50310221R0008-0004.pdf

(x)

50310221R0008 x x

1 copies of the amendment; (b) By acknowledging receipt of this amendment on each copy of the offer submitted ; or (c) By separate letter or electronic communication which includes a reference to the solicitation and amendment numbers. FAILURE OF YOUR ACKNOWLEDGEMENT TO BE

RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR

OFFER. If by virtue of this amendment you desire to change an offer already submitted , such change may be made by letter or electronic communication, provided each letter or electronic communication makes reference to the solicitation and this amendment, and is received prior to the opening hour and date specified.

x

WASHINGTON DC 20549

MAIL STOP 4226

SEC-OA - 03

100 F STREET NE

MISSION AND OPERATIONS SUPPORT BRANCH

OFFICE OF ACQUISITIONS

SECURITIES AND EXCHANGE COMMISSION

05/25/20210004

13. THIS ITEM ONLY APPLIES TO MODIFICATION OF CONTRACTS/ORDERS. IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14.

12. ACCOUNTING AND APPROPRIATION DATA (If required) is not extended.is extended, Items 8 and 15, and returning

Offers must acknowledge receipt of this amendment prior to the hour and date specified in the solicitation or as amended , by one of the following methods: (a) By completing

The above numbered solicitation is amended as set forth in Item 14. The hour and date specified for receipt of Offers

11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS

FACILITY CODE CODE

10B. DATED (SEE ITEM 13)

10A. MODIFICATION OF CONTRACT/ORDER NO.

9B. DATED (SEE ITEM 11)

9A. AMENDMENT OF SOLICITATION NO.

CODE

8. NAME AND ADDRESS OF CONTRACTOR (No., street, county, State and ZIP Code)

7. ADMINISTERED BY (If other than Item 6)CODE 6. ISSUED BY

PAGE OF PAGES

4. REQUISITION/PURCHASE REQ. NO.3. EFFECTIVE DATE2. AMENDMENT/MODIFICATION NO. 5. PROJECT NO. (If applicable)

1. CONTRACT ID CODE

AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT

04/16/2021

CHECK ONE A. THIS CHANGE ORDER IS ISSUED PURSUANT TO: (Specify authority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE CONTRACT

B. THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES (such as changes in paying office, C. THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF:

D. OTHER (Specify type of modification and authority) appropriation data, etc.) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b).

E. IMPORTANT: Contractor is not is required to sign this document and return __________________ copies to the issuing office.

ORDER NO. IN ITEM 10A.

14. DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings, including solicitation/contract subject matter where feasible.)

This Request for Proposal (RFP) is for Integrated Professional Acquisition Support Services

2.0 (iPASS 2.0).

1. The purpose of this amendment is to acknowledge the following changes to the solicitation:

a. The Go/No-Go response date is changed to 12:00PM EST on June 1, 2021.

b. The Go/No-Go Criteria Response Form has been revised to amend Factor 1 and remove

Factor 2.

Continued ...

16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or print)15A. NAME AND TITLE OF SIGNER (Type or print)

15C. DATE SIGNED 16B. UNITED STATES OF AMERICA 15B. CONTRACTOR/OFFEROR 16C. DATE SIGNED

(Signature of person authorized to sign) (Signature of Contracting Officer)

D'JARIS GLADDEN

STANDARD FORM 30 (REV. 11/2016)

Prescribed by GSA FAR (48 CFR) 53.243

Previous edition unusable

Except as provided herein, all terms and conditions of the document referenced in Item 9 A or 10A, as heretofore changed, remains unchanged and in full force and effect .

ITEM NO. SUPPLIES/SERVICES QUANTITY UNIT UNIT PRICE AMOUNT

NAME OF OFFEROR OR CONTRACTOR

2 75

CONTINUATION SHEET

REFERENCE NO. OF DOCUMENT BEING CONTINUED PAGE OF

(A) (B) (C) (D) (E) (F)

50310221R0008/0004

c. The solicitation response date is changed to

12:00PM EST on June 18, 2021. See Sections

Executive Summary, L.3, and L.4.2.

d. The solicitation has been revised at the following sections:

-- Section L.8.2.1.1 - Page count is revised.

-- Section L.8.2.1.2 - Language is revised.

-- Section L.8.2.1.4 - Past Performance replaced by Business Continuity Plan.

-- Section L.8.2.1.5 - Past Performance added.

-- Section M.3.1 - IDIQ Order of Importance is revised.

-- Section M.3.4 - Past Performance replaced by Business Continuity Plan.

-- Section M.3.4.1 - Past Performance added.

e. The Milestone Plan has been revised.

2. All other terms of the solicitation remain unchanged.

Period of Performance: 08/01/2021 to 07/31/2031

Attachments:

-- Milestone Plan, Revised 5.25.2021

-- Special Notice and Go, No-Go Critera Form, Revised 5.25.2021

NSN 7540-01-152-8067 OPTIONAL FORM 336 (4-86)

Sponsored by GSA

FAR (48 CFR) 53.110

50310221R0008-0004

May 25, 2021

SECTION A – SOLICITATION/CONTRACT FORM

EXECUTIVE SUMMARY

This Request for Proposal (RFP) seeks offers for a Single-Award Indefinite Delivery/Indefinite Quantity (IDIQ) Contract, which will result Task Orders (TO) being awarded on a time-and-material (T&M), labor-hour (LH), or firm-fixed-price basis. The Government intends to award to the Offeror that provides the best value to the Government, price and other factors considered.

Best value will be determined based on (1) the proposal’s conformance with all requirements of the RFP, (2) being among the highest technically rated Offerors, and (3) proposing prices determined to be fair and reasonable.

Prospective Offerors are cautioned to review this RFP in its entirety. Prospective Offerors are reminded that the Integrated Professional Acquisition Support Services 2.0 (iPASS 2.0) RFP may be amended at any time during the solicitation phase. As such, prospective Offerors are soley responsible for monitoring https://beta.sam.gov for updates, as they relate to this RFP.

Questions regarding this RFP may be submitted, via email, to BanfieldS@sec.gov and GladdenD@sec.gov at any time but must be received and present on a Government email server no later than 12:00 PM EST on April 26, 2021. All questions/comments shall be submitted utilizing Attachment L-1- iPASS 2.0 Questions Template. The Government’s responses, along with the questions will be posted to https://beta.sam.gov. Questions and/or comments received after the specified date/time may not be addressed by the Government. No oral communications are permissible.

Proposals must be submitted in accordance with Section L no later than 12:00PM ET on June 18, 2021.

Prospective Offerors shall clearly indicate in their response to the iPASS 2.0 RFP that their proposal is valid for 180 days.

This solicitation is issued as a competitive 8(a) set-aside under NAICS 541611. Offerors who are not 8(a) vendors and those who are not registered under NAICS 541611 by the proposal due date will be removed from competition and will not be considered for contract award.

The SEC will make the overall determination of responsibility which will include but is not limited to, active registrations with no exclusions or federal debts noted and electronic representations and certifications in the System for Award Management (SAM), information in the Federal Awardee Performance and Integrity Information System (FAPIIS), and Dun and Bradstreet, and financial records. The Offeror shall ensure information is accurate and up-to-date in FAPIIS and SAM at the time of submission of the proposal. The Offeror will not be considered for award if it is determined they are not “Responsible” in accordance with FAR Part 9.

https://beta.sam.gov/ mailto:BanfieldS@sec.gov mailto:GladdenD@sec.gov https://beta.sam.gov/

SECTION B - SUPPLIES OR SERVICES AND PRICES/COSTS

B.1 General

The Securities and Exchange Commission (SEC) requires a Contractor to provide all the resources, management, and oversight to appropriately acquire and retain professional contractor personnel with skills essential to provide support services in the SEC’s mission accomplishment.

This non-personal services contract will provide short and long-term contractor personnel to the SEC Enterprise (Headquarters and all Regional Offices) in the areas of accounting, administration, analytics, business analytics, compliance and examination, financial analytics, fraud, forensic analytics, program/project management, and legal support services.

The contract may be expanded at any time, at the Government’s discretion, to incorporate additional support areas, to include disciplines and/or labor categories to meet the SEC’s business needs and projects.

This is a bona-fide professional services contract and the general description of services to be performed can be found in Section C, Statement of Work (SOW), Attachment 3- iPASS 2.0 Labor Category Descriptions, and any Task Order specific requirements.

B.2 Contract Minimum and Maximum Summary

a. The guaranteed minimum is $2,000. There is no guaranteed minimum for the ordering periods for this IDIQ. Other Direct Costs (ODCs) are not included in the contract minimum.

Note: Fiscal Law requires an obligation to be recorded upon execution of the contract.

b. The maximum dollar amount of all orders is the Government’s best estimate of the total value of all work to be performed for the base period and if all option are exercised, which shall not exceed $2.5 Billion.

B.3 Ordering Period Program Ceiling

The aggregate value of the Indefinite Delivery Indefinite Quantity (IDIQ) contract is $2.5 Billion. The aggregate value is inclusive of the value of all Task Orders placed against the IDIQ contract.

B.4 Contract Term

The term of the IDIQ contract 10 years, consisting of one 5-year base period and one 5-year option period, which may be exercised at the time of contract award. This is not a multi-year contract as defined in FAR Part 17.1, Multiyear Contracting.

Task Orders may be issued at any time during the contract term. The performance period for requirements will be specified at the TO level and may include option periods, which may extend up to 12 months beyond the expiration date of IDIQ contract.

B.5 Contract Pricing

a. Pricing at the IDIQ level will consist of ten 12-month Ordering Periods, which will be captured in Attachment 4-iPASS 2.0 IDIQ Labor Rate Table. The labor rates in this attachment reflect fully-burdened hourly rates for each labor category and applicable skill level and will apply to all direct labor hours. The fully-burdened labor rates include all direct labor and indirect costs applicable to that direct labor such as fringe benefits, overhead, G&A, and profit. These fixed hourly rates are ceiling rates and will apply to the Prime Contractor.

b. TOs may be issued on a Time-and-Materials (T&M), Labor-Hours (LH), or Firm-Fixed-Price (FFP) basis. All pricing shall be based on pricing set forth in IDIQ Attachment 4- iPASS 2.0 IDIQ Labor Rate Table, unless discounts are provided. Proposed labor rates for TOs shall not exceed the ceiling rates established in the IDIQ contract.

The labor rate table shall include the Prime Contractor and each Subcontractor’s established accounting practices for recording work in excess of 40 hours per week. The accounting practices for each member shall be clearly identified (e.g., Prime Contractor records all hours; “Subcontractor A” records 40 hours per week; “Subcontractor B records all hours, etc.). The descriptions of the methods will be incorporated into the contract and will be effective for T&M Task Orders.

c. The labor rates set forth in the labor rate table reflect fully-burdened rates for performance at a Government site (on-site) and for performance at a Contractor site (off-site).

(1) On-site Rates. When performing at Government sites the Contractor shall furnish fully-burdened labor rates. The Government will provide office space, furniture and office equipment as specified in the individual Task Orders.

(2) On-site Rates. When contractor personnel are performing from their home address, the Contractor shall furnish fully-burdened labor rates.

(3) Off-site Rates. When performing off-site in a contractor owned facility, the fully-burdened labor rates shall include applicable indirect costs for office space and all normal supplies and services required to support the work. This includes, but is not limited to, telephones, faxes, copiers, personal computers, postage, including courier services such as Federal Express, ordinary business software, such as word processing, spreadsheets, graphics, etc., normal copying and reproduction costs.

*All extended hours shall be billed at the regular rate.

d. Only Government-required labor categories and applicable skill levels are included in Attachment 4-IDIQ Labor Rate Table. Additional labor categories and applicable skill levels may be proposed (upon request by the Government) and may be added to the IDIQ contract after contract award to meet specific TO requirements.

IDIQ Program Management Support Costs. IDIQ Contract-level program management support costs include contract-level management, reporting requirements (See Section F, Deliveries or Performance), and any costs associated with travel and meetings with the Contractor’s program management staff. This relates to overall management of the IDIQ contract. As a result, these program management support costs shall be included within each fully burdened labor category and applicable skill level rate and shall not be proposed as separate labor categories and/or costs.

The IDIQ Program Management Costs are different from Task Order program/project management support costs. In the event this is required at the task order level it will be outlined in the TO SOW, SOO, or PWS and be direct billed to the TO accordingly.

B.5.1 Firm-Fixed-Price (FFP) Task Orders

For FFP orders, travel and materials, if applicable, may be estimated for each TO and identified as other direct costs (ODCs) accordingly. Partial payment of FFP orders may be negotiated based on the incompletion of deliverables.

B.5.2 Time-and-Materials (T&M)/ Labor-Hour (LH) Task Orders

For T&M and/or LH orders, the quantity of hours ordered for each labor category and applicable skill level will be specified as deliverable hours billable at the negotiated rates specified in IDIQ Attachment 4- IDIQ Labor Rate Table, unless discounted. Separate pricing tables may or may not be available at the TO level. If no pricing table is attached to the TO, no discounts are available then the IDIQ Attachment 4- IDIQ Labor Rate Table applies.

Materials will be estimated for each TO and computed in accordance with the Contractor’s established accounting practices, Profit on materials is not allowable against T&M and/or LH orders. The cumulative extended total of all labor categories ordered plus materials will define the TO ceiling to allow flexibility, which includes increased quantities. Payments under the contract shall be governed by the clause FAR 52.232-7, Payments under Time and Materials and Labor-Hour Contracts.

Subcontractor Rates. All rates shall be proposed and billed at the Prime Contract level.

Materials. Materials are defined in the clause at FAR 52.232-7, Payments Under Time and Materials and Labor Hour Contracts.

Materials means—

• Direct materials, including supplies transferred between divisions, subsidiaries, or affiliates of the Contractor under a common control;

• Subcontracts for supplies and incidental services for which there is not a labor category specified in the contract;

• Other direct costs (e.g., incidental services for which there is not a labor category specified in the contract, travel, computer usage charges, etc.); and,

• Applicable indirect costs.

Indirect costs allocated to any direct materials and other direct costs shall be proposed consistent with the payment requirements of FAR 52.232-7, Payments Under Time and Materials and Labor–Hour Contracts, paragraph (b)(5), as follows:

“The Contractor may include allocable indirect costs and other direct costs to the extent they are—

(i) Comprised only of costs that are clearly excluded from the hourly rate;

(ii) Allocated in accordance with the Contractor's written or established accounting practices; and

(iii) Indirect costs are not applied to subcontracts that are paid at the hourly rates.”

Indirect costs allocated to any direct materials and other direct costs shall be proposed consistent with FAR 52.216-7, Allowable Cost and Payment clause.

The cost of general purpose items required for the conduct of the Contractor’s normal business operations are not allowable materials in the performance of task orders under this contract. See also Section G and Section H for additional limitations on materials and mandatory support documentation.

Travel (all order types). If authorized in the Task Order, travel will be reimbursed at actual direct costs in accordance with the limitations set forth in FAR 31.205-46, Travel Costs. No profit is allowed for travel. Subject to the ceiling rates in the table, indirect costs may be applied to travel in accordance with the Contractor’s established accounting practices consistent with FAR 31.2, Contracts with Commercial Organizations. For reimbursement purposes, travel will be invoiced under a CLIN specified for Other Direct Costs (ODCs).

B.6 Management Reports

B.6.1 Task Order Reporting: The Contractor shall be responsible for reporting progress on each Task Order, including each task and subtask identified in the Task Order’s Statement of Work (SOW) for which it is providing services and or materials. The Contracting Officer (CO) and the Contracting Officer’s Representative (COR) are the SEC employees authorized to request and receive reports from the contractor, and may require a wide variety of daily, weekly, and monthly reports, as needed. Examples include data processing status reports, task reports, progress reports, telework reports, mandatory training completion reports, monthly narratives of accomplishments or lessons learned, task order funding and expenditures, invoices outstanding, balance and burn rate status reports, and Contractor Personnel information, such as tasks assigned, and contractor schedules for on-boarding and off-boarding. Reports required may vary on a Task Order basis to meet the needs of the Commission’s end user. The Contractor shall modify all reports to accommodate the needs of the Commission’s end user, as necessary The Contractor should note that numerous specialized reports may be required, particularly on large and complex projects. The Contractor shall also provide specified ad hoc reports and timely written minutes of ad hoc meetings, as required by the CO or COR. All reports described in this section are considered part of overall Project Management and shall not be billed separately.

Costs for copying reports for distribution are not separately billable. Reports may also be required in electronic form and/or submitted to an SEC database, as specified by the COR. See Section F.6 for deliverable requirements.

B.6.2 Reporting Schedule: All reports must be provided according to the Deliverable Schedule at the Task Order level. Ad hoc reports must be provided in a timely fashion by the deadlines specified by the CO COR as outlined in Section F.6.

B.6.3 Tracking System: The Contractor shall, at a minimum, establish and maintain appropriate tracking systems which shall enable it to prepare and submit the reports required. Creation and maintenance of these tracking systems is not separately billable.

B.6.4 SEC Portal: The SEC may have an Internet portal available for status and financial reports. When this portal becomes available, the Contractor shall use it to submit reports.

(End of Section B)

SECTION C – DESCRIPTION/SPECIFICATIONS/STATEMENT OF WORK

C.1 Background

The U.S. Securities and Exchange Commission’s (SEC) mission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. The SEC strives to promote a market environment that is worthy of the public’s trust. The SEC requires Integrated Professional Acquisition Support Services 2.0 (iPASS 2.0) for its Divisions and Offices, which have unique mission-driven needs defining its specific program requirements. The SEC is organized into 6 divisions and 25 offices at Washington D.C., headquarters. There are 11 regional offices located throughout the country. The 6 divisions consist of:

- Division of Corporation Finance (CF)

- Division of Economic and Risk Analysis (DERA)

- Division of Enforcement (ENF)

- Division of Examinations (DE)

- Division of Investment Management (IM)

- Division of Trading and Markets (TM)

For exhaustive list of the 25 offices and the missions of the divisions and offices, the contractor is encouraged to visit https://www.sec.gov.

C.2 Objectives

The objective of this requirement is to obtain non-personal Integrated Professional Acquisition Support Services 2.0 (iPASS 2.0) to support the mission requirements of the SEC. The SEC is https://www.sec.gov/ comprised of the Home Office (HO), in Washington, DC, and 11 Regional Offices (RO). A list of the SEC offices and their addresses is provided in Section C.3.1.

C.3 Scope

This requirement will be used to provide professional contractor support services to the SEC on a local and nationwide basis, including the U.S. Territories. The contractor shall recruit and retain professional contractor personnel with skills in the following professional disciplines:

Accounting, Administration/ Office Automation, Auditing, Communications and Media, Business and Financial Analytics, Document/Records Management, Forensics, Fraud, Legal, Program/Project Management, and Technical Writing/Editing.

The scope of work can include, but is not limited to, the following categories: specialized professional services in support of program analysis and data governance, administration, communications, litigation, investigations, inspections, examinations, case related administration, and other efforts, auditing and accounting services, forensics, statistical analysis, business and policy management support, and other special projects, as needed.

The SEC reserves the right to add additional specialized support services to meet its changing business needs. The SEC also reserves the right to determine whether to source professional services through other contract vehicles, as this IDIQ is not a requirements contract.

The information below provides a non-exhaustive list of examples of the types of services to be performed under this requirement.

(1) Investigation, litigation, and pre-trial and trial courtroom support including: legal and factual research; data analysis; document review; filings support; trial site support; and, performing quality control.

Example: Support investigation and litigation processes related to violations of securities laws. Conduct complex legal research and prepare motions, briefs, and other legal documents. Draft legal memoranda and correspondence. Take comprehensive notes during witness interviews. Assist in litigation proceedings in various courts or other locations outside of the SEC-assigned office as necessary to meet the legal support mission.

(2) Specialized professional services include auditing and accounting services, statistical analysis and modeling, and other consulting services requiring particular industry or subject matter expertise. The Contractor shall provide any and all combinations and quantities of services as described. For the purpose of illustration only, the following are hypothetical examples of requirements for specialized professional services.

(a) Example 1: Analyze banking data from seized computers, identifying such activities as unauthorized intrusions into individual account records or use of privileged information; review paper records to confirm patterns and activities uncovered by analysis of machine readable records.

(b) Example 2: Assist in reviewing materials related to an investigation of a potential insider trading case with a corporation consisting of 500 – 1,000 people. The potential evidence consists of 2,000 pages of transcripts, two (2) years of telephone records for three (3) holding companies, 100,000 pages of normal business records located in various cities, and 500 packages of physical evidence with corresponding agent logs and index on database and imaging software such as Summation, Concordance, and eDiscovery. Identify materials useful for on-going aspects of the case handled by SEC attorneys, examiners, and investigators.

(c) Example 3: Support examinations, investigations and cases involving nationwide financial institution fraud. Screen and acquire materials from 10 sites, including files on ghosted hard drives. Build image-enabled document database indices to selected subsets of these materials.

(3) Specialized professional services in program analysis and data governance in addition to business and policy management support, as follows:

(a) Engage policy owners’ designated Subject Matter Experts (SMEs) to recommend the revision of existing policy documents and, when indicated, establish new policy documents, within the context of the existing SEC Policy Framework and policy development process.

(b) Assist in the review and analysis of current Federal Statutes, Regulations, Policies, Legislations, OMB and GAO Directives and Mandates to ensure compliance, and provide an assessment on the future impact to local SEC Policies, Guidelines, and Operating Procedures as well as to future SEC Programs, Projects, Services, Services, Initiatives, and other acquisition related matters. The contractor shall provide subject matter expert support to ensure compliance with current federal statutory and regulatory requirements, to include tailoring of these requirements, as permitted. The contractor shall review the references available to customers and provide recommendations to the SEC for consideration of potential policy, guidelines, directives, instructions, regulations, processes and procedures, additions, deletions, changes, revisions and cancellations required in support of the SEC mission.

(c) Assist SMEs in analysis, evaluation, assist in the development, creation, rescission, and whenever possible, consolidation of SEC Policies, Guidelines, and Operating Procedures.

(d) Assist in developing processes, methods, standards and training for executing project management with SEC-determined levels of rigor. The support may be provided in response to Business Management Office (BMO) capability improvement requirement as well as for new BMO establishment. The contractor shall introduce and support the implementation of government and industry best conduct customized training sessions about the processes; and 3) coach SEC project managers in the processes.

(e) Engage stakeholders to elicit and fully document functional requirements that accurately reflect the business driven requirements and business processes verified by business stakeholders. The contractor shall gather and analyze the SEC business and functional needs from the end-user’s perspective, define current (As-Is) and target (To- Be) business processes and prepare gap analysis. Developing suggested improvements to the business processes, to improve productivity and quality of service, and develop use case scenarios that model the desired business workflows using industry standard notations.

(4) Specialized professional services in administration and office automation support as follows:

(a) Perform routine to complexed clerical, reception, administrative, and secretarial functions for Division and Office managers and executives. Accurately develop written and electronic correspondence and communications from the information provided by SEC personnel.

(b) When necessary from information provided by SEC personnel Administrative contractor personnel will access SEC databases to conduct research, route and file correspondence, documents, and tips and complaints, and inquiries by the public.

(c) From information provided by SEC personnel, process and complete time and attendance forms, visitor access requests, desktop publications request, facilities request, and/ or office supplies and maintenance requests.

(d) Assist with receptions desk duties such as but not limited to: answering and routing calls, greeting guests and callers, record accurate messages, and document questions received and forward to the correct SEC point of contact.

(e) From information provided by SEC personnel, arrange video teleconferences and meetings; work with SEC IT to set appropriate technology support required for teleconferences and meetings and capture meeting minutes.

(f) Process, sort, and deliver incoming and outgoing mail. Track and update Division or Office filing systems.

(g) From information provided by SEC personnel review all work prior to publishing on SEC web applications such as but not limited to EnforceNet, SEC.gov website, group or office SharePoint site.

(h) Track and update office level spreadsheets with information and data provided by SEC personnel.

(i) Create PowerPoint and other presentation materials and data from information provided by SEC personnel.

C.3.1 Home Office and Regional Offices

Home Office (HO) 100 F Street, NE Washington, DC 20549

Los Angeles Regional Office (LARO) 444 South Flower Street, Suite 900 Los Angeles, CA 90071

Atlanta Regional Office (ARO) 950 East Paces Ferry, N.E., Suite 900 Atlanta, GA 30326

Miami Regional Office (MIRO) 801 Brickell Ave., Suite 1950 Miami, FL 33131

Boston Regional Office (BRO) 33 Arch Street, 24th Floor Boston, MA 02110

New York Regional Office (NYRO) 200 Vesey Street, Suite 400 New York, NY 10281

Chicago Regional Office (CHRO) 175 W. Jackson Boulevard, Suite 1450 Chicago, IL 60604

Philadelphia Regional Office (PLRO) 1617 JFK Boulevard, Suite 520 Philadelphia, PA 19103

Denver Regional Office (DRO) 1961 Stout Street, Suite 1700 Denver, CO 80294

Salt Lake Regional Office (SLRO) 351 S. West Temple St., Suite 6.100 Salt Lake City, UT 84101

Fort Worth Regional Office (FWRO) Burnett Plaza 801 Cherry Street, Suite 1900, Unit 18 Fort Worth, TX 76102

San Francisco Regional Office (SFRO) 44 Montgomery Street, Suite 2800 San Francisco, CA 94104

(End of Section C)

SECTION D - SHIPPING

D.1 (SEC2001.00) SHIPPING INSTRUCTIONS (JUNE 2020)

Preservation, packaging, packing, and marking of all deliverables must conform to normal commercial packing standards to assure safe delivery at destination. All deliveries are F.O.B.

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

FAR 52.204-4 -- Printed or Copied Double-Sided on Postconsumer Fiber Content Paper. (May 2011)

(End of Section D)

SECTION E - INSPECTION AND ACCEPTANCE

E.1 INSPECTION AND ACCEPTANCE CLAUSES BY REFERENCE:

FAR CLAUSE TITLE

52.246-4 Inspection of Services-Fixed Price (AUG 1996) https://www.sec.gov/page/sec-los-angeles-regional-office https://www.sec.gov/page/sec-atlanta-regional-office https://www.sec.gov/page/sec-miami-regional-office https://www.sec.gov/page/sec-boston-regional-office https://www.sec.gov/page/sec-new-york-regional-office https://www.sec.gov/page/sec-chicago-regional-office https://www.sec.gov/page/sec-philadelphia-regional-office https://www.sec.gov/page/sec-denver-regional-office https://www.sec.gov/page/sec-salt-lake-regional-office https://www.sec.gov/page/sec-fort-worth-regional-office https://www.sec.gov/page/sec-san-francsico-regional-office

52.246-6 Inspection -Time-and-Material and Labor-Hour (MAY 2001)

E.2 INSPECTION AND ACCEPTANCE

E.2.1 Inspection and Acceptance by the Contracting Officer’s Representative (COR)

The Contracting Officer’s Representative (COR) will perform inspection and Acceptance of supplies and/or services to be furnished under this contract or other designated SEC personnel.

They will accomplish technical inspection and acceptance of iPASS 2.0 Contractors Qualification Determination for each proposed contractor personnel to ensure candidates possess requisite experience to perform duties/responsibilities/tasks outlined in the Task Order Statement of Work (SOW). Inspection and acceptance of work products/ deliverables furnished under the TO will be performed at the SEC’s Home or Regional Offices, which will be identified at the TO level.

While final acceptance of all deliverables and/or services may be made in writing, the CO, COR, or designated official shall capture all non-conformance in writing.

E.3 QUALITY CONTROL

E.3.1 Quality Control: The Contractor shall implement a complete quality control program that identifies potential and actual problem areas in providing requirements of the Contract as specified and results in corrective action throughout the life of the Contract. The Quality Control Plan (QCP) shall be provided to the CO and Contract Specialist (CS) within 30 days from Contract award. Changes to the plan shall be submitted to the CO no later than 10 calendar days prior to the effective date of the change. The Contractor is responsible for quality control during the performance of this Contract, which includes all TOs. All methods, procedures, and forms shall support this responsibility. Inspection by the SEC does not relieve the Contractor of this responsibility. Nothing expressed or implied in this Contract shall be interpreted to limit the Contractor’s responsibility to perform requirements to assure that all work meets the Contract requirements. All work performed under this Contract shall be performed in accordance with the standards given in Section C of this Contract. Work failing to meet these standards shall be rejected, and the Contractor shall be required to perform the work again at no additional cost to the SEC. See Section F.3 for deliverable requirements.

E.3.2 Implementation: To ensure all deliverables conform to Contract specifications, the Contractor shall implement quality control procedures for all tasks as delineated in the Task Order. The Contractor shall stress to its Personnel the importance of quality control and quality assurance. The Contractor shall maintain quality control of all work performed, review the condition and appearance of output, check output for accuracy and consistency, ensure completion of all steps, and produce the required number of deliverables as specified in the Task Order, wherever possible.

E.3.3 Importance: The importance of quality work delivered to the SEC cannot be overstated.

The SEC is committed to the production of deliverables that meet the Contract specifications when first presented to the SEC. The SEC will reject work not meeting Contract quality standards and will insist re-work be done at the Contractor's expense.

Example: Many source documents to be processed are obtained by the SEC from other parties or are official SEC records from client agencies. Very frequently the SEC obtains them under an agreement to return them complete, undamaged and in the same condition and sequence in which they were received (e.g., all binding and fasteners restored exactly as they were at the time of receipt.) Accordingly, the Contractor must take extreme care to ensure that, unless otherwise instructed, source documents are returned to their source in sturdy boxes labeled at both ends with the document number range, matter name, box numbers, and date. All documents within the box(es) must be returned in the exact order in which they were received, and must be bound exactly as when received, unless directed otherwise by the SEC.

(End of Section E)

SECTION F - DELIVERIES OR PERFORMANCE

F.1 DELIVERIES OR PERFORMANCE

CLAUSES INCORPORATED BY REFERENCE

FAR CLAUSE TITLE

52.242-15 Stop-Work Order (AUG 1989)

52.242.17 Government Delay of Work (APR 1984)

52.247-35 F.O.B. Destination, Within Consignee’s Premises (APR 1984)

F.2 PLACE OF PERFORMANCE

Place of performance shall be set forth in individual TOs in Table 3.1 or as otherwise indicated in the task order SOW. Telework may be authorized, if and when pre-approved by COR.

F.3 (SEC 4003.01) Schedule of Deliverables (Feb 2012)

Section Deliverable Delivery Timeline/ Schedule

Deliver To

Task Order Kick- Off Meeting

Required within 10 days of award.

Contracting Officer (CO), Contract Specialist (CS), Contracting Officer’s Representative

(COR)

B.6.1 and B.6.2 Task Order Reports/ Ad Hoc Reports/ Contractor Personnel Telework Report

Within 5 business days of request or as requested.

Requestor (CO, CS, and/or

COR)

E.3 Quality Control Quality Control Plan (QCP) due within 30 days of IDIQ Award

CO and CS

G.5.1 Summary Report:

Single and/or Long-Term Projects

As requested COR or CO, as required

H.2 Contractor Entity Non-Disclosure Agreement (NDA)

At IDIQ Award CO and CS

H.2 Contractor Personnel (CP) NDAs

New Task Order awards include with Personnel Security Package.

No later than 5 business days prior to reassignment from another Task Order.

COR

H.8 Contractor Employee Conflict of Interest.

When immediately identified.

CO, CS, and/or

COR

H.26.1(3) New Personnel Identification

Within 30 days of new Task Order award or notification of a newly identified need under an existing Task Order.

* Under extenuating circumstances, the contractor may request an additional 15 days to identify personnel; the Government must approve this request.

COR

H.26.1(4) Replacement Personnel Identification

Within 30 business days of notification of departing personnel.

COR

H.2 and H.30.4 Personnel Security Packages (including Contractor Personnel NDAs)

No later than 3 business days after personnel are identified.

COR

H.26.1(8) Reports Relating to Government Furnished Property

During Task Order performance.

CO, CS, COR

H.26.2 Notice of Contractor Initiated Personnel Reassignment

Within 30 calendar days prior to reassignment.

COR

H.27 Written Appointment of Contractor Program Management and Alternate Contractor Program Management.

Within 5 business days of IDIQ/Task Order award

No later than 5 business days prior to changes to the Program Manager/Alternate Program Manager.

CO, COR

H.28.8 SEC Form 2888.- Records and Information Clearance Form

No later than close-of-business 5 business days prior to Contractor Personnel’s last day or on the date of notification of Contractor Personnel’s last day if less than 5 business days.

COR.

H.29, H.29.1, H.29

Contractor Training Requirements (SEC Mandatory Training, Contractor Provided Training and/ or Contract Related Training

Prior to required completion date as listed in the SEC LEAP (learn, engage, achieve, perform) program or within 5 days of training completion

SEC LEAP /

COR (all contractor provided training or contract related training)

H.30.6 SEC Badge and Equipment Return

No later than 48 hours after the Contractor Personnel’s off-boarding.

Contractor’s

PM

H.30.7 Reports Relating to Personnel Security.

When on-boarding contractor personnel or 30 days after TO award

COR

I Compliance with

FAR 52.219-14

Limitations on Subcontracting

By Aug 12th of each year, the Contractor shall comply with the limitations on subcontracting.

CO

Except for contract-level deliverables, all applicable TO deliverables, required delivery dates, destination of delivery, and schedule for completion of work to be performed will be specified in each TO issued under this contract, as applicable.

In the event the Contractor anticipates difficulty in complying with any contract-level or TO-level deliverable, the Contractor shall immediately provide written notice to the awarding CO, CS, and the COR. The notification shall give pertinent details, including the date by which the Contractor expects to make delivery; provided, that this data shall be informational only in character and that receipt thereof shall not be construed as a waiver by the Government of any contract delivery schedule, or any rights or remedies provided by law or under this contract.

F.4 CONTRACTOR DUTY HOURS

Contractor personnel working hours shall coincide with the SEC ordering Division or Offices business needs and CP shall be available from the SEC core business hours of 10:00 am to 3:00 pm, unless otherwise approved by the CO and/or the COR. Extended hours must be preapproved by the CO or COR. The Task Order may incorporate Division and/or Office Hours of Operation required to support the needs of said division or office.

F.5 CONTRACTOR DUTY LOCATION

The Contractor duty location may be at a SEC facility, and may be other locations, such as when supporting a work assignment (e.g., performance within court, in support of an SEC Conference, etc.), at the Contractor’s facility or at authorized Contractor Personnel telework locations. These support services will be performed at locations defined in the Task Order.

F.6 TRAVEL

Performance may require periods of travel, which requires prior CO and/or COR approval.

F.7 RECOGNIZED HOLIDAYS

The Federal Government observes the holidays listed below. On some occasions the SEC may require Contractor support on these holidays, such as when the holiday is before a trial or hearing. However, proper Contractor PM and COR coordination is required. This work will be billed according to the billable task order rates. It is important to note that the President of the United States (POTUS) may, at any time, declare federal holidays outside of those listed below, by way of executive order.

New Year’s Day Martin Luther King’s Birthday Washington’s Birthday Memorial Day Independence Day Labor Day Columbus Day

Veteran’s Day Thanksgiving Day Christmas Day Inauguration Day (Washington, DC only)

(End of Section F)

SECTION G - CONTRACT ADMINISTRATIVE DATA

G.1 CONTRACT ADMINISTRATION

This contract will be administered by the SEC’s Office of Acquisitions (OA). Administrators of this contract are as follows:

U.S. Securities and Exchange Commission Office of Acquisitions Attn: D’Jaris Gladden, Contracting Officer 100 F Street, NE Washington, DC 20549 Email: GladdenD@sec.gov

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

G.2 (SEC 5003.05) SUBMISSION OF INVOICES - DELPHI EINVOICING SYSTEM

(FEBRUARY 2021)

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/.

mailto:GladdenD@sec.gov mailto:BanfieldS@sec.gov 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/

(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 set up a new user account or make changes to existing vendor Delphi eInvoice users who will submit invoices through the eInvoicing web-portal for payment and tracking purposes, notify iSupplier@sec.gov and include the contract/order number, the user's full name, valid email address (group mailboxes are not recommended), and current phone number of all 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.

mailto:iSupplier@sec.gov http://einvoice.esc.gov/ http://einvoice.esc.gov/

G.3 TASK ORDER (TO) PLACEMENT PROCEDURES

The Contractor’s services shall be obtained on an as-needed basis through the issuance of TOs.

The Contractor shall perform the required effort for these services throughout the period of performance of the contract. TOs will identify the services required, provide specific technical details (including the schedule for all deliverables and the identification of any applicable Government-Furnished Property (GFP), Government-Furnished Information (GFI) and/or Government furnished workspaces. Each Task Order request will be provided to the Contractor with all the information indicated below:

a. SEC Division or Office requiring services;

b. Statement of Work (SOW), Statement of Objectives (SOO), or Performance Work Statement (PWS), tailored to meet the SEC’s Divisions and Offices’ mission;

c. Contract type;

d. Requesting Contracting Officer and Contract Specialist;

e. Performance Period

G.4 UNAUTHORIZEDWORK

The Contractor is not authorized at any time to commence performance prior to issuance of a signed TO issued by the CO. Additionally, the Contractor and/or its personnel shall not render goods or services that are outside the scope of work identified in this Contract, or does so at its own risk.

G.5 TASK ORDERS

G.5.1 Contractor’s Annual Summary Reports: At the completion of a project, a Task Order, or a series of Task Orders for a single project, as requested by the COR. The Contractor will submit a summary report containing a history of the project(s), important statistics for each project, operational lessons learned from the project(s), and recommendations for improving its own contribution to future projects. For long-term projects of exceptional significance, a more detailed project evaluation report will be provided when requested by the COR. See Section F.6 for deliverable requirements.

G.5.2 Task Order Management: Task orders (TO) will be developed to meet the Divisions/ Offices business needs. Each task order will be supported by a standalone Statement of Work (SOW), Statement of Objectives (SOO) or a Performance Work Statement (PWS). The Government may require a written and/or oral technical response.

G.5.2.1 Each Task Order will have a designated Contracting Officer, Contract Specialists and Contracting Officers Representative(s)(CORs) and may have a designated as appropriate Business Lead/ Program Manager. These individuals will be responsible for management and administration as well as performance monitoring.

G.5.2.2 Once assigned the SEC may provide Contractor Personnel additional information relating to the tasks, such as changes in priorities and schedules or similar daily activities and tasks that are a sub-set of the tasks assigned that do not change the Task Order requirements or assignments the Contractor has given to Contractor Personnel.

G.6 CONTRACTOR RESOURCES

The Contractor shall be responsible for providing contract and corporate-level resources for performing all work ordered under this Contract, including management of those resources. High quality management of the Contract is of paramount importance to the SEC, and is essential to the Contractor's ability to perform under the Contract.. The contract management structure should be flexible so as to accommodate varying levels of activity and volumes of work. At a minimum, the Contractor's management structure shall include Program Management for the IDIQ and Task Order level (if applicable) that is available during SEC business hours for all SEC offices nationwide. The Contractor’s Program Management point of contact shall be identified to the Contracting Officer and Contract Specialist for the IDIQ and to the Primary/ Alternate COR for the Task Orders. See also Section H.29.

G.6.1 Other Contractors

Coordination required between Contractors performing services against other contracts will be facilitated by the CO or COR. The Contractor shall fully cooperate with the other Contractors and designated SEC representatives and shall adapt performance as required.

G.7 GOVERNMENT-CONTRACTOR RELATIONSHIP

G.7.1 Contractor Personnel Shall Not Exercise Personal Judgment and Discretion on Behalf of the SEC

The services to be performed under this Contract do not require the Contractor or Contractor Personnel to exercise personal judgment and discretion on behalf of the SEC. Rules, regulations, directions, and requirements which are issued by SEC authorities under their responsibility for good order, administration, and security are applicable to all personnel who enter the federal facility, in a telework posture, or who travel on Government transportation.