50310221Q0010 - Conflict Resultion Services.pdf

12/16/2020

Combined Synopsis/ Solicitation

Conflict Resolution Services

General Information

Document Type: Combined Synopsis/Solicitation Solicitation Number: 50310221Q0010 Posted Date: Dec 16, 2020 Response Date/ Time: Jan 15, 2021, no later than 3:00PM EST Questions Due Date/ Time: Dec 22, 2020, no later than 3:00PM EST Classification Code: R799- Support- Management: Other Set Aside: 100% SB NAICS Code: 541611 – Administrative Management and

General Management Consulting Services

Contracting Office Address U.S. Securities and Exchange Commission (SEC) Office of Acquisitions (OA) 100 F. Street NE Washington, DC 20549

Description This is a combined synopsis/solicitation for commercial items prepared in accordance with the format in FAR subpart 12.106 in conjunction with FAR subpart 13.501 as supplemented with additional information included in this notice. This announcement constitutes the only solicitation that will be issued.

This solicitation is a request for quotes. The solicitation document and incorporated provisions and clauses are those in effect through Federal Acquisition Circular (FAC) 2021-01, Nov 23, 2020.

The associated North American Industrial Classification System (NAICS) code for this procurement is 541611, with a small business size standard of $16.50 million. This solicitation is 100% set aside for Small Business (SB).

The U.S. Securities and Exchange Commission (SEC) seeks to award a single contract in support of the Securities and Exchange Commission’s Office of Inspector General (OIG). The successful awardee will be required to provide non-personal Conflict Resolution Services to support the mission requirements, as described in the Statement of Work.

SPECIAL NOTICE- Go/No-Go Factor

Interested Quoters are hereby advised that meeting 100% of the Go/No Go Factor is required for further consideration. Quoters that are unable to meet the following, at the time of proposal submission are encouraged to STOP, as the Government will not evaluate the proposal, consider the proposal for contract award, or reimburse/pay the Quoter any costs that may be associated with the development and/or submission of proposal(s).

Corporate Experience and Education: (Mark all that apply to proposed Key Personnel)

____ Key personnel shall have, at a minimum, an undergraduate (4-year) degree related to Human Resources (HR) or Conflict/Dispute Management.

____ The key personnel shall have a minimum of 40 hours of conflict resolution/mediation training from recognized sources. Supporting documentation is required; and

_____Key Personnel shall have a minimum of five years of experience working full-time in or with federal government agencies in the area of conflict resolution. Key personnel’s resume is required, which shall demonstrate experience in mediation, facilitation, communication, alternative dispute resolution techniques, problem-solving and training.

SUBMISSION INSTRUCTIONS:

Go/No-Go Factor submission shall be labeled Go/No-Go Factor, which shall include all supporting documentation, and shall be independent of the Quoter’s Technical and Price Proposals. The Go/No-Go Factor will only receive a “Go” or “No-Go” rating. Therefore, if the Quoter fails to meet any one portion described in the Go/No-Go Factor, the Quoter’s rating will be “No-Go” and the Quoter’s proposal (technical and price) will immediately be eliminated from further consideration.

The Quoter shall complete and submit this Special Notice-Go/No-Go Factor sheet along with the following:

Special Notice Attachment 1 - Undergraduate (4-year) degree, as required.

Special Notice Attachment 2 - Completion of 40 hours of conflict resolution, as required.

Special Notice Attachment 3 – Resume. As required.

All interested parties shall submit Technical and Price quotes based on the following:

SECTION I

DESCRIPTION/SPECIFICATIONS/STATEMENT OF WORK

Statement of Work: Conflict Resolution Services

1. Background

The U.S. Securities and Exchange Commission (SEC) Office of Inspector General (OIG) (SEC OIG or Agency) is an independent office within the SEC that conducts, supervises, and coordinates audits and investigations of the programs and operations of the SEC. The mission of the SEC OIG is to promote the integrity, efficiency, and effectiveness of the SEC’s critical programs and operations. This mission is best achieved by having an effective, vigorous, and independent office of seasoned and talented professionals. Those individuals carry out the SEC OIG's mission by:

• conducting independent and objective audits, evaluations, inspections, investigations, and other reviews of Commission programs and operations;

• preventing and detecting fraud, waste, abuse, and mismanagement in Commission programs and operations;

• identifying vulnerabilities in Commission systems and operations and recommending constructive solutions;

• offering expert assistance to improve Commission programs and operations;

• communicating timely and useful information that facilitates management decision-making and the achievement of measurable gains; and

• keeping the Commission and the Congress fully and currently informed of significant issues and developments.

The SEC OIG is comprised of four components: the Office of Investigations; the Office of Audits, Evaluations, and Special Projects; the Office of Operations and Management; and the Office of Counsel to the Inspector General. The SEC OIG staff of 53 employees work as auditors, criminal investigators, attorneys, analysts, or administrative staff. Of these employees, 14 are in management positions.

2. Scope of Work

The Agency seeks a non-personal services contract for an advisory conflict resolution specialist who will facilitate fair and equitable resolutions to internal concerns that may arise within the Agency. The Contractor will: assist and advise in order to create and implement a voluntary, collaborative process that involves and assists employees in the resolution of disputes; assist the Agency in supporting an environment that facilitates open communication; and train employees and managers in communication and conflict resolution skills. Agency employees will be encouraged to contact the Contractor to resolve workplace disputes; however, the Contractor will not participate in EEO matters and/or other formal complaint processes, and the Contractor’s recommendations will not be binding on the Agency or employees.

3. Location

The Contractor will work either onsite at Agency headquarters, located in Washington, D.C., or remotely, as determined by the Agency. The Agency will provide Contractor with a mobile phone and SEC e-mail address. When in the office, Agency will provide the contractor with an on-site office that is equipped with office furniture, personal computer, telephone, and access to a printer and copier.

4. Description of Services

The Contractor will:

a. Develop a process for the intake and resolution of employee complaints, concerns, and/or disputes.

(1) This process will be presented to the Agency within 30 days of contract award.

(2) The process must be approved by the Inspector General prior to its implementation.

b. Maintain office hours during which he/she will be available for consultation with Agency employees.

(1) Office hours will be held on-site at the Agency’s offices, unless the Agency authorizes remote office hours.

(2) During office hours, the Contractor will be available for both drop-in and reserved appointment times.

(3) During office hours, the Contractor will proactively reach out to employees, letting them know that the Contractor is in the office and available.

c. Meet with employees to discuss workplace concerns and/or disputes.

(1) Meetings generally will be conducted in-person, but may be conducted remotely, with the consent of the employee.

(2) Meetings should be held during office hours, if practicable.

d. Act as a mediator or facilitator in resolving workplace disputes.

(1) The Contractor will offer to mediate or facilitate a discussion between two or more employees. Participation in such discussions is voluntary, and no employee will be pressured to participate in such discussions.

(2) Mediated/facilitated discussions will occur within a reasonable amount of time (e.g. one week) from the time that the employees agree to participate.

Gladden, D'Jaris Is 30 days feasible timeframe to present a process. Or will this be a “draft” process.

Reilly, Katherine I think it’s feasible if the contractor has done something like this before.

e. Use a myriad of dispute resolution techniques (e.g., shuttle diplomacy, coaching, role-playing) to assist the employee(s) in resolving conflict.

f. At least quarterly, provide a training session, at least one hour in length, on one or more of the following topics: conflict resolution; communication skills for the workplace;

difficult conversations; diversity, equity, and inclusion in the workplace.

(1) Each training topic and module must be approved in advance by the Inspector General.

(2) Trainings may be tailored to all staff or management only. However, at least half of the trainings provided must be provided to all staff.

g. Quarterly report findings in a way that protects employee confidentiality. (See Section

The Government anticipates no more than 8 hours per week on the performance of tasks (a) through (e) in this section or 416 hours per performance period.

5. Contractor Responsibilities

a. The Contractor will conduct activities in a manner that does not breach the trust of any of the parties in the dispute, and in general conformance to accepted neutral third party alternative disputes resolution codes of conduct. All Federal laws pertaining to alternative dispute resolution will be complied with. The Contractor will describe the process, confidentiality, rights, and the relationship to other dispute forums with the employees involved.

b. The Contractor will ensure the confidentiality of individual and group communications, organizational neutrality, and independence.

c. The Contractor will provide mechanisms that encourage employees and managers to voice concerns and constructive dissent early.

d. The Contractor's main focus is to help resolve issues and facilitate an environment of open communication.

e. The Contractor will conduct mediation/facilitation sessions for the purposes of exchanging information among participants and identifying techniques which will facilitate dispute resolution, resolve workplace conflicts, and improve communication in the workplace.

f. In addition to offering facilitation/mediation, the Contractor must also be prepared to engage in:

(1) Active listening.

(2) Providing information and coaching.

(3) Assisting employees in reframing issues and developing options.

(4) Referrals to additional resources or assistance networks.

(5) Informally exploring the issue or conflict.

(6) Shuttle diplomacy.

g. Contact with the Contractor does not extend, modify, supersede, or otherwise alter the procedures, including the timeframes, provided for in filing a complaint with the Equal Employment Opportunity Commission, the Merit Systems Protection Board, the Office of Special Counsel, the SEC OIG’s Administrative Grievance Process, the SEC OIG Hotline, the SEC Employee Suggestion Program, or any other complaint process available to SEC OIG employees.

h. If the Contractor encounters any circumstances in which a referral should be made to another entity or component, including but not limited to credible allegations of (1) a hostile work environment based on a protected class; and (2) fraud, waste, abuse, gross mismanagement, or serious employee misconduct, the Contractor will report such circumstances immediately to the Counsel to the Inspector General.

i. The Contractor does not have approval or decision-making authority related to Agency human resource management processes including but not limited to hiring, promotion, recognition, or other performance management activities.

j. The Contractor will dress professionally in office attire when onsite at the Agency or on video conferences.

6. Reporting and Records Management

The Contractor will provide a quarterly report that, while maintaining employee confidentiality, identifies the number of employee-clients seen, number of contact hours per employee-client, the number of successful outcomes, the number of unsuccessful outcomes, the types of concerns or conflicts raised by employee-clients, the current problems and patterns that are apparent from services rendered to employee-clients, and suggestions for resolutions of these problems/patterns.

All records that the Contractor creates in furtherance of this SOW will be retained and destroyed in accordance with the applicable system of records notice.

7. Requirement for Key Personnel

The Contractor will identify the key personnel by name. The key personnel must have a minimum of 40 hours of conflict resolution/mediation training from an accredited source. The key personnel must have a minimum of five years of experience working full-time in or with federal government agencies in the area of conflict resolution, preferably as an organizational ombudsman within a federal agency. The key personnel must demonstrate their expertise in:

mediation, facilitation, communication, alternative dispute resolution techniques, problem-solving, and training.

SECTION II

TERMS and CONDITIONS

1. INSPECTION AND ACCEPTANCE

Inspection and acceptance of all work and services performed under the contract will be in accordance with the FAR clauses incorporated at the Inspection and Acceptance Clauses Incorporated by Reference, as applicable. Inspection and Acceptance of supplies and/or services will be performed against the terms and conditions of the contract by the Contractor Officer’s Representative (COR) or designated official. Services shall conform to the requirements set forth in the contract.

2. Period of Performance with Option Years

The Government anticipates contract award on or about January 25, 2021. The performance period will be established at the time of award but should be within 30 days of contract award.

Performance Period Dates Base Period TBD

Option Period 1 TBD Option Period 2 TBD Option Period 3 TBD Option Period 4 TBD

3. DELIVERY

3.1 PLACE OF PERFORMANCE

The primary place of performance is at the SEC’s Headquarters Office at 100 F Street NE, Washington, DC 20549. However, the contractor shall have the ability to work remotely, as required.

3.2 DELIVERABLES

The following table provides a list of required deliverables.

Contract Section

Deliverable Delivery Timeline Deliver To

Section I 4a(1)

Develop intake and resolution process

Within 30 days of contract award

COR or other designated OIG personnel Section I

4f Provide pre-approved training that includes:

- conflict resolution

- communication skills for the workplace

- difficult conversations

- diversity

- equity

- inclusion in the workplace

Quarterly Office

Section I 4g and 6

Confidential report of findings Quarterly COR or other designated OIG personnel

SECTION III

CONTRACT ADMINISTRATIVE DATA

1. CONTRACT ADMINISTRATION

This contract will be administered by the Office of Acquisitions of the Securities and Exchange Commission. All inquiries should be directed to the Contracting Officer at the following address:

U.S. Securities and Exchange Commission Office of Acquisitions Attn: Selina Banfield 100 F Street, NE Washington, DC 20549 Email: BanfieldS@sec.gov

2. (5003.05) SUBMISSION OF INVOICES - DELPHI EINVOICING SYSTEM (JUNE 2020)

a. The Securities and Exchange Commission (SEC) will only accept electronic invoices submitted through the Delphi eInvoicing system on a monthly basis.

b. Payment system registration. All persons accessing the Delphi eInvoicing web-portal will be required to have their own unique user Delphi eInvoicing ID and password and be credentialed through login.gov.

(1) Electronic authentication. See www.login.gov for instructions. Click on the following link for instructions on establishing a login.gov account: https://login.gov/help/creating-an-account/how-do-i-create-an-account-with-logingov/.

(2) To create a login.gov account, the user will need a valid email address and a working phone number. The user will create a password and then login.gov will reply with an email confirming the email address.

(3) In order to make changes to vendor users who will have access to the eInvoicing web-portal for invoice submission and payment tracking purposes, notify iSupplier@sec.gov and include the full name, valid email address, and current phone number of any new http://www.login.gov/ https://login.gov/help/creating-an-account/how-do-i-create-an-account-with-logingov/ https://login.gov/help/creating-an-account/how-do-i-create-an-account-with-logingov/ mailto:iSupplier@sec.gov vendor users. Vendor users will be notified via e-mail when the account is created. The vendor user will be provided detailed instructions for logging into their Delphi eInvoicing account.

(4) Training on Delphi. To facilitate use of DELPHI, comprehensive user information is available at http://einvoice.esc.gov

(5) Account Management. Vendors are responsible to contact the Delphi Help Desk when their firm's points of contacts will no longer be submitting invoices so they can be removed from the system. Instructions for contacting the Delphi Help Desk can be found at http://einvoice.esc.gov

c. Contractors are cautioned against submitting an invoice prior to goods and services being received/accepted. Invoices submitted prematurely may be rejected. Software license maintenance and subscriptions may be invoiced at the beginning of the contract period of performance.

d. The SEC's Delphi eInvoicing system is managed by the Enterprise Services Center (ESC). In order to receive payment and in accordance with the Prompt Payment Act, all invoices submitted as attachments in the Delphi eInvoicing web-portal shall contain the following:

(1) Company logo or letterhead

(2) Company name and payment address

(3) Company Point of Contact (POC) for the invoice with phone and e-mail

(4) Invoice number and invoice date

(5) Billing period

(6) SEC Contract number

(7) Task/Delivery Order number (if applicable)

(8) SEC Contracting Officer's Representative (COR name)

(9) Amount billed (by CLIN), current and cumulative

(10) Total amount billed this period

(11) Cumulative total billed to date

(12) Brief Description of Services Performed - General description only

e. If the contract includes allowances for travel, all invoices which include charges pertaining to travel expenses will catalog a breakdown of reimbursable expenses with the appropriate receipts to substantiate the travel expenses.

3. (SEC 5004.00) APPOINTMENT OF CONTRACTING OFFICER’S REPRESENTATIVE

(COR) (JUNE 2020)

a. TBD, is hereby designated the Securities and Exchange Commission COR for administration and information relating to this contract. The COR may not re-delegate his or her authority; only the CO has this authority.

http://einvoice.esc.gov/ http://einvoice.esc.gov/

b. The COR will manage the contract in coordination with the CO and within the terms of the contract. The COR’s responsibilities include reviewing invoices and charges by the Contractor, informing the CO of areas where exceptions are taken, and accepting or rejecting invoices in the SEC’s financial system. The COR shall be the primary point of contact responsible for communicating administrative guidance for on-boarding and off-boarding of Contractor Personnel, mandatory trainings, government closures, and other events as necessary. Unless otherwise specified in this contract, inspection and acceptance of supplies and/or services to be furnished under this contract will be performed by the COR.

c. 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.

4. SPECIAL CONTRACT REQUIREMENTS

4a. NON-PERSONAL SERVICES

This is not a personal services contract. The Government and the Contractor understand and agree that the services delivered by the Contractor to the Government are non-personal services.

The parties also recognize and agree that no employer-employee or master-servant relationship exists or will exist between the Government and the Contractor. Contractor personnel are not employees of the Federal Government and are not eligible for entitlement and benefits given federal employees.

Contractor personnel under this contract shall not (i) be placed in a position where there is an appearance that they are employed by the Federal government, or are under the supervision, direction (other than the technical direction with respect to the tasks listed in Statement of Work), or evaluation of a Federal employee, or (ii) be placed in a position of command, supervision, administration or control over Government personnel.

4b. (SEC 6001.00) SEC NON-DISCLOSURE REQUIREMENTS AND AGREEMENTS

(FEB 2018)

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

b. 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.

c. 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.

d. 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.

(End of clause)

4c. (SEC 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.

(End of clause)

5. (SEC 6002.00) TYPE OF CONTRACT (JUNE 2020)

This is a Firm-Fixed-Price (FFP) type contract.

6. (SEC 6006.00) CONFLICTS OF INTEREST (FEB 2019)

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

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

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

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

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

(c) Definition

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

(d) Restrictions The Contractor agrees:

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

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

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

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

(5) Prior to the acceptance of a contract, request to immediately notify the Contracting

Officer of any potential conflict of interest which would prevent or limit the Contractor’s ability to perform the work required under the contract.

(6) To immediately notify the Contracting Officer of any conflict of interest discovered during the Contractor’s performance of work pursuant to a Government contract;

provided that the Contracting Officer shall have the right to impose such restrictions as they deem appropriate on Contractor’s performance based on the existence of such a conflict or, if the Contracting Officer determines that such restrictions would not adequately address the conflict of interest at issue, to terminate the Contractor’s performance of work under the contract at no cost to the Government.

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

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

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

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

7. (SEC 6007.00) COMPLIANCE WITH REGULATIONS (JUNE 2020)

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

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

8. (SEC 6009.05) CONTRACTOR PERSONNEL ENTRY ON DUTY (JUNE 2020)

a. Included with this award are four forms: Contractor Data Form, Optional Form 306

(OF306) “Declaration of Federal Employment,” FBI Fingerprint Privacy Act Form, and a Credit Release Form. The Contractor must ensure that their personnel complete and return these forms to the SEC. Contractor personnel must receive a favorable entry on duty determination rendered by the Personnel Security Branch (PERSEC) of the SEC before they may begin work at the SEC. It is the Contractor’s responsibility to ensure that their personnel receive these forms and return them to the contracting officer’s representative (COR) for the contract/award as quickly as possible. A delay in completing the forms may delay the SEC start date for the contract/award. Once PERSEC receives the completed forms from the COR, PERSEC will reach out to the Applicant to have their fingerprints enrolled for the FBI criminal history records check and to obtain a completed security questionnaire via the automated system Electronic Questionnaires for Investigations Processing (e-QIP). The applicant is provided 5 days to enroll fingerprints and complete the e-QIP. It is the Contractor’s responsibility to ensure that their personnel are in compliance. E-mails about these two processes will be sent to the Contractor’s personnel once they are enrolled in USAccess for fingerprints and in e-QIP for completion of the security questionnaire. The COR or contracting officer (CO) may contact the Contractor for assistance if he/she is unable to obtain this information from the Contractor’s personnel.

b. Entry on Duty Check Proposed contractor personnel (“Applicant”) shall be subject to a complete entry on duty check, which will be performed by the SEC. The entry on duty check shall include a review of the completed OF-306 Form “Declaration for Federal Employment,” e-QIP questionnaire, a credit history check, and a review of the Applicant’s criminal history. This entry on duty check will determine the Applicant’s ability to begin working on the contract/award. The Government reserves the right of final approval of Applicants.

c. The Applicant shall be given the opportunity to address the items which may have a negative impact on their entry on duty determination prior to that determination being rendered. They will be contacted via email by PERSEC and be offered an opportunity to explain the circumstances and offer mitigating information regarding any adverse information. This information will be considered when rendering the entry on duty determination. Failure to reply to the request for additional information will result in PERSEC utilizing the information available to make the decision.

d. No Applicant shall be assigned to the contract/award prior to contracting officer receiving approval of the entry on duty determination from PERSEC.

e. Background Check

Due to the sensitive nature of the information contained in SEC filings and concerns regarding the security and integrity of this information, the SEC may conduct a background check of an Applicant in addition to an entry on duty check. It shall be the responsibility of the Contractor and individual contractor personnel, throughout the life of this contract/award, to inform the SEC of any information that would change their background or entry on duty checks. The Contractor also agrees to include the substance of this instruction in any of its subcontracts.

f. In addition to the entry on duty checks, a background investigation will be required for an

Applicant requiring physical and/or logical access to SEC space and/or technology.

Applicants may already have the appropriate level of background investigation prior to onboarding with the SEC. If that is the case and the Applicant receives a favorable entry on duty determination, the Applicant’s current favorably adjudicated background investigation will be reciprocally accepted by the SEC and the Applicant will not undergo any additional vetting. However, if a background investigation is needed, it will be scheduled by the SEC with the Department of Defense (DoD) Defense Counterintelligence and Security Agency (DCSA) following the issuance of the entry on duty determination.

The background investigation will include additional checks and vetting which may include information on prior employments, education, residences, criminal history, personal references and an interview with the contractor.

g. The Applicant must have a completed background investigation which has been reciprocally accepted or favorably adjudicated by the SEC in order to begin or continue work on an SEC contract/award. In most cases, if negative, derogatory or questionable information is obtained during the background investigation process, the Applicant will be given a chance to provide documentation or an explanation. If an unfavorable determination is rendered, the COR will contact the Contractor and the Applicant will not be allowed to begin or continue work on the contract/award.

9. (SEC6010.00)PERSONNEL AND CONTRACTOR RESPONSIBILITIES/STANDARDS

OF CONDUCT (JUNE 2020)

a. The Contractor shall provide all management, supervision, and skilled personnel required for the effective and efficient performance of this contract. The Contractor must at all times maintain an adequate workforce for the uninterrupted performance of this contract.

When hiring personnel, the Contractor shall keep in mind that the stability and continuity of the workforce is essential. Contractor employees, agents, and subcontractor personnel (collectively, “Contractor Personnel”) are not employees of the Government.

b. The Contractor shall designate a primary POC to communicate with the COR.

c. The SEC has the right to require the removal of any Contractor personnel assigned to this contract, at any time, for any reason.

d. The Contractor shall select, supervise, and exercise control and direction over Contract Personnel under this contract. The SEC will not exercise any supervision over Contractor Personnel, 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.

e. Contractor shall be responsible for:

1. Approving time cards of Contractor Personnel.

2. Approving leave requests of Contractor Personnel.

3. Conducting performance evaluations of Contractor Personnel.

4. Making hiring and firing decisions for Contractor Personnel.

5. Informing Contractor Personnel that they are not employees of the SEC and have not received an appointment in the federal service.

6. Informing Contractor Personnel that they are not to accept direction from employees of the SEC beyond that required to accomplish the purposes of the Contract.

7. Informing Contractor Personnel 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.

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

9. Directing Contractor Personnel 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.

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

11. 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.

f. The Contractor is accountable to the SEC for the actions of its personnel. Contractor

Personnel, 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 Contractor Personnel are on site at the SEC for maintaining satisfactory standards of competency, conduct, appearance, and integrity, and shall be responsible for taking such disciplinary action with respect to Contractor Personnel as may be necessary.

Contractor Personnel are expected to adhere to standards of conduct that reflect credit on themselves, the contractor, the SEC and the Federal Government.

10. (SEC 6010.01) KEY PERSONNEL (JUNE 2020)

a. Key personnel are essential to the successful performance of work under this contract. Key personnel shall be available as necessary to efficiently manage the work of the contract and shall be available on the effective date of award. The designated key personnel positions for this award is TBD.

b. Following contract award the Contractor shall permit no substitution of key personnel without the written consent of the Contracting Officer, unless such substitutions are necessitated by an individual’s sudden illness, death, or termination of employment. In the event that substitution of personnel is desired, the Contractor shall notify the Contracting Officer in writing at least thirty (30) calendar days before any key personnel substitution is made, if possible. The Contractor shall submit a justification in sufficient detail to permit evaluation of the impact on contract performance, with the resume of the proposed replacement personnel. Proposed substitute personnel shall have experience and education at least substantially equal to those of the personnel being replaced unless approved in writing by the Contracting Officer. Requests for substitutions shall provide a detailed explanation of the circumstances necessitating such changes, a resume for each proposed substitute, and any other information as requested by the Contracting Officer. The Contracting Officer will evaluate such requests and promptly notify the Contractor of approval or disapproval thereof.

11. (SEC 6010.06) WORK HOURS AND ALTERNATE WORK SCHEDULES (JUNE

2020)

a. The core work hours at SEC Headquarters and Regional Offices are Monday – Friday, 10:00 a.m. to 3:00 p.m., in the office’s respective time zone. Unless otherwise specified, the Contractor is responsible for conducting business during the core hours, except Federal holidays or when the Government facility is closed due to local or national emergencies, administrative closings, or similar Government directed facility closings.

b. All contractor personnel assigned to be on-site for this contract shall only occupy SEC workspace during hours that are established by the Contracting Officer’s Representative and the Contracting Officer, and when Government personnel will be on-site to oversee contractor personnel.

c. Alternate Work Schedules (AWS) may be requested and approved on a case-by-case basis and in writing by the Contracting Officer’s Representative or Contracting Officer, except for contracts subject to the Service Contract Act of 1965 and the Fair Labor Standards Act.

The Program Manager will submit all requests for AWS to the COR for review. AWS may be ended at any time at the SEC’s sole discretion without any contractual rights being implicated and without affecting cost or performance.

12. (SEC 6010.07) – TELEWORK (AUG 2014)

Telecommuting may be requested and approved on a case-by-case basis in writing by the Contracting Officer’s Representative or Contracting Officer.

The Program Manager will submit all requests for telework to the COR for review. The request will include all information necessary to make a determination. If telework is approved, the contractor must provide a status report documenting the services performed during the teleworking hours.

13. (SEC 6012.00) Security and Privacy Act Matters (Mar 2009)

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

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

14. (SEC 6012.01) Compliance with Security Regulations, Policies, and Procedures

(Mar 2012)

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

15. (SEC 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 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.

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.

16. (SEC 6016.00) SUPPLIES (JUNE 2020)

Space, desk, phone and computer will be made available to on-site contractor personnel at the SEC for use in the performance of their task and will be returned when they are no longer on-site.