Attachment_1_-_SOW.pdf

STATEMENT OF WORK

Securities Industry Course Series

February 2, 2017

A. Background

The SEC’s mission is to protect investors, maintain fair, orderly and effective markets, and facilitate capital formation. In support of this mission, the College of Securities and Professional Development (CSPD) works to provide the design, development, delivery and evaluation of technical skills/operations and instructional materials and programs in securities, legal, finance, accounting, regulation and economic analysis. Instructional products, materials and programs result from analyzing organization learning needs, job and target audience requirements, curriculum analysis, evaluation and redesign within the financial services industry including, but not limited to: section 7, 6 or 63, current securities protection (hedge funds, CDs, etc.) fraud detection, advanced securities operations, current regulatory environment, market trends, risk assessment and analysis, accounting, finance, statistics, compliance, electronic and algorithmic trading, economic and business and other related evolving topics.

B. Scope

The training vendor shall provide the CSPD with instructor led off-the-shelf courses on a wide range of securities topics (such as: securities, law, finance, accounting, regulations, economic analysis, compliance, risk management and anything else related to the securities industry) at the location(s) listed below during the period of performance.

C. Requirements

The Contractor shall provide instructor led off-the-shelf courses that meet the needs of the SEC as set forth in section A of this document. In order to fulfill this requirement the Contractor must be able to provide the following:

1. The Contractor shall provide training events in several segmented course options (e.g.

courses up to 2 hours, 4 hours and 8 hours/day in length). The Government is seeking an alternate solution for courses that may last less than 8 hours. This requirement shall also include webinars or classes via an electronic means (e.g. WebEx and any other proposed Contractor training platform).

2. All training shall be delivered in person at the SEC’s Washington, DC/Headquarters and Regional Offices (including: Atlanta, Boston, Chicago, Denver, Fort Worth, Los Angeles, Miami, New York, Philadelphia, Salt Lake City and San Francisco) or remotely to any/all of the aforementioned locations.

3. The Contractor shall offer courses in varying levels of expertise (e.g. basic, intermediate and advanced, when applicable). The target audience will be all SEC professionals throughout the Commission who need to understand various aspects of the securities industry to fulfill their mission.

4. The Government anticipates offering up to 120 courses per fiscal year depending upon the availability of funding.

5. Each training shall accommodate up to 50 Securities and Exchange Commission Employees in person. Courses that are offered remotely (e.g., via WebEx or other online platform) shall have an unlimited number of participants.

6. The Contractor shall provide and arrange the delivery of all course materials, e.g. texts, handouts, etc. The Government requests that remote participants receive the materials electronically.

7. The learning objectives for these training courses will be to enhance knowledge and understanding of securities, law, finance, accounting, regulations or economic analysis in a way that is industry and position specific and supports the operational programs and goals of the SEC.

8. The Contractor shall provide continuing professional education (CPE) certificates for all applicable National Association of State Board of Accountancy (NASBA) certified courses delivered.

9. Although it is preferred but not required, the Government welcomes the ability to provide on demand course options such as courses available at any time via Contractor’s website or SEC’s internal learning management system.

D. Government-Furnished Equipment and Government-Furnished Information

The Government shall provide meeting space for these training events to include: computer projection equipment, projection screen, tables and chairs. Course materials shall be the responsibility of the vendor.

E. Place of Performance

Work is to be delivered at SEC HQ and Regional Offices:

• SEC Headquarters: 100 F Street, NE, Washington, DC 20549

• New York: 200 Vesey Street, Suite 400, New York, NY 10281-1022

• Boston: 33 Arch Street, Boston, MA 02110-1424

• Philadelphia: 1617 JFK Boulevard, Suite 520, Philadelphia, PA

19103

• Miami: 801 Brickell Ave., Miami, FL 33131

• Atlanta: 950 East Paces Ferry, N.E., Atlanta, GA 30326-1382

• Chicago: 175 W. Jackson Boulevard, Chicago, IL 60604

• Denver: 1961 Stout Street, Denver, CO 80294-1961

• Fort Worth: 801 Cherry Street, Fort Worth, TX 76102

• Salt Lake: 351 S. West Temple Street, Salt Lake City, UT 84101

• Los Angeles: 444 South Flower Street, Suite 900, Los Angeles, CA 90071

• San Francisco: 44 Montgomery Street, San Francisco, CA 94104

F. Period of Performance

The period of performance shall be for one (1) Base Year of 12 months and four (4) 12-month option years. The Period of Performance reads as follows:

Base Year: 18 September 2017 – 17 September 2018 Option Year I: 18 September 2018 – 17 September 2019 Option Year II: 18 September 2019 – 17 September 2020 Option Year III: 18 September 2020 – 17 September 2021 Option Year IV: 18 September 2021 – 17 September 2022

Delivery orders or task orders will not be issued prior to the availability of appropriate funds from which expenditures there under may be made. In the event that an extension is granted, CSPD will review the portfolio of courses to be offered during that 12 month period.

G. Performance Evaluation

The Dean of CSPD will assess the Contractor’s ability to provide and manage a quality assurance plan that will ensure performance of all seminar events are at or above an acceptable quality level of customer satisfaction. The evaluation will consider the relevance, credibility, responsiveness and completeness of performance and services offered. Reviews will take place after the completion of each course through the Dean of CSPD. The vendor’s portfolio of courses will also be subject to a quality review.

H. Associated Funding

Pricing for books and other instructor-related expenses (travel, etc.) shall be inclusive of all training within this contract.

I. Vetting Requirements

The Securities and Exchange Commission will complete a vetting process for each instructor prior to the commencement of course instruction.