Attachment 1 - SEC Draft SOW (Serial Subscription support).pdf

SEC Sources Sought Notice: 50310225Q0104 Attachment 1 – SEC Draft SOW

Serials Subscription Support

1. Introduction

The U.S. Securities and Exchange Commission (SEC) requires support for recurring order and renewal of serial subscriptions.

2. Scope and Objective

The SEC has an ongoing requirement to order, renew, claim and provide various administrative support for the SEC’s serial subscription collection, including data and electronic information product subscriptions, print publications, and electronic publications.

Requirements

3.1 Print and Print + Electronic Serials

3.2 Electronic Information Products

3.3 General Terms/Ordering

3.1 Print and Print + Electronic Serials

The Contractor shall provide print or print + electronic serial subscription support for the SEC that will include all of the tasks necessary to execute and manage orders for new and renewal subscriptions to serial publications, including but not limited to ordering, making timely prepayments, processing refunds, making claims for missing, defective, or mutilated issues, supplemental and bill-later charges; ensuring timely and complete delivery of ordered subscriptions; and providing reports and other administrative support for serials management.

Serial means any publication issued in successive parts and intended to be continued indefinitely. Serials include: periodicals, newspapers, magazines, annuals, yearbooks, journals, and other serially published works.

The Contractor shall place all new and renewal orders with publishers within five (5) business days after receipt of delivery lists from the SEC. After placing the orders, the contractor shall provide a final subscription list, including the following details:

Title

Publisher or Vendor

ISSN

Quantity

Subscription Period

Price

Service Charge

Frequency

Title Changes

Ship To Address

The Contractor shall notify the SEC in writing of any irregularity or change in subscription status for any item on the subscription list, such as: slow, irregular, discontinued, order direct, split title, period restricted, or suspended publications.

The Contractor shall provide administrative support for each subscription until three (3) months after its expiration or the publication of the latest issue covered by that subscription period.

3.2 Electronic Information Products

The Contractor shall provide subscription services for the SEC that will include all of the tasks necessary to execute and manage orders for new and renewal subscriptions to electronic journals and other commercial off-the-shelf electronic information products.

The tasks include but are not limited to ordering, making timely prepayments, processing refunds, supplemental and bill-later charges; facilitating timely access to ordered subscriptions; and management of licenses, links, user authorizations, and usage data.

The Contractor shall be responsible for issuing credentials that are necessary to access the electronic information sources and shall issue credentials for users promptly. The Contractor shall work with the SEC to establish procedures for requesting and cancelling user credentials.

The Contractor shall place all new and renewal orders with publishers within five (5) business days after receipt of delivery lists from the SEC. After placing the orders, the contractor shall provide a final subscription list, including the following details:

Title

Publisher or Vendor

Quantity

Subscription Period

Price

Service Charge

Frequency

3.3 General Terms/Ordering

The general terms are described below:

3.4.1 Order Requirements

The contractor shall place orders requested on a rush basis within 24 hours of receipt of the order request. The contractor shall provide notice of action and order status to the SEC, including the date the order was placed and the anticipated date of delivery.

The Contractor shall provide the SEC with a copy of any license agreements, subscription terms, terms and conditions of use, or other agreements associated with subscriptions at least fourteen (14) days prior to placing the order. The Contractor must receive preapproval for any such agreements from the SEC to proceed prior to placing the order for any subscriptions.

The Contractor shall make arrangements with publishers and/or data providers for all regularly purchased subscription orders and renewals within sufficient time to avoid any interruption in receipt of issues.

The Contractor shall pay all regular subscription orders in advance, prior to submission of the first customer invoice. The Contractor must certify pre-payment to the publisher and/or data provider on all invoices. Upon request, the contractor shall provide to the SEC proof of payment of any order invoiced.

3.4.2 Claiming of Missing, Defective or Mutilated Issues

The contractor shall make every reasonable effort to assure that the publishers supply the material for which payment has been rendered.

Upon receipt of claim notices from the SEC that expected issues have not been received, the contractor must verify that the item has been properly ordered and paid with the publisher and shall forward notice of non-receipt to the publisher together with payment documentation. The contractor shall provide claims within three (3) business days of receipt.

Any responses from the publisher other than supply of material must be forwarded on to the SEC within three (3) business days of receipt at the contractor's site.

The contractor shall make at least two (2) follow-up requests when the publisher fails to respond to a claim.

On demand, the contractor may be required to make telephone, fax or electronic mail message contact with publishers for urgently needed materials.

After placing requests for claimed issues, the contractor shall provide the SEC with notification of the claim action and anticipated date of delivery.

3.4.3 Quantity Changes and Cancellations

The Contractor shall cancel subscriptions as requested by the SEC and shall issue a credit if allowed by the publisher and/or data provider.

Within three (3) business days of receipt of a quantity change or cancellation order from the SEC, the contractor shall notify the publisher of changes in the quantity of a title, which are required, and of cancellations of previously placed orders. Notification to the publisher shall indicate the effective date/volume of the change. Changes and cancellations may be made at any time.

Upon cancellation of an order, the contractor must immediately request a refund for any unused portion of the subscription. If no refund is obtained, the contractor must provide written evidence of attempts to obtain the refund for the Government.

The Contractor shall provide pro-rated refunds or substituted titles for titles, which cease publication prior to expiration if provided by the publisher and/or data provider.

3.4.4 Communication

The contractor shall designate a specific account representative to be the primary contact person for servicing the Library's account, e.g., responding to problems with order, delivery claims, invoices, credits, and management reports. All queries from the SEC shall be directed to that individual or his/her designated backup. The SEC must be notified if this individual will be away from the office for an extended period of time. The SEC must be notified as soon as possible of a change in account representative to ensure a smooth transition. Oral and written queries must be responded to within two

(2) business days.

3.4.5 Administrative Services

The contractor shall provide the SEC with access to a web-based serials management system that enables online claiming, on-demand analytical report generation, title/subscription verification, and bibliographic research. The system shall provide extensive tools to help manage subscriptions and to provide current and accurate information regarding journals and databases, such as publisher information, title changes, journal package information, frequency, format, country, ISSN, status, license, claims, etc.

4. Deliverables or Delivery Schedule

The contractor shall provide a Deliverables or Delivery Schedule if requested by the SEC for a serial or an order.

Below is sample listing of the types of serial subscriptions that may be ordered under this procurement:

Title Name Publisher Business Insider Premium Business Insider Oil & Gas Journal Endeavor Business Media The Information The Information Grant's Interest Rate Observer Grant's Interest Rate Observer Harvard Business Review Harvard Business School Global Capital - Total Securitization Euromoney Trading Ltd Hedge Fund Law Report Mergermarket Limited Private Equity Law Report Mergermarket Limited FII online (Library Reference Service

(LRS))

Financial Information Incorporated

Market Structure Analysis Rosenblatt Securities Inc.

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