that such access or participation may result in any actual or potential OCI and shall promptly submit a plan to the Contracting Officer to avoid or mitigate any such OCI. The Contractor’s mitigation plan will be determined to be acceptable solely at the discretion of the Contracting Officer and in the event the Contracting Officer unilaterally determines that any such OCI cannot be satisfactorily avoided or mitigated, the Contracting Officer may affect other remedies as he or she deems necessary, including prohibiting the Contractor from participation in subsequent contracted requirements which may be affected by the OCI.

Government-Furnished Equipment With the exception of incidental items associated with on-site performance (furniture, desktop and laptop computers, copiers, etc…), the Contractor shall furnish all personnel, management, equipment, supplies, and services necessary for performance of all aspects of the contract. Unless explicitly stated otherwise, the Contractor is responsible for all costs associated with and incurred as part of providing the services outlined in this contract.

NOTE: Items such as handheld devices and RSA Tokens may be provided. In addition, government laptops may be provided with business justification by the government sponsor and approval from the COR.

This procurement is a small business set-aside competition.

SECTION B – SUPPLIES AND SERVICES

The Contractor shall perform the requirements in accordance with labor categories and rates listed below.

Type of Task Order: Labor-Hour (LH)

Please see Attachment 1 for the Labor Category Sheet

SECTION C – STATEMENT OF WORK

Please see Attachment 2 for the Statement of Work.

SECTION D – INSTRUCTIONS TO OFFERORS

D.1 Submission of Proposals Offerors are responsible for submitting proposals so as to reach the Government office designated below by 12:00AM ET on 7 June 2019. Proposals shall be submitted by e-mail. Proposals submitted by e-mail shall be deemed received when they arrive at the e-mail address specified below:

Securities and Exchange Commission Office of Acquisitions 100 F Street, NE Washington, DC 20549 Attn: Paul LaFranchise Email: lafranchisep@sec.gov

The Technical and Price Proposal shall be separate and complete so that evaluation of one may be accomplished independently of the other. Technical and Price Proposals received after the deadline will be considered “late” and will not be accepted.

D.2 Proposal Questions All questions concerning this RFP shall be submitted in writing to the email address listed in section D.1, no later than 1700 ET on 24 May 2019.

D.3 Written Response/Oral Presentations The oral presentation will serve as a substitute for a written Technical Capability – Technical Approach only; however, Offerors are required to submit 1) Project Schedule, 2) resumes for Key Personnel, 3) documents substantiating FedRAMP authorization or Agency Authority to Operate (ATO), 4) eDiscovery

Requirements spreadsheet, and 5) Past Performance references, in response to this solicitation. The Government requires the Offerors to participate in oral presentations to the Government evaluation team.

The oral presentations will be scheduled starting the week of 6/10/2019. The oral presentations must be delivered by the Key Personnel proposed by the Offeror. The Offerors will receive a minimum of three

(3) calendar day notice prior to the requested date and time for presentation.

The oral presentation slides will be submitted and subsequently presented in MS PowerPoint format not to exceed twenty (20) letter sized (8.5x11 in.) pages with a font size no smaller than ten (10) points, excluding the cover page but including all appendix material.

Oral Proposal Requirements:

a. Oral proposal will be restricted to one-hour in presentation time, with an additional 15 minutes after the presentation for exchanges with the Offeror. (An additional period of up to 30 minutes is added to allow for setup, breaks, and other contingency purposes.) The total time slotted for each offeror shall not exceed two-hours.

b. Offerors should plan to limit the number of participants to no more than five (5) individuals. A projector and screen will be provided in the presentation room.

c. Offerors shall develop presentation materials that document and support the oral presentation.

The format for the briefing materials shall be Microsoft PowerPoint, and hardcopies shall be provided at the time of the presentation for approximately seven (7) Government personnel. Only the material that will be covered within the one-hour presentation time slot shall be included in the briefing materials, and only those slides actually discussed and presented during the oral will be considered in the technical evaluation.

d. Offerors shall provide presentation materials at the time and date listed for the submission of proposal in section D.1.

D.4 Evaluation of Proposals

a. The Government anticipates awarding a contract to the Offeror whose proposal provides the “best value” to the Government, price and other factors considered. Oral Presentation shall address the requirements of the contract and the evaluation factors in this solicitation in a straightforward, complete and concise manner.

b. The technical proposal shall not refer to price. However, resource information such as data concerning labor hours and category, materials, subcontracts, etc. shall be included in the technical proposals, if applicable, so that the Government can evaluate the Offeror’s understanding of the scope of the required work.

c. Oral Presentation Requirements:

i. The oral presentation slides will be submitted and subsequently presented in MS PowerPoint format not to exceed twenty (20) letter sized (8.5x11 in.) pages with a font size no smaller than ten (10) points, excluding the cover page but including all appendix material.

ii. Resumes are limited are to 3 pages each, but contingent letter and resume/project team summary is excluded from page limitation. Past Performance references are limited to 2 pages each.

Project schedule is excluded from page limitation.

iii. The technical proposal shall be divided into the following sections:

At a minimum, the oral presentation shall address the following:

Factor 1: Management and Key Personnel

The Proposer shall propose qualified personnel experienced in litigation support, electronic discovery and software engineering to perform the work requirements of the SOW. The Proposer shall describe their organizational structure to perform the work requirements of the SOW. The Proposer shall propose key personnel for the positions of: program manager, training manager, and technical lead(s). The Proposer shall specify one or more technical lead positions, which are to be considered key personnel. The Proposer shall describe the responsibilities and areas of expertise for each of the technical leads. The Proposer shall identify key person(s) for this task and provide a description of the qualifications for the proposed key persons (limited to 2 pages per key person). Emphasis should be placed on experience related to the work requirements of this SOW.

The Proposer shall provide labor rate(s) and number of estimated hours for all personnel to complete the work requirements; include descriptions of the responsibilities, skills, and qualifications for the proposed labor category(s). The Proposer is not required to use all of the labor categories in Attachment 1.

Factor 2: FedRAMP Authorization and Cybersecurity.

The Proposer shall describe in detail the status of FedRAMP authorization for all parts of its proposed solution. For the components of the proposed solution not covered by a current FedRAMP authorization or Agency Authority to Operate (ATO), the Proposer shall provide a detailed plan and schedule for integration and testing. The plan and schedule shall include the resources required – both Contractor and Government. The plan and schedule shall show how the proposed solution can receive an ATO from the SEC within six (6) months of contract award. Adequate time for SEC review and approval should be included. Levels of testing, organizations performing the testing, planned number of testers should be included. Any assumptions about automated testing or the SEC’s approval processes should be explained.

Factor 3: Software Features and Functionality.

Step 1. The Proposer shall describe in detail its technical capabilities and how it will meet the requirements in the statement of work. The Proposer’s technical solution shall clearly describe and address the Proposer’s understanding of the desired outcomes contained in the SOW. Statements such as “the Proposer understands” or “the Proposer will comply” and statements that paraphrase the SOW or other contract requirements are inadequate. Fill in the spreadsheet in Attachment 3, eD3 Requirements Matrix. For each requirement in the Requirements Matrix mark one of two columns: Met by current commercial release of software; or to be met in a future commercial release of software. For requirements that are marked, “To be met in a future commercial release of software,” provide the planned date for the release.

The Proposer shall describe in detail:

• Process and software components used for loading native files, image files, delimited text files, and text associated with image files. If the process or components differ depending on the types of files, then the Offeror shall describe each process and the software components used for each process.

• Processes for producing collections of documents both with Bates-endorsed images and with native files.

• The software and tools used to perform and to manage its processes.

• Management reporting from the eD3 system covering data loaded, EDD processing user access, system performance, usage volume, and documents produced from the eD3 system.

The Contracting Officer may set a competitive range at this point.

Step 2. Approximately two weeks after proposals are submitted, the SEC will invite Proposers still considered to be competitive, to present their solutions for the SEC. The Proposers will be given one week notice before the date of the oral presentation.

The proposed key personnel will present the Proposer’s solution, and shall describe:

• How correctness and consistency of data loading, including metadata and fielded data, will be ensured.

• Data analytics tools and techniques included in the solution that show relationships, connections, trends or patterns, and the types of data included in these analytic and visualization tools.

• Method for ramping up and ramping down capacity to deal with changing workloads

• Methods and parameters for moving data to lower cost, slower performance storage; and for returning inactive cases back to an active, high performance environment

• Performance and usage reporting from the eD3 system.

Step 3. Approximately one week after oral presentations are given, the SEC will invite Proposers still considered to be competitive, to host their solutions for the SEC. The Proposers will be given one week notice before the date the SEC will provide non-sensitive, sample data to be loaded onto the Proposer’s hosted solution. The Proposers shall provide the cloud-based environment on which their solution is installed. The Proposers shall provide secure connectivity to the hosted site where their solution is installed.

The SEC will send the Proposer up to 100 GB of document collections to load for evaluating the proposed solution. The Proposer will load the data and make it available to the SEC for evaluation within three business days. The SEC will send the Proposer data of various types in a variety of formats, reflecting the variety of data the SEC receives. The Proposer shall demonstrate to the SEC their procedures for how the data was loaded, and any accompanying administrator procedures.

The Proposer shall provide one half-day remote training on end-user features to make use of the solution.

The SEC will send the Proposer a WebEx link for the training session.

The SEC will evaluate whether the solution meets functionality requirements as delineated in Attachment 3, eD3 Requirements Matrix. All of the end user functionality and the user interface of the Offeror’s proposed solution must be available during the hosted evaluation. As part of the evaluation, the SEC will: tag documents for up to a 50 GB native production (without creating TIFF/JPG images); and tag documents for a production to include creating and endorsing up to 100,000 pages of TIFF/JPG images.

The Proposer shall create the native and imaged productions and deliver them to the Contracting Officer within one week of notice from the SEC. Also as part of the evaluation, the Proposer will: create TIFF/JPG images from 100 individual documents and a batch of 200 documents; and OCR a set of 1,000 images from documents and images selected by the SEC.

The Proposer and the SEC will each provide a single point of contact for reporting and resolving any problems during the evaluation. The Proposer shall provide technical support by phone to resolve application issues that arise during the evaluation. After the evaluation, the Proposer will purge all SEC documents and data from the servers and storage.

Factor 4: Past Performance

The Proposer shall demonstrate its capacity to successfully perform the requirements contained in the SOW and shall submit the following information for three (3) federal or commercial contracts performed within the past five years, from submission of proposal, that are similar in scope & magnitude 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 numbers, and email addresses.

• 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 Proposer 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 Proposer’s proven successful past performance in fulfilling the requirements contained in the scope of this SOW. Past performance references must reflect/identify the Proposer’s past performance on projects that are similar in size, scope, and complexity to the requirements contained in this solicitation.

NOTE: In the case of a Proposer without a record of relevant past performance or for whom information on past performance is not available; the Proposer will not be evaluated favorably or unfavorably on past performance. While the Government may elect to consider data from other sources, the burden of providing thorough and complete past performance information rests with the Proposer. Statements that references are confidential or not available at the time the proposal is submitted will be considered an absence of past performance information.

D.5 Price Proposal Price Proposal preparation instructions:

1) Propose pricing for the Base Period and all options periods listed in Section B. Note, that Section B includes fixed price, Labor Hour, Travel, and ODC CLINS. As provided in Section B, the Proposer must include all labor categories, rates (both onsite and offsite), and hours for each labor category proposed for each applicable CLIN. All rates proposed must be valid during the contract performance period. Note, that CLINs that are fixed price items must include all costs associated with that CLIN.

2) Include your organization’s Tax Identification number (TIN) and DUNs number.

3) Include a printed copy of your current CCR registration to confirm that the information is accurate and up to date.

4) Provide estimated costs for contractor travel or ODC’s. These are cost reimbursable CLINs. The vendor must notify the SEC in its proposal if it anticipates any travel or ODC’s associated with performance and provide a description of these costs. Travel shall not be burdened.

5) Within the first two pages of the price proposal, explain all price exceptions, deviations taken, or conditional assumptions made with respect to your proposal versus the requirements of this RFP.

Price exceptions and deviations are not to be placed anywhere else in the proposal. You are cautioned that any exceptions and deviations to the RFP may render your proposal to be non-compliant and ineligible for award.

6) Provide the pricing proposal Section B in MS Word or Excel for the SEC’s convenience in price evaluation.

7) There is no page limitation to the pricing proposal, however the pricing proposal should not contain technical information that should be in the Technical Proposal.

SECTION E – EVALUATION OF PROPOSAL FOR AWARD

E.1 Evaluation of Proposals

(a) The SEC reserves the right to award a contract for the work requirements based on initial proposals received, without holding discussions or negotiations. Note that the SEC does not deem any communications that occur to facilitate completion of Step 2 of the technical proposal concerning oral presentations and online software evaluations as discussions within the context of FAR Part 15. Therefore, it is critical that each proposal be fully responsive to the RFP, without exception to any provision. The SEC anticipates awarding a contract to the Proposer(s) whose proposal(s) represent(s) the “best value” to the government, price and other factors considered.

Base and all Options will be considered for evaluation.

(b) When combined, technical evaluation factors are more important than price; however, the importance of price will increase as the technical merit of the proposals becomes more equal. The contract may be awarded to other than the Proposer with the lowest price or the highest technical rating.

(c) The SEC reserves the right to hold discussions with vendors found to be acceptable or better.

(d) The SEC reserves the right to make no award for this solicitation.

E.2 Evaluation Criteria The Government will evaluate the degree to which the Offeror’s proposed technical approach demonstrates an understanding of the objectives/principles and functional and technical requirements of this solicitation and is likely to result in successful completion of the SOW and other requirements, in accordance with the SOW.

Proposed solutions that decrease risk or exceed stated requirements may be viewed as strengths or advantages that result in higher evaluation.

E.3 Technical Evaluation Factors for Award The SEC will evaluate the Offeror’s proposed solution for the following factors:

Technical Factor 1 - Management and Key Personnel The SEC will evaluate the degree to which the Offeror’s proposed personnel possess the skills, qualifications and experience to perform successfully on this effort. The SEC will review the resumes of the proposed personnel to evaluate the degree to which the personnel are qualified to perform the work.

Technical Factor 2 – FedRAMP Authorization and Cybersecurity

The SEC will evaluate the Proposer’s plan and ability to gain an ATO within six months of contract award. The SEC will evaluate feasibility, risks, and resources required in the Proposer’s plan. The SEC will evaluate the status of proposed solution components which are, or are not, FedRAMP authorized, and the affect this will have on the proposed project and solution.

Technical Factor 3 - Software Features and Functionality

The SEC will evaluate the degree to which the Proposer demonstrates an understanding of and meets the functional requirements through the written proposal, oral presentation (Step 2), and online evaluation (Step 3).

Technical Factor 4 - Past Performance

The SEC will evaluate the Proposer’s ability to conform to contract requirements, perform to deliverable schedules and deliver high quality products and services, and commitment to customer satisfaction based upon its record of past performance for contracts that are similar in scope to the RFP.

E.4 Price Evaluation Factors for Award.

Price evaluation will consist of determining reasonableness through one or more methods such as competition, comparison of the Offeror’s total evaluated prices or labor rates, comparison with the IGCE, or comparison of previously proposed prices and previous Government contract prices for the same or similar supplies/services.

Offeror’s prices may also be reviewed to determine if they are realistic and indicate an understanding of the contract requirements. Unrealistically low prices may indicate a lack of understanding requirements and a high-risk approach to contract performance, which the Government may consider in evaluating both the Offeror’s ability to perform and the risk of its approach.

The Government will evaluate offers for award purposes by adding the total price for all options to the total price for the basic requirement. The Government may determine that an offer is unacceptable if the option prices are significantly unbalanced. Evaluation of options shall not obligate the Government to exercise the option(s).

SECTION G - CONTRACT ADMINISTRATIVE DATA

G.1 CLAUSES INCORPORATED BY REFERENCE

52.232-18 Availability of Funds APR 1984

G.2 5001.00 CONTRACT ADMINISTRATION (DEC 2011)

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

U.S. Securities and Exchange Commission Office of Acquisitions 100 F Street, NE Washington, DC 20549 Paul LaFranchise, Contracting Officer Email: lafranchisep@sec.gov

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

LEVEL

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

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

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

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

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

(COR).

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

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

(CP).

d. SEC employees work with the assigned CP.

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

G.4 5003.00 SUBMISSION OF INVOICES (APR 2012)

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

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

mailto:lafranchisep@sec.gov

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

Invoices submitted prematurely may be rejected.

Electronic/e-mail Invoice Instructions:

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

• Subject Line: Company name and the invoice number

• e-mail Message:

• Company logo or letterhead

• Company name and payment address

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

• Invoice Number

• SEC Contract or Order number

• SEC COR

For supplies: contract line item number, item description, quantity delivered, and unit and extended price, per Section B CLIN structure For services: contract line item number, item description, period of performance and associated costs, per Section B, contract line item, CLIN, structure Shipping and handling charges, if applicable Clearly mark duplicates of previous invoice submissions with “DUPLICATE” Clearly mark the final invoice with “FINAL INVOICE” Attach the invoice and any supporting documents in a secure tamper-proof or tamper-resistant format compatible with Adobe Acrobat.

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

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

G.5 5003.01 INVOICING SCHEDULE (MAR 2009)

The Contractor shall invoice monthly.

G.6 5003.02 SOFTWARE LICENSE MAINTENANCE AND SUBSCRIPTION SERVICE

INVOICING (MAR 2009)

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

G.7 5003.03 OPTION PERIOD INVOICING (MAR 2009)

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

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

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

2012)

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

b. The Contracting Officer (CO) shall appoint, in writing, a Contracting Officer’s Representative (COR) and, if possible, an Alternate COR for this award. The COR and Alternate COR shall have a current Federal 24 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 redelegate 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.

G. 10 5005.00 CONTRACT OPTIONS (MAR 20019)

(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.

G.11 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.

G.12 FAIR OPPORTUNITY

Contracting Officers will follow the Fair Opportunity procedures specified in FAR 16.505(b)(1) and the exceptions to Fair Opportunity in FAR 16.505(b)(2).

G.13 SMALL BUSINESS RECERTIFICATION

For the purpose of this Contract, small businesses will be required to recertify their small business size status 90 days prior to the end of the fifth year of the Contract, and no more than 90 days prior to exercising any option thereafter. If the Contractor certifies that it is other than small, the Government will decline to exercise the option period of the Contract. These small business Contracts will not be moved to the unrestricted pool. Previously awarded Task Orders shall continue through completion to include the exercise of any options on the previously awarded Task Orders.

SECTION H – SPECIAL CONTRACT REQUIREMENTS

H.1 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 nonpublic 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 5& 6). 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 5) 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 nondisclosure agreement on behalf of themselves (Attachment 6) 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.

H.1.1 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.

H.2 6002.00 TYPE OF CONTRACT

This is a Labor Hour Contract, in accordance with Federal Acquisition Regulation(FAR) Part 12. Contract will be issued in accordance with Federal Acquisition Regulation (FAR) Part 15 and the procedures set forth in this contract.

H.3 6003.00 REPRESENTATIONSAND CERTIFICATIONS (MAR 2009).

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

H.4 6004.00 APPROVAL OF SUBCONTRACTS (FEB 2012)

The Contractor shall not enter into a contractual agreement with any party to furnish any of the work or services under this contract 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.

H.5. SUBCONTRACTING

While Contractors should maintain up-to-date running records concerning prime and subcontract performance and costs, they shall annually report this information by entering that data electronically into eSRS if a large business. For small businesses, the subcontracting reports should validate their Small Business Participation Plan submitted with their as well as validate compliance with FAR 52.219-14, Limitations on Subcontracting.

H.5.1 SUBCONTRACTORS

The Contracting Officer is responsible for reviewing the Contractor’s notification and supporting data to ensure that the proposed subcontract is appropriate for the risk involved, and consistent with current policy and sound business judgment prior to consent to subcontract.

If the Contractor enters into any subcontract that requires consent under the clause at FAR 52.244-2, Subcontracts, without obtaining such consent, the Government is not required to reimburse the Contractor for any costs incurred under the subcontract prior to the date the Contractor obtains the required consent. Any reimbursement of subcontract costs incurred prior to the date the consent was obtained shall be at the sole discretion of the Government.

H.5.2 SUBCONTRACT APPROVAL REQUIRED DOCUMENTATION

The rights and obligations set forth in this section are in addition to, and in supplementation of, the rights and obligations contained in Section I, clause 52.244-2. Those subcontracts which are subject to the requirements of the Section I contract clauses entitled “Subcontracts” shall be submitted to the Contracting Officer for review and approval. The Contractor shall provide the SEC with an explanation of the type of agreement(s) the Contractor and subcontractors are proposing. This explanation shall clearly define the relationship(s) between the Contractor and subcontractor(s) and what each party’s responsibilities/duties shall be. Contractors with purchasing systems reviewed and approved in accordance with Part 44 are not required to submit subcontracts to the Contracting Officer for review and approval.

H.6 MERGERS, ACQUISITIONS, NOVATIONS, AND CHANGE-OF-NAME AGREEMENTS

Both small and other than small business Contract holders are required to immediately notify the Contracting Officer of any agreements that would result in a change in ownership, including any mergers or acquisitions.

Such notifications must be made prior to deal closing. Failure to notify the Contracting Officer within 14 calendar days of signing a purchase agreement or other document effecting a change in ownership, a merger, or an acquisition that affects the size status of a Contract holder will be grounds for a termination for default.

The Anti-Assignment of Contracts Act, 41 USC § 6305, (Anti-Assignment Act) prohibits the transfer of any interest in a federal Contract to another party unless an exception applies. A Novation Agreement to recognize a successor in interest will only be executed if it is in the Government’s best interest and if all of the requirements of FAR 42.1204 have been met. Contractors contemplating business transactions which may require a Novation Agreement are encouraged to contact the PCO in advance to discuss the impact on the Contract and any existing Task Orders, as well as the requirements of FAR 42.1204. Contractors are also required to comply with FAR

42.1205 for any changes in their names.

H.8 6006.00 CONFLICTS OF INTEREST (MAR 2009)

(a) General. Subpart 9.5 of the Federal Acquisition Regulation 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 clause 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: a Contractor’s participation, as an Offeror/Proposalr or representative of a Offeror/Proposalr, in a procurement in which it has provided assistance in the preparation of the Government’s requirements and specifications; a Contractor’s providing advisory assistance to the Government in a procurement in which the Contractor’s firm or one which the Contractor represents is an actual or potential Offeror/Proposalr; and a Contractor’s participation, as a Offeror/Proposalr or representative of a Offeror/Proposalr, in a procurement where the Contractor has obtained confidential or proprietary information relating to competing Offerors/Proposalrs as a result of the Contractor’s work on prior Task Orders.

(c) Definition. For purposes of this clause, 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 contracts, subcontracts, or s (whether solicited or unsolicited) that directly relate to the Contractor’s performance of work under this Contract.

(2) Prior to beginning work on a Task Order, to execute such Confidentiality Agreements, Statements of Non- Disclosure or other documents which the Contracting Officer may, in his/her 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 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 Task Order or subsequent to Contractor’s completion of work under such Task Order.

(5) Prior to the acceptance of a Task Order 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 requested.

(6) To immediately notify the Contracting Officer of any conflict of interest discovered during Contractor’s performance of work pursuant to a Government issued Task Order; provided that the Contracting Officer shall have the right to impose such restrictions as he/she deems 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 Task Order 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 contracting 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…