50310221R0008 iPASS 2.0 Task Order SOW..pdf

50310221R0008 (Task Order)

TASK ORDER STATEMENT OF WORK

iPASS 2.0 Division of Enforcement (ENF)

SECTION I

B. TASK ORDER PRICING SCHEDULE

To be completed at the time of award.

C. 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’s Division of Enforcement utilize a variety of data that contain current, historical and futures information about sensitive public company data, mutual fund data, trade and quote data, to name a few examples.

The Division of Enforcement conducts investigations into possible violations of the federal securities laws, and prosecutes the Commission's civil suits in the federal courts as well as its administrative proceedings.

C.2 Objectives

The objective of this requirement is to obtain SEC-wide, non-personal professional legal support services and products to support the mission requirements of the SEC. The primary users of these services are expected to be the Division of Enforcement (Headquarters and Regional Offices identified in Table 3.1 below.

C.3 Scope

The Contractor shall provide the Division of Enforcement (ENF) with non-personal professional contractor support. The Contractor shall provide all management and qualified professional personnel with the labor mix and quantities and at locations indicated in Table 3.1, as follows:

Table 3.1

Minimum Qualifications are located in the iPASS 2.0 IDIQ Attachment 3 – iPASS 2.0 Labor Category Descriptions. In addition to minimal qualifications identified in the IDIQ, Attachment

3.2 Tasks/Duties by Labor Category (ENF) provides additional important information related to tasks and job descriptions. The Contractor shall ensure that candidates are able to perform successfully based on the information provided.

D. DELIVERABLES

Specific service deliverables will be provided to the SEC COR(s) and identified points of contact the contractor personnel are supporting.

E. PERIOD OF PERFORMANCE

The period of performance will consist of one 12-month Base Period and nine 12-month Option Periods, as shown below:

Labor Category Skill Level HQ ARO BRO CHRO DRO FWRO LARO MIRO NYRO PLRO SFRO SLRO Total by Skill Level

Total by Labor Category

Junior Journeyman

Senior Subject Matter Expert

Journeyman Senior Junior

Journeyman Senior Junior

Journeyman Senior Junior 1 1

Journeyman Junior

Journeyman Senior

Subject Matter Expert Journeyman

Senior Subject Matter Expert

Journeyman 8 8 Senior 1 1

Subject Matter Expert Journeyman

Senior Junior 2 1 1 4

Journeyman 1 1 1 3 Senior 1 1

Program Manager Senior Journeyman

Senior Journeyman

Senior

TOTALS 11 2 1 1 1 1 1 18 18

Document /Records Manager

Financial Analyst

Forensic Tecnician

Technical Writer/Editor

Project Manager

Paralegal

Law Clerk

Accountant/ Account Technician

Fraud Analyst

Auditor

Business Analyst

Communications and Media

CLIN Description Performance Dates 00001 Base Period 08/26/2021 – 08/25/2022 00002 Option Period 1 08/26/2022 – 08/25/2023 00003 Option Period 2 08/26/2023 – 08/25/2024 00004 Option Period 3 08/26/2024 – 08/25/2025 00005 Option Period 4 08/26/2025 – 08/25/2026 00006 Option Period 5 08/26/2026 – 08/25/2027 00007 Option Period 6 08/26/2027 – 08/25/2028 00008 Option Period 7 08/26/2028 – 08/25/2029 00009 Option Period 8 08/26/2029 – 08/25/2030 00010 Option Period 9 08/26/2030 – 08/25/2031

F. PLACE OF PERFORMANCE

See Section C.3 and Table 3.1.

F.2 CONTRACTOR DUTY HOURS

Contractor working hours shall coincide with the SEC official business hours, unless otherwise approved by the CO and/or the COR. However, the Division of Enforcement (ENF) has specifically established the anticipated work hours below.

Note: Extended hours must be preapproved by the CO or COR(s).

Location Official Hours of Operation SEC Headquarters, Washington, DC (HO) Atlanta Regional Office (ARO) Boston Regional Office (BRO) Miami Regional Office (MIRO) New York Regional Office (NYRO) Philadelphia Regional Office (PLRO) 9:00 a.m. - 5:30 p.m. (EST)

Chicago Regional Office (CHRO) 8:45 a.m. - 5:15 p.m. (CST) Fort Worth Regional Office (FWRO) 8:30 a.m. - 5:00 p.m. (CST) Denver Regional Office (DRO) 8:00 a.m. - 4:30 p.m. (MST)

G. TYPE OF ORDER

This is a Firm-Fixed-Price (FFP) order.

H. TRAVEL

Local travel is not reimbursable. However, in the event travel is required, all travel shall be in accordance with Federal Travel Regulations (FTR) and approved in advance by the COR.

Additionally, costs for transportation, lodging, meals, and incidental expenses must be coordinated and approved in advance by the COR. Submit cost breakdown electronically to the COR. (1) Costs incurred by contractor personnel on official company business are allowable, subject to the limitation contained in FAR Part 31.205-46. Government per diem rates can be found on the website at www.gsa.gov. The ability to perform unscheduled travel is contingent upon Government approval and will only be used to address travel needs as they occur.

I. GOVERNMENT FURNISHED INFORMATION/PROPERTY

The government will provide office space, and/or access to necessary telecommunications and computer equipment for the support services work that is to be performed on-site. The Contractor will not have a due diligence event to evaluate the government furnished property or information prior to award. The government will make meeting rooms available when required.

The Contractor is responsible for adequate care and safekeeping of all Government Furnished Property, including inventorying, tracking and reporting, etc. The Contractor shall reimburse the SEC for any Government Furnished Property, Equipment, or Materials lost or stolen while in the Contractor's safekeeping. The Contractor shall use the SEC’s Property Management regulation to obtain approval to remove SEC property from SEC facilities, and to track SEC property until it is returned to SEC custody.

J. DRESS CODE

Business attire is required when contractor personnel are on-site.

SECTION II – CONTRACT ADMINISTRATION

1. CONTRACT ADMINISTRATION

This contract will be administered by the Office of Acquisitions (OA) of the Securities and Exchange Commission (SEC). All inquiries should be directed to the Contracting Officer (CO) or Contract Specialist (CS), as follows:

U.S. Securities and Exchange Commission Office of Acquisitions Attn: D’Jaris Gladden, CO Address: 100 F Street NE http://www.gsa.gov/

Phone: (202) 551-8908 Email: GladdenD@sec.gov

U.S. Securities and Exchange Commission Office of Acquisitions Attn: Selina Banfield, CS Address: 100 F Street NE Phone: (202) 551-3734 Email: BanfieldS@sec.gov

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

(COR) (APRIL 2021)

a. A Securities and Exchange Commission COR has been designated for administration and information relating to this contract. The SEC may also assign one or more Alternate CORs for this contract. The COR may not re-delegate his or her authority; only the CO has this authority.

A COR Appointment Letter (and ACOR Appointment Letter if applicable) detailing the designations will be e-mailed to the contractor.

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.

3. INSPECTION AND ACCEPTANCE

Inspection and Acceptance

The CORs or designated SEC points of contact (POCs) such as but not limited to attorneys, regional office program specialists, etc. will accomplish inspection and acceptance of the supplies and/or services to be furnished under this contract and inspection and acceptance of the final delivery. Inspection and acceptance will be performed at the Securities and Exchange Commission, Headquarters, 100 F Street NE, Washington DC 20549.

4. (SEC 5003.05) SUBMISSION OF INVOICES - DELPHI EINVOICING SYSTEM (FEBRUARY

2021) mailto:GladdenD@sec.gov mailto:BanfieldS@sec.gov

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 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.

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

5. Telework and Alternate Work Schedules are authorized, as pre-approved by the COR.

SECTION III – TASK ORDER CLAUSES

The task order is subject to the IDIQ Contract Number– TBD contract clauses, as applicable.

SECTION IV – ATTACHMENTS

Attachment 2: Non-Disclosure Agreement (Contractor Personnel) Attachment 3-2: Tasks/Duties by Labor Category for ENF

Attachment 3.2 Tasks/Duties by Labor Category Division of Enforcement

(Supplements Attachment 3)

LABOR CATEGORY REQUESTED

Accountant / Accounting Technician

Reviews, analyzes, and interprets financial statements and related accounting data, including general ledger/journal entries; summarizes large quantity of data into concise statements, and working with large Excel documents with pivot tables. Work may be performed under guidance of a contractor Auditor or Financial Analyst. Is expected to work independently on tasks without the need for continuous input from SEC staff. Must have knowledge of manual and automated accounting systems used by banking, financial and other institutions.

Auditor

Plans, implements, and provides project oversight as needed, on small, moderately sized, or complex auditing assignments, which may include but are not limited to litigation, investigations, internal systems, processes, etc.

Performs analysis of data and documentation in order to arrive at results in accordance with the stated objectives of the auditing assignments. Prepares interim and final oral and written reports to designated SEC representatives on status and results of audit assignments. Makes oral and written recommendations based on audit results. May support audit teams conducting large and complex audit assignments.

Business Analyst

Demonstrates expertise in a variety of business disciplines, such as but not limited to Acquisitions/Procurement, human resources, finance, logistics, enterprise resource planning, electronic commerce, electronic data interchange, security and requirements determination. Applies functional experience to business or technology problems. Business Analyst Senior and SME’s are qualified to lead a staff of analysts and/ or engineers, if required.

Documents / Record Manager

Document Manager: Demonstrates legal records document management experience in filing, organizing, retrieving, assembling, and copying legal and other records to include but not limited to creating binders (i.e. Witness binders);

may prepare deposition and trial exhibits; enters data on-line to case files and/or other SEC databases; proofreads, edits, corrects text files created using Optical Character Recognition (OCR) programs such as Adobe Acrobat; retrieves documents from microfilm and digital image media; tabs, numbers, labels, assembles documents; fills out log sheets and reports on task progress; and may perform quality control on the work of peers in all of these areas. Prepares documents for image scanning; performs other document collection related activities, including document screening, and labeling of files to be scanned. Performs simple and/or complex database searches.

Records Manager: Retains, disperses, and disposes of documents related to any records handled by the agency to include by not limited to; litigation and case records in compliance with Federal Government retention and disposition standards. Prepares reports of activities. May query SEC staff and contractor personnel supporting SEC employees to gather data relating to the records. May provide proposals for resolving unusually difficult records management problems. May initiate and coordinate with appropriate contacts in resolving complex records management issues.

(Supplements Attachment 3)

Financial Analyst

Performs analyses of financial statements, cost data, operating and project reports. Demonstrates experience working with large Excel files with pivot tables as required for arranging data and performing in-depth analysis.

Performs complex calculations, and presents findings as required for each project, etc. Makes initial assessments and recommendations as to areas requiring further review by Auditors. Reviews and analyzes the records of financial institutions, such as savings and loan associations, including operating and investment records, and inspection of properties, to make initial identification of areas requiring further analysis.

Forensic Technician

Responsible for acquiring, preserving, analyzing and producing digital evidence. Duties include securing digital evidence; providing expert guidance on the extraction, transfer, and storage of electronic data so as to preserve the integrity of the evidence; documenting the chain of custody; and preparing reports and other written material for forensic experts and attorneys concerning the production, analyses, and preservation of electronic evidence. Must be able to communicate clearly with both technical and non-technical parties and be able to communicate technical details to non-technical parties in a clear and concise manner. Work performed must conform to SEC forensic protocols.

Fraud Analyst

Obtains documents and other information related to investigations and cases. Performs research to locate potential witnesses. Conducts in-house, telephone and database research; manages case files. Prepares interim reports and final report drafts and recommendations. Demonstrates experience working with large Excel files with pivot tables and analyzes big data for trends, patterns, and associations and prepares summarized or detailed finding for further review as required. Must have working knowledge of various public repositories of information. Familiarity with investigative tools, public and private records databases, and fraud analysis relational databases (e.g., SQL, Oracle), helpful.

(Supplements Attachment 3)

Law Clerk

Performs complex legal research for the trial staff. Assists in preparation or prepares draft legal documents, such as motions, briefs, memoranda of law, etc. reviewing documents for relevance and privilege; and assisting attorneys with all phases of litigation. Role also requires knowledge of e-discovery procedures and resources. Must require sound working knowledge of federal and state court systems, legal research procedures, and legal research resources.

*Documented trial experience required for all Senior Law Clerks.

Paralegal

Performs the following simple or complex tasks while complying with established occupational procedures: compiles, prepares, and summarizes relevant materials for use by attorneys in discovery and in preparation of motions, briefs and other legal documents; summarizes depositions and other transcripts; maintains case files; performs simple or complex legal research; indexes, tracks and controls document discovery (including documents produced and received in discovery); indexes, tracks, and controls exhibits and other materials at depositions and at trial. May synopsize transcripts of hearings and oral arguments for attorney use; reviews case related materials and, for example, identifies potentially conflicting statements or areas requiring further investigation; writes preliminary drafts of legal memoranda and correspondence. Prepares exhibit cross-references. Reviews documents for relevance and privilege according to established guidelines and criteria. Other examples of the types of work to be performed include compilation of documents for FOIA, production requests, Congressional inquiries, etc. May have a role involving special knowledge and skills, such as litigation, document analysis or accounting. Litigation specialty supports attorneys during trial, including courtroom locations and may include experience in witness interviews.

* Litigation (Trial) specialty required for all paralegals assigned to an SEC region.

* Litigation (Trial) specialty required for all paralegals assigned to HO unless determined otherwise at the time of a documented need, such as when backfilling a position requiring a different paralegal specialty or general paralegal skills as assessed.

(Supplements Attachment 3)

Program / Project Manager

Project Manager: Oversees purpose and status of the projects in a program and use this oversight to support task order activities to ensure the program goals are met by providing a decision-making capacity. Manage the daily activities of assigned contractor personnel. Responsible for the coordination of on and off boarding contractor personnel. Track contractor personnel performance to include but not limited to workload management and training.

Attend meetings at the request of the Contracting Officer’s Representative (COR) to communicate program and task order objectives to identify task order issues and impacts.

Technical Writer / Editor

Demonstrates experience in drafting and editing documents, including technical documents. Demonstrated ability to work independently or under only general direction. Provides technical writing support to assist in the efficient operations to revise, create, and maintain standardized material for reports, manuals, briefs, presentations, proposals, orders, and related technical and administrative publications. Must analyze requirements of programs to determine the type of publications needed. Must also assist in organizing material and complete writing assignments according to standards regarding order, clarity, conciseness, style and terminology. Maintain records of files of work and revisions. Edit, standardize, or make changes to material prepared by other writers. Establish technical specifications and determine subject material to be developed for publication. Analyze developments in specific field to determine the need for revisions in previously published materials and development of new material. Selects photographs, drawings, sketches, diagrams and charts to illustrate material. Must keep abreast of current organization changes.

Draft prepares Congressional correspondences. Observe production, development, and experimental activities to determine operating procedures and detail. Arrange duplications for distribution. Write, edit, produce and maintain on-line documentation. Provide quality assurance efforts, assemble documentation for audits and ensures that documents are compliant with Federal Regulations.

Attachment 3.2 Tasks Duties by Labor Categories for ENF