50310221R0014 OIAD POSITIER RFP.pdf

SEE ADDENDUMIS CHECKED

CODE 18a. PAYMENT WILL BE MADE BY

CODE

FACILITYCODE

17b. CHECK IF REMITTANCE IS DIFFERENT AND PUT SUCH ADDRESS IN OFFER

OFFEROR

SEC-OA - 03

WASHINGTON DC 20549

100 F STREET NE

MISSION AND OPERATIONS SUPPORT BRANCH

OFFICE OF ACQUISITIONS

SECURITIES AND EXCHANGE COMMISSION

CODE 16. ADMINISTERED BYCODE

X

X

541720

SIZE STANDARD:

% FOR:SET ASIDE:UNRESTRICTED ORSEC-OA - 03

RFPIFB

10. THIS ACQUISITION ISCODE

RFQ

14. METHOD OF SOLICITATION

13b. RATING

NAICS:

SMALL BUSINESS

08/11/2021 1300 ES

06/30/2021

202-551-8295CONSUELA GINN

(No collect calls)

INFORMATION CALL:

FOR SOLICITATION 8. OFFER DUE DATE/LOCAL TIMEb. TELEPHONE NUMBERa. NAME

4. ORDER NUMBER3. AWARD/ 6. SOLICITATION

50310221R0014

5. SOLICITATION NUMBER

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

1 111 OFFEROR TO COMPLETE BLOCKS 12, 17, 23, 24, & 30

MAIL STOP 4226

TELEPHONE NO.

17a. CONTRACTOR/

15. DELIVER TO

WASHINGTON DC 20549

MAIL STOP 4226

100 F STREET NE

MISSION AND OPERATIONS SUPPORT BRANCH

OFFICE OF ACQUISITIONS

9. ISSUED BY

7.

2. CONTRACT NO.

EFFECTIVE DATE

$22.00

18b. SUBMIT INVOICES TO ADDRESS SHOWN IN BLOCK 18a UNLESS BLOCK BELOW

ISSUE DATE

DELIVERY FOR FOB DESTINA-

TION UNLESS BLOCK IS

MARKED

11.

SEE SCHEDULEX

12. DISCOUNT TERMS

THIS CONTRACT IS A

RATED ORDER UNDER

DPAS (15 CFR 700)

13a.

SERVICE-DISABLED

VETERAN-OWNED

SMALL BUSINESS

HUBZONE SMALL

BUSINESS

8(A)

SECURITIES AND EXCHANGE COMMISSION

WOMEN-OWNED SMALL BUSINESS

(WOSB) ELIGIBLE UNDER THE WOMEN-OWNED

SMALL BUSINESS PROGRAM

EDWOSB

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AMOUNT

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UNIT PRICE

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UNIT

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SCHEDULE OF SUPPLIES/SERVICES

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ITEM NO.

00001 Base Period: The Contractor shall provide the necessary personnel and resources to provide services in accordance with Section C -

DESCRIPTIONS/SPECIFICATIONS/STATEMENT OF WORK

Other Direct Costs (ODCs) including travel: Not to Exceed - $190,000.00

The total labor and ODCs may vary; however, the sum of both shall not exceed the total obligated

(Use Reverse and/or Attach Additional Sheets as Necessary)

HEREIN, IS ACCEPTED AS TO ITEMS:

X

XX

DATED

JULIA MARIA GALLMON

. YOUR OFFER ON SOLICITATION (BLOCK 5),

INCLUDING ANY ADDITIONS OR CHANGES WHICH ARE SET FORTH

COPIES TO ISSUING OFFICE. CONTRACTOR AGREES TO FURNISH AND DELIVER

ARE

ARE

31c. DATE SIGNED

27b. CONTRACT/PURCHASE ORDER INCORPORATES BY REFERENCE FAR 52.212-4. FAR 52.212-5 IS ATTACHED. ADDENDA

31a. UNITED STATES OF AMERICA (SIGNATURE OF CONTRACTING OFFICER)

30c. DATE SIGNED 31b. NAME OF CONTRACTING OFFICER (Type or print)

ALL ITEMS SET FORTH OR OTHERWISE IDENTIFIED ABOVE AND ON ANY ADDITIONAL

SHEETS SUBJECT TO THE TERMS AND CONDITIONS SPECIFIED.

27a. SOLICITATION INCORPORATES BY REFERENCE FAR 52.212-1, 52.212-4. FAR 52.212-3 AND 52.212-5 ARE ATTACHED. ADDENDA

26. TOTAL AWARD AMOUNT (For Govt. Use Only)

OFFER

STANDARD FORM 1449 (REV. 2/2012)

Prescribed by GSA - FAR (48 CFR) 53.212

ARE NOT ATTACHED.

ARE NOT ATTACHED.

AUTHORIZED FOR LOCAL REPRODUCTION

PREVIOUS EDITION IS NOT USABLE

30b. NAME AND TITLE OF SIGNER (Type or print)

30a. SIGNATURE OF OFFEROR/CONTRACTOR

28. CONTRACTOR IS REQUIRED TO SIGN THIS DOCUMENT AND RETURN

25. ACCOUNTING AND APPROPRIATION DATA

29. AWARD OF CONTRACT:

REF.

32e. MAILING ADDRESS OF AUTHORIZED GOVERNMENT REPRESENTATIVE

32c. DATE 32b. SIGNATURE OF AUTHORIZED GOVERNMENT REPRESENTATIVE

ACCEPTED, AND CONFORMS TO THE CONTRACT, EXCEPT AS NOTED:

32a. QUANTITY IN COLUMN 21 HAS BEEN

RECEIVED INSPECTED

40. PAID BY39. S/R VOUCHER NUMBER38. S/R ACCOUNT NUMBER

37. CHECK NUMBER

FINALPARTIAL

36. PAYMENT

FINALPARTIAL

35. AMOUNT VERIFIED

CORRECT FOR

34. VOUCHER NUMBER33. SHIP NUMBER

COMPLETE

32g. E-MAIL OF AUTHORIZED GOVERNMENT REPRESENTATIVE

42d. TOTAL CONTAINERS42c. DATE REC'D (YY/MM/DD)

42b. RECEIVED AT (Location)

42a. RECEIVED BY (Print)

41c. DATE41b. SIGNATURE AND TITLE OF CERTIFYING OFFICER

41a. I CERTIFY THIS ACCOUNT IS CORRECT AND PROPER FOR PAYMENT

STANDARD FORM 1449 (REV. 2/2012) BACK

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ITEM NO.

amount against CLIN 00001 unless the contractor exceeds this amount at its own risk.

00002 Option Period 1: The Contractor shall provide the necessary personnel and resources to provide services in accordance with Section C -

DESCRIPTIONS/SPECIFICATIONS/STATEMENT OF WORK

Other Direct Costs (ODCs) including travel: Not to Exceed - $190,000.00

The total labor and ODCs may vary; however, the sum of both shall not exceed the total obligated amount against CLINs 00001 and 00002 unless the contractor exceeds this amount at its own risk.

(Option Line Item)

00003 Option Period 2: The Contractor shall provide the necessary personnel and resources to provide services in accordance with Section C -

DESCRIPTIONS/SPECIFICATIONS/STATEMENT OF WORK

Other Direct Costs (ODCs) including travel: Not to Exceed - $190,000.00

The total labor and ODCs may vary; however, the sum of both shall not exceed the total obligated

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32f. TELEPHONE NUMBER OF AUTHORIZED GOVERNMENT REPRESENTATIVE

32d. PRINTED NAME AND TITLE OF AUTHORIZED GOVERNMENT REPRESENTATIVE

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ITEM NO. SUPPLIES/SERVICES QUANTITY UNIT UNIT PRICE AMOUNT

NAME OF OFFEROR OR CONTRACTOR

3 146

CONTINUATION SHEET

REFERENCE NO. OF DOCUMENT BEING CONTINUED PAGE OF

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

50310221R0014 amount against CLINs 00001 through 00003 unless the contractor exceeds this amount at its own risk.

(Option Line Item)

00004 Option Period 3: The Contractor shall provide the necessary personnel and resources to provide services in accordance with Section C -

DESCRIPTIONS/SPECIFICATIONS/STATEMENT OF WORK

Other Direct Costs (ODCs) including travel: Not to Exceed - $190,000.00

The total labor and ODCs may vary; however, the sum of both shall not exceed the total obligated amount against CLINs 00001 through 00004 unless the contractor exceeds this amount at its own risk.

(Option Line Item)

00005 Option Period 4: The Contractor shall provide the necessary personnel and resources to provide services in accordance with Section C -

DESCRIPTIONS/SPECIFICATIONS/STATEMENT OF WORK

Other Direct Costs (ODCs) including travel: Not to Exceed - $190,000.00

The total labor and ODCs may vary; however, the sum of both shall not exceed the total obligated amount against CLINs 00001 through 00005 unless the contractor exceeds this amount at its own risk.

(Option Line Item)

00006 Option Period 5: The Contractor shall provide the necessary personnel and resources to provide services in accordance with Section C -

DESCRIPTIONS/SPECIFICATIONS/STATEMENT OF WORK

Other Direct Costs (ODCs) including travel: Not to Exceed - $190,000.00

The total labor and ODCs may vary; however, the

Continued ...

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

Sponsored by GSA

FAR (48 CFR) 53.110

4 146

CONTINUATION SHEET

REFERENCE NO. OF DOCUMENT BEING CONTINUED PAGE OF

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

50310221R0014 sum of both shall not exceed the total obligated amount against CLINs 00001 through 00006 unless the contractor exceeds this amount at its own risk.

(Option Line Item)

00007 Option Period 6: The Contractor shall provide the necessary personnel and resources to provide services in accordance with Section C -

DESCRIPTIONS/SPECIFICATIONS/STATEMENT OF WORK

Other Direct Costs (ODCs) including travel: Not to Exceed - $190,000.00

The total labor and ODCs may vary; however, the sum of both shall not exceed the total obligated amount against CLINs 00001 through 00007 unless the contractor exceeds this amount at its own risk.

(Option Line Item)

00008 Option Period 7: The Contractor shall provide the necessary personnel and resources to provide services in accordance with Section C -

DESCRIPTIONS/SPECIFICATIONS/STATEMENT OF WORK

Other Direct Costs (ODCs) including travel: Not to Exceed - $190,000.00

The total labor and ODCs may vary; however, the sum of both shall not exceed the total obligated amount against CLINs 00001 through 00008 unless the contractor exceeds this amount at its own risk.

(Option Line Item)

00009 Option Period 8: The Contractor shall provide the necessary personnel and resources to provide services in accordance with Section C -

DESCRIPTIONS/SPECIFICATIONS/STATEMENT OF WORK

Other Direct Costs (ODCs) including travel: Not to Exceed - $190,000.00

Continued ...

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

5 146

CONTINUATION SHEET

REFERENCE NO. OF DOCUMENT BEING CONTINUED PAGE OF

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

50310221R0014

The total labor and ODCs may vary; however, the sum of both shall not exceed the total obligated amount against CLINs 00001 through 00009 unless the contractor exceeds this amount at its own risk.

(Option Line Item)

00010 Option Period 9: The Contractor shall provide the necessary personnel and resources to provide services in accordance with Section C -

DESCRIPTIONS/SPECIFICATIONS/STATEMENT OF WORK

Other Direct Costs (ODCs) including travel: Not to Exceed - $190,000.00

The total labor and ODCs may vary; however, the sum of both shall not exceed the total obligated amount against CLINs 00001 through 00010 unless the contractor exceeds this amount at its own risk.

(Option Line Item)

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

RFP 50310221R0014

Solicitation: Request for Proposal (RFP 50310221R0014)

General Information for Offerors:

This solicitation is a request for proposals. The solicitation document and incorporated provisions and clauses are those in effect through Federal Acquisition Circular (FAC) 2021-04, published in the Federal Register on January 19, 2021. This is a solicitation for commercial items prepared in accordance with the format in Federal Acquisition Regulation (FAR) subpart 12, “Acquisition of Commercial Items,” and FAR Part 15, “Contracting by Negotiation” as supplemented with additional information included in this notice.

This acquisition is being awarded under the associated North American Industrial Classification System (NAICS) code 541720 – Research and Development in the Social Sciences and Humanities, with a small business size standard of $22,000,000.00.

The U.S. Securities and Exchange Commission (SEC), Office of Acquisitions, 100 F Street NE, Washington, DC 20549-2000 is seeking to procure non-personal, commercial Quantitative Data Collection, Qualitative Research, Research-Related Technical Support, Program Management Support and Related Services in support of the U.S. Securities and Exchange Commission (SEC). The Office of the Investor Advocate (OIAD) is the business owner for this award and will be the primary user of the IDIQ; however, other offices within the SEC may use this vehicle.

The research project will support the SEC’s research housed within OIAD, known as POSITIER (Policy Oriented Stakeholder and Investor Testing for Innovative and Effective Regulation).

The SEC intends to award multiple Indefinite-Delivery Indefinite- Quantity (IDIQ) contracts with firm-fixed unit prices for services and will satisfy Other Direct Costs (ODC’s) on a cost-reimbursement basis, as needed, in accordance with the attached Statement of Work and SEC Clauses. The overall combined Maximum Threshold for these IDIQs and resultant Task Orders is expected to be $10,000,000.00. The maximum number of IDIQ contracts the SEC will award as result of this solicitation is eight (8).

The IDIQ contracts will have a 10 year performance period, consisting of one 12-month base period and nine (9) 12-month option periods.

Separate Task Orders may be awarded to support other SEC divisions or offices, upon request during the period of performance of the IDIQ contracts. Two sample tasks are included with this solicitation: a disclosure testing project; and a survey research undertaking. These sample tasks are broadly indicative of examples of projects that OIAD has completed in the past and anticipates conducting in the future. However, as applicants will note after careful review of this solicitation, the sample tasks do not draw on the full range of capacities that the IDIQ requires.

The two sample tasks were designed recognizing that offerors may wish to play to their relative strengths in the proposal process so that one or the other task is of higher comfort. Offerors must submit a technical and cost proposal in response to Sample Task 1, and may submit a technical and cost proposal in response to Sample Task 2. The SEC reserves the right to award one or more task orders for Sample Task 1 and/or Sample Task 2 simultaneously with or shortly thereafter (likely within one month of) the IDIQ award based on the proposals received in response to this solicitation. The SEC will be under no obligation to award any of these task orders or to award a fixed number of task orders.

The IDIQ requires all Offerors to demonstrate competency in all task areas. The SEC expects the contractor to be able to deliver on all work areas of this SOW, and, if not able to meet the requirements on their own, to establish appropriate partnerships or subcontracting arrangements to supplement their capabilities if necessary to ensure high competencies in each task area.

The primary basis for the award of this contract will be contractor capacity to undertake the proposed activities with technical expertise. As the project is primarily a high-quality policy and academic investor research endeavor aimed at studying household finance and decision-making, as well as other issues and actors in financial markets, primary contractors are expected to demonstrate a professional capacity with such research. Tasks and subtasks outline specific capacity demands that successful contractors will be expected to demonstrate in contractor proposals and subsequent task orders. In a few cases, specific subtasks are identified as “Optional” – that is, they are preferred but not required. The Government seeks to gain access to contractors that have these capabilities, and such capabilities will reflect positively on an assessment of a contractor’s overall capacity. The SEC seeks to gain access to contractors that have these capabilities and encourages offerors to develop subcontracting arrangements that will allow for meeting these requirements.

Contractors will be expected to maintain high standards of excellence with appropriate quality control and an appropriate management structure to govern implementation of task orders stemming from this IDIQ. Additional requirements and instructions will be provided as part of awarded task orders.

If multiple task orders are awarded to a contractor simultaneously, the contractor will be expected to guarantee satisfactory performance of each task order operating concurrently. An ability to draw on sufficient subject matter expertise in household finance, behavioral economies, decision sciences, quantitative methods, and specific topical areas (e.g., niche disclosure issues) will often be an advantage in successful execution of task orders.

Applicants shall be able to adapt to and incorporate new technologies and techniques as they emerge in the research community over the contract period.

SECTION B - SUPPLIES OR SERVICES AND PRICES/COSTS

B.1 General

This is a multiple-award Indefinite-Delivery, Indefinite-Quantity (IDIQ) contract to provide Quantitative Data Collection, Qualitative Research, Research-Related Technical Support, Program Management Support and Related Services to the U.S. Securities and Exchange Commission (SEC). The Office of the Investor Advocate (OIAD) is the business owner for this award and will be the primary user of the IDIQ; however, other offices within the SEC may use this vehicle. The research project will support the SEC’s research housed within OIAD, known as POSITIER (Policy Oriented Stakeholder and Investor Testing for Innovative and Effective Regulation). The Contractor shall provide in accordance with issued Task Orders (TOs) and Technical Instructions (if applicable), all management, supervision, labor, facilities, and materials necessary, etc. to perform the services cont6ained within the IDIQ and their resultant Task Order/s basis. Upon the award of this contract, individual Task Orders will be issued for distinct scopes of work.

B.2 Minimum and Maximum Amounts

(a) The Government will order a minimum amount of $2,000.00 for every contract awarded. The Government will have the entire term of the contract (to include all options) to fulfill the contract minimum. The specific Contract Line Item Numbers (CLIN) and quantities will be identified in the task/work orders issued under each contract. The exercise of the renewal options (see Section F.2) does not re-establish the contract minimum. During the life of this contract, the Government may order items in any quantity up to the maximum dollar amount specified in paragraph (b) below. If the minimum amount has not been ordered then the Government will exercise the option for the next year.

(b) There are no maximum quantities or amounts for each individual CLIN, task order, work order, contract period, or contract. It is anticipated that the maximum aggregate amount of all task orders issued under the OIAD survey services contracts will not exceed $10,000,000.00 for the entire term of the contracts, including all options which may be exercised. It is noted that this maximum amount is not representative of the amount to be obligated during the contract period of performance, it is a ceiling amount not to be exceeded based on the success of this project.

B.3 Contract Term

The term of the OIAD survey services IDIQ contract is a (1) one-year base period and nine (9) one-year option periods. This is not a multi-year contract as defined in FAR Part 17.1, Multiyear Contracting. TOs may be issued at any time during the base and/or option periods.

The performance periods will be specified in the TOs and may include option periods which extend the TO up to twelve (12) months beyond the expiration date of this IDIQ contract.

B.4 Contract Pricing

a. All TOs may be issued on either a Time & Materials (T&M) basis and will be subject to the pricing set forth in Section J – List of Attachments, Attachment B-1, Labor Rate Tables. The labor rates in this attachment reflect fully- burdened hourly rates for each labor category 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. The Contractor may elect to propose lower hourly rates on a task-by-task basis. Proposed rates for TOs shall not exceed the ceiling rates established in the contract. The Task Order Contracting Officer (TO CO) may request certified cost or pricing data on orders less than $2,000,000 on an as needed basis.

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.

The indirect rates applicable to direct materials, subcontracts for supplies, and other direct costs established in Attachment B-1, Labor Rate Tables, are ceiling rates and shall apply to the Prime Contractor only. There are no indirect ceiling rates for Subcontractors.

However, the Contractor may elect to propose lower indirect rates on a task-by-task basis.

In accordance with FAR 52.216-31, Time and Materials/Labor-Hour Proposal Requirements- Commercial Item Acquisition, the Prime Contractor shall establish fixed hourly rates using separate rates for each category of labor to be performed by each Subcontractor and for each category of labor to be performed by the Contractor, and for each category of labor to be transferred between divisions, subsidiaries, or affiliates of the Contractor under a common control.

b. The labor rates set forth in the table reflect fully-burdened rates for performance at a Government site and for performance at a Contractor site.

(1) Government Site Rates. When performing at Government sites, the Contractor shall furnish fully-burdened labor rates and fully-burdened overtime labor rates. The Government will provide office space, furniture and office equipment, and as specified in the individual Task Orders. The Contractor shall be responsible for supplies in accordance with Section H.17, Supplies.

(2) Contractor Site Rates. When performing at a Contractor site, the fully-burdened labor rates and fully-burdened overtime 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.

c. Only Government provided/recommended labor categories are included in Attachment

B-1, Labor Rate Tables. Additional labor categories may be proposed and added to meet specific TO requirements, in accordance with Section B.5.2, Rate Refreshment, and Section G.6(G), Task Order Unique Labor Categories.

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 related travel and meeting attendance costs associated with the Contractor’s program management staff. This relates to overall management of the SEC-Wide OIAD survey services/POSITIER Indefinite Delivery Indefinite Quantity (IDIQ) contracts. As a result, these program management support costs shall be included within each fully burdened labor category rate, and shall not be proposed as separate labor categories or cost.

The contract-level “program management” support costs are differentiated from individual “Task Order Manager” or “Project Manager” support costs, which are to specifically support project management for individual task orders. The “Task Order Manager” or “Project Manager” support labor hours are billed at hourly labor rates against individual task orders for direct support to the effort performed under those task orders. This will result in direct billings at the task order level.

B.5.1 Time-and Materials (T&M) Task Orders

For T&M, the quantity of hours ordered from each labor category will be specified as deliverable hours billable at the ceiling rates specified in Attachment B-1, Labor Rate Tables, or as negotiated, if lower rates are proposed for the TO. Materials will be estimated for each TO and may include applicable indirect costs computed in accordance with the Contractor’s established accounting practices, subject to the indirect ceiling rates established in the contract. For T&M type task orders, profit on materials is not allowable. The cumulative extended total of all labor categories ordered plus materials/applicable indirect costs will define the TO rates up to the ceiling to allow flexibility. Reimbursement under the contract shall be governed by the clause FAR 52.232-7, Payments under Time and Materials and Labor-Hour Contracts.

(a) Labor. Attachment B-1, Labor Rate Tables, shall include descriptions of the

Prime Contractor and each Subcontractor’s established accounting practices for recording and billing for labor hours under Task Orders. The table lists the Prime Contractor and each Subcontractor separately to assure that the accounting practices for each are clearly identified (e.g., Prime Contractor records all hours; “Subcontractor A” records forty (40) hours per week; “Subcontractor B” records all hours, etc.). The descriptions are incorporated into the contract and orders and are effective for T&M.

In the performance of T&M, the hours billed shall show the labor hours performed by the

Prime Contractor and each Subcontractor separately. If the established accounting practices described in the contract are to record and bill a standard number of hours per week (e.g., forty (40) hours), the labor hours will be billed only on the basis of a standard number of hours. If the established accounting practices described in the contract are to record and bill all hours worked by employees, the labor hours billed will be based on all hours worked. If the Contractor provides that its established accounting practices are to record and bill all hours worked but it is found after award that the established accounting practices at the time of award were not based on recording all hours worked by employees, the Government shall be entitled to a price adjustment on all payments for labor hours under the T&M order. The amount of the price adjustment shall be the difference between the number of hours billed based on recording all hours worked and the hours that would have been recorded using a standard number of hours (e.g., forty (40) hours).

(b) Subcontractor Rates. All rates shall be proposed and billed at the Prime level.

(c) 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 no labor category specified in the contract;

• Other direct costs (can be used for unusual expenses, such as incidental services for which there is no labor category specified in the contract, e.g., travel, long distance phone calls, incentive payments, data access, printing costs focus group facilities, postage, mailing, subcontracting, IRB 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.

Profit is not allowed on materials under a T&M type Task Orders.

(d) 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. Travel will be a separate Not-To- Exceed CLIN on orders.

B.5.2 Rate Refreshment

In accordance with Section B.4(c), additional labor categories may be proposed and added to meet specific requirements. The labor rates and indirect rates are fixed ceiling rates for all contract year periods for the IDIQ contract; although, the Contractor may submit a proposal reducing the fixed hourly rates and/or indirect rates applicable to materials at any time during the life of this contract. The Government will review these proposals and determine if the revised rates are realistic and in the best interests of the Government. If the rates are accepted, the Government will modify the contract by incorporating the new rates into Attachment B-1, Labor Rate Tables.

At any time and throughout the life of the contract, at the request of either the Contractor or the Government, the Contractor may propose additional labor categories, rates and descriptions in addition to the Government labor categories. These additional Task Order Unique labor categories, rates, and descriptions will be negotiated on a case-by-case basis (See Section G.6(G)).

B.6 Management Reports

B.6.1 Task Reporting

The Contractor shall be responsible for reporting progress on each task order it is working on.

The Contracting Officer, the Contracting Officer’s Representative (COR), and the OIAD point of contact for the individual tasks are the SEC employees authorized to request and receive reports from the contractor, and may require a variety of daily, weekly, and monthly reports. Examples include progress reports, monthly narratives of accomplishments, and contract funding and expenditures, invoices outstanding, and balance and burn rate status reports. The Contractor should note that specialized reports may be required, particularly on large and complex projects.

All reports described in this section are considered part of the company’s overhead costs for overall contract project management and are not separately billable. Costs for copying reports for distribution are not separately billable. Reports may also be required in electronic form, as specified by the SEC. Ad hoc reports must be provided in a timely fashion by the deadlines specified by the SEC. Meetings with the COR and/or OIAD point of contact will be required, sometimes with little or no advance notice, to discuss these reports.

B.6.2 Reporting Schedule: All reports must be provided according to the Deliverable Schedule. Ad hoc reports must be provided in a timely fashion by the deadlines specified by the Contracting Officer or COR. Weekly, or even daily meetings with the COR will often be required, often with little or no advance notice, to discuss these reports and project status.

Fiscal reporting must conform to the Government’s fiscal year, October 1 through September

30. See Section F.3 for deliverable requirements.

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.

(End of Section B)

Section C – DESCRIPTIONS/SPECIFICATIONS/STATEMENT OF WORK

*SEE ATTACHMENT C-1 ENTITLED, SECTION C -

DESCRIPTIONS/SPECIFICATIONS/STATEMENT OF WORK FOR THIS SECTION

Two sample tasks are included with this solicitation: a disclosure testing project; and a survey research undertaking. These sample tasks are broadly indicative of examples of projects that OIAD has completed in the past and anticipates conducting in the future. However, as applicants will note after careful review of this solicitation, the sample tasks do not draw on the full range of capacities that the IDIQ requires. The two sample tasks were designed recognizing that offerors may wish to play to their relative strengths in the proposal process so that one or the other task is of higher comfort. The SEC reserves the right to award one or more task orders simultaneously with or shortly thereafter the IDIQ award based on the proposals received in response to the sample tasks (the SEC will be under no obligation to award any of these task orders or award a fixed number). Offerors must submit a technical and cost proposal in response to Sample Task 1, and may submit a technical and cost proposal in response to Sample Task 2.

**SEE ATTACHMENT C-2 ENTITLED, SAMPLE TASK 1 “DISCLOSURE”

DESCRIPTION – for the description/requirements for Sample Task 1.

***SEE ATTACHMENT C-3 ENTITLED, SAMPLE TASK 2 “SURVEY” DESCRIPTION –

for the description/requirements for Sample Task 2.

(End of Section C)

SECTION D: PACKAGING AND MARKING

D.1 (SEC 2001.00) 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.

D.2 PAPERLESS REPORTING

The COR may require the Contractor to submit electronic (paperless) reporting, including Contract funding, expenditures, outstanding balance, and burn rate status reports and progress reporting. Creation and maintenance of any such report is not separately billable.

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

E.2 INSPECTION AND ACCEPTANCE

E.2.1 Inspection and acceptance of all work and services performed under each Task Order will be in accordance with the FAR clauses incorporated at Section E, Inspection and Acceptance Clauses Incorporated by Reference, as applicable.

E.2.2 Inspection and Acceptance of supplies and/or services will be performed at the Task Order (TO) level by the Contractor Officer’s Representative (COR) or designated official, (subject to change for each TO). Inspection and acceptance will be performed at (to be determined at the Task Order Level). Services shall conform to the requirements set forth in the contract.

E.2.3 Final acceptance of all deliverables and or services performed as specified under each Task Order will be made in writing, at destination by the COR, or as detailed in individual Task Orders.

E.3 QUALITY CONTROL (To be determined at the Task Order level only if required or applicable)

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 shall be provided to the CO and COR within 20 days from Contract award.

Changes to the plan shall be submitted to the CO and COR not 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. All methods, procedures, and forms shall support this responsibility. Inspection by the SEC does not relieve the Contractor of its responsibilities.

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 to 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 within its proposal. 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.

E.3.3 Importance: The importance to the SEC of quality work 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.

(End of Section E)

SECTION F: 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)

52.247-34 F.O.B. Destination (NOV 1991)

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

F.1 (SEC 4001.00) Period of Performance w/Option Years (Mar 2009)

The base period of performance under this contract shall be from date of award through one-year. This contract has nine (9) option periods. At the end of the base period, if exercised, the first option will begin. If all options are exercised, the period of performance will not exceed a total of ten (10) years. If exercised, the period of performance for each successive option will begin the day after expiration of the previous period. Exercise of any option requires a contract modification signed by the SEC Contracting Officer.

F.2 TASK ORDERS PERFORMANCE PERIOD AND PRICING

Task Orders (TOs) may be issued at any time during the period of performance. Any TO issued hereunder may have a period of performance that starts by the last day of the period of performance of the IDIQ contract and continue up to twelve months beyond the date of issuance of the issued task order. The performance period will be specified in the TO and may include option periods. TO periods of performance may vary in duration.

Time-and-Materials TOs shall be priced using the rates provided in Section B, Supplies or Services and Price/Costs, that will be applicable to the TO’s anticipated period of performance.

Note: Contractors are highly encouraged to propose discounted rates to the Labor Rates in the contract.

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

The contractor shall provide the following deliverables to the COR, unless otherwise specified, in a format compatible with Microsoft Office Suite products. The contractor shall return revised documents to the COR within 3 business days of receiving feedback on the draft document from the COR. If the contractor has not received feedback from the COR on a document within 14 days after the contractor submits the document, the contractor may consider the document approved.

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.

The following table represents the deliverables to be provided under this contract and subsequent task orders:

Section Deliverable Delivery Timeline Deliver To Delivery Schedule B.6.1 Task

Reporting After tasks are assigned Contracting

Officer’s Representativ e (COR)

TBD, to be established at Task Order Award

B.6.1 & B.6.2

Ad Hoc Reports

The Contractor shall be responsible for reporting progress on each task and subtask for each task order project it is working on.

Examples include data processing status reports, task reports, progress reports, monthly narratives of accomplishments, Task Order funding and expenditures, invoices outstanding, balance and burn rate status reports, incentive delivery report, COR As required by either the CO or

COR.

Contractor Personnel information such as labor categories, tasks assigned, dates on-board at the SEC and dates departed from the SEC.

Reports required for individual task orders will vary with the needs of the task order and project. The Contractor shall modify all reports to accommodate the needs of the individual task orders and projects. The Contractor should note that numerous specialized reports may be required, particularly on large task orders and projects. The Contractor shall also provide specified ad hoc reports and timely written minutes of ad hoc meetings as required by the

COR.

E.3.1 Quality Control (QC) Plan

(TBD at the task order level if required/applicable)

CO, COR (TBD at the Task Order)

F.5.1.1 Individual Subcontra cting Report

As specified in Section F.6.1.1 CO, COR As specified in Section F.6.1.1

F.5.1.2 Summary Subcontra ct Report

As specified in Section F.6.1.1 CO, COR As specified in Section F.6.1.2

The general quality measures as set forth below will be applied to the reports submitted by the Contractor:

Accuracy: The monthly report shall be accurate in presentation and content.

Clarity: The monthly report shall be clear and concise. All documents shall be easy to understand and be relevant to the supporting narrative.

Timeliness: The monthly report shall be submitted in accordance with parameters defined in Section F.3 as required.

F.4 Deliverables and Data Rights

The Contractor shall ensure that all information and documentation required under this contract are forwarded to the appropriate SEC representative, as requested and required.

- If the Contractor erroneously receives any information or documents, the Contractor shall (1) immediately secure the information while making every attempt to accurately determine the intended recipient, (2) forward the information to the intended recipient, and (3) notify the recipient of the incoming information/email/package.

- Alternatively, if the SEC recipient cannot be easily determined after the contractor has exhausted all reasonable research efforts, the contractor shall contact the COR or CO for further instructions.

All materials, documents, and records requested, produced, and/or obtained as a result of this contract shall be the property of the U.S. Government unless otherwise identified and agreed to by the SEC.

F.5 Functions Closely Associated with Inherently Governmental Functions: The services to be delivered under this Contract by the Contractor to the SEC are not inherently governmental functions, but are closely associated with inherently governmental functions. The SEC will not assign inherently governmental functions to the contractor or contractor employees. In particular, contractor personnel will not execute documents or correspondence on behalf of the SEC. The contractor will ensure their employees do not perform inherently governmental functions. Inherently governmental functions are defined at Federal Acquisition Regulation Subpart 7.5 and Office of Federal Procurement Policy (OFPP) Policy Letter 11-01 and its appendices A through D. These references may be viewed at the following websites:

FAR 7.5 link https://www.acquisition.gov/far/current/html/Subpart%207_5.html#wp1078196 OFPP link http://www.whitehouse.gov/omb/procurement_index_work_performance/

F.5.1 SUBCONTRACTING PLAN REPORTS (applicable to non-small businesses)

Large Businesses shall submit periodic reports which show compliance with their subcontracting plan. The Contractor shall submit its report via the electronic Subcontracting Reporting System (eSRS) in accordance with the instructions on the website. The Contractor shall ensure that their Subcontractors agree to submit its report via the eSRS when applicable. The Individual Subcontracting Report (ISR) and the Summary Subcontracting Report (SSR) are available online at http://www.esrs.gov.

The work of the small businesses identified in the Subcontracting Plan shall be tracked against the Prime’s proposed goals. Creation and maintenance of any such report is not separately billable.

F.5.1.1 INDIVIDUAL SUBCONTRACTING REPORT (ISR)

The Contractor shall submit the Individual Subcontracting Report (ISR) electronically via the eSRS within thirty (30) calendar days after the close of each calendar period as follows: (1) April 30th, for the period October 1st, through March 31st; and (2) October 30th, for the period April 1st, through September 30th. Each semi-annual ISR reflects cumulative task order subcontracting accomplishments from the inception of the contract through the relevant ISR reporting period.

One (1) ISR is required at the contract level for all subcontract awards accomplished, (which is a roll-up of all task order awards) and submitted to the CO via eSRS for review and acceptance. When failing to meet the goals of the small business subcontracting plan of the contract, the Contractor shall state in the report (either remarks field or separate letter) what https://www.acquisition.gov/far/current/html/Subpart%207_5.html#wp1078196 http://www.whitehouse.gov/omb/procurement_index_work_performance/ http://www.esrs.gov./ good faith effort has been made to meet the goals; and/or future plan on how to improve small business opportunities for future task orders.

No separate ISR submission at the task order level is required via eSRS. However, when the TO CO determines that the subcontracting status report is necessary to measure the extent of compliance by the Contractor, the Contractor shall manually submit periodic subcontracting status reports (SF-294) to the TO CO based on mutual agreement by both parties.

F.5.1.2 SUMMARY SUBCONTRACT REPORT (SSR)

The Contractor shall submit the SSR electronically via the eSRS. The report is due October 30th for the calendar period October 1 through September 30.

F.6 TRAVEL

Performance may require periods of travel, which requires prior COR approval. See H.5, Travel, for additional guidance.

F.7 RECOGNIZED HOLIDAYS (See Section H.11 for additional guidance)

The Federal Government observes the holidays listed below.

New Year’s Day Martin Luther King’s Birthday Washington’s Birthday Memorial Day Juneteenth Independence Day Labor Day Columbus Day Veteran’s Day Thanksgiving Day Christmas Day Washington, DC only: Inauguration Day

(End of Section F)

SECTION G: CONTRACT ADMINISTRATION DATA

G.1 (SEC 5001.00) Contract Administration (Dec 2011)

This contract will be administered by the SEC's Office of Acquisitions. All inquiries should be directed to the following address:

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

U.S. Securities and Exchange Commission Office of Acquisitions Attn: Julia Gallmon, Contracting Officer 100 F Street, NE Washington, DC 20549 Email: gallmonj@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/.

(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.

mailto:ginnc@sec.gov mailto:OA-CLS@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/ mailto:iSupplier@sec.gov

(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.

G.3 (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, http://einvoice.esc.