A1.03_Sources_Sought_Notice_3Oct22.pdf

Sources Sought Notice Disgorgement and Penalty System (DPS) Support

October 3, 2022

1. Purpose

The U.S. Securities and Exchange Commission (SEC) is seeking sources to provide continued hosting;

Development, Modernization, and Enhancement (DME); Operations and Maintenance (O&M); and cloud migration support for the Disgorgement and Penalty System (DPS), as described in the enclosed draft Performance Work Statement (PWS). This support includes all component software and interfaces that comprise DPS as a whole.

The information received as a result of this notice will be used, for consideration by the SEC, in developing the acquisition strategy and in determining small business capabilities. Small businesses having the capabilities to perform the work described in this notice are encouraged to respond.

2. Background

DPS is a cloud-hosted Information Technology (IT) system used by the SEC’s Office of Financial Management (OFM) and Division of Enforcement (ENF) to support the tracking and management of financial obligations related to Disgorgements, Penalties, Fees, and associated Interest (DPFI) and receivables and award payments associated with federal district court and SEC administrative law proceedings. The system is an integral part of the SEC’s mission to seek penalties and the disgorgement of ill-gotten gains in order to return funds to harmed investors, a key component of the SEC’s financial management process.

DPS was initially procured under Contract SECHQ116C0132, to replace OFM’s legacy systems, manual processes, and associated spreadsheets used to track and manage disgorgement and penalties. Contract SECHQ116C0132 was competitively awarded to CGI Federal, Inc. on September 28, 2016. CGI’s DPS solution, which was evaluated and served as the basis of award for Contract SECHQ116C0132, is mainly comprised of Momentum, a CGI proprietary Commercial-off-the-Shelf (COTS) software product, and its document management solution, OpenText Content Server (OTCS), hosted in CGI’s Federal Risk and Authorization Management Program (FedRAMP) authorized Infrastructure-as-a-Service (IaaS) cloud.

After three (3) and half years in development, DPS was deployed in February 2020. Although the SEC sought to minimize customization in development, DPS has a highly customized front-end and interfaces, which are referred to as the bridge and component interfaces. Furthermore, DPS uses Oracle Key Vault (OKV) for database security, as required by SEC Security. OKV requires physical servers and is not supported in public cloud environments, such as Amazon Web Services (AWS).

3. Reference Documents

The following reference documents are enclosed:

a. Attachment 1 – Draft PWS

b. Attachment 2 – Architecture Design

4. Notional Acquisition Strategy

Pending responses to this notice, the SEC intends to sole source a single-award, Firm-Fixed-Price (FFP) Indefinite Delivery, Indefinite Quantity (ID/IQ) contract to CGI Federal, Inc. for continued DPS support prior to the expiration of Contract SECHQ116C0132 on February 17, 2023. The proposed ID/IQ contract will have a total potential ordering period of five (5) years, consisting of a one-year base and four (4) one-year options.

The proposed ID/IQ contract will enable the SEC to re-design DPS to be cloud agnostic, thereby eliminating future barriers to competition. DPS, as presently designed and configured, cannot function in any other cloud environment but CGI’s. CGI does not allow third-party users to access their FedRAMP authorized cloud environments.

5. Requested Information

a. Corporate Description

Responses shall include a Corporate Description as described below (3-page limit):

• Respondent’s name, System for Award Management (SAM) Unique Entity Identification (UEI) number, and Commercial and Government Entity (CAGE) code;

• Respondent’s business size status and whether the respondent is registered in SAM under the North American Industry Classification System (NAICS) code 541512, Computer Systems Design Services. The associated small business size standard is $30M in annual receipts. For more information about size standards, please refer to http://www.sba.gov;

• Respondent’s socioeconomic status, if any (e.g., small, small disadvantaged, 8(a), woman-owned and/or economically disadvantaged woman-owned, Historically Underutilized Business Zone (HUBZone), and veteran-owned and/or service disabled veteran-owned business);

• Respondent’s point(s) of contact including names(s), title(s), telephone number(s), and e-mail address(es); and

• Respondent’s affiliate information including parent corporation, joint venture partner(s), potential teaming partner(s), prime contractor (if potential subcontractor), or subcontractor(s) (if potential prime contractor).

b. Corporate Capabilities

Responses shall include Corporate Capabilities as described below (10-page limit):

• Technical approach to perform the work as described in the draft PWS, while ensuring no disruption or lapse in service. As aforementioned, Contract SECHQ116C0132 expires on February 17, 2023. No funding exists for re-design or migration at this time; and

• At least one (1), but no more than three (3), recent and relevant past performance references for federal contracts, performed within the last three (3) years from the issuance of this notice.

The past performance references shall demonstrate the respondent’s:

o Capability to perform work of similar size, scope, and complexity as the work described in the draft PWS; and o Experience in financial accounting, ledgers, interest calculations, cloud computing, and

FedRAMP certifications.

c. Other Feedback

Responses may include:

• Relevant information that would enhance the SEC’s understanding of the information submitted;

• Any feedback on the reference documents. What is unclear about the requirements listed or what additional information is needed?; and

• Recommended actions to remove or overcome barriers to competition.

http://www.sba.gov/

6. Submittal

Responses are requested as soon as possible, but due no later October 17, 2022 at 12:00 PM Eastern Time.

Responses shall be submitted via e-mail to the Contracting Officer, Ms. Christine Dye, at dyec@sec.gov.

7. Questions

Questions regarding this notice shall be submitted to the Contracting Officer, via the e-mail address listed above, no later than October 12, 2022 at 5:30 PM Eastern Time. Verbal questions will NOT be accepted.

8. Disclaimer

This notice is for informational and planning purposes only and is not to be construed as a commitment by the Government to contract for any supply or service whatsoever. This is NOT a solicitation announcement nor does it constitute a Request for Proposal (RFP), or a promise to issue a RFP in the future. The SEC is not seeking proposals at this time and will not accept unsolicited proposals. Interested parties are advised that the Government will not pay for any information or administrative costs incurred in response to this notice or any follow-up information requests. All costs associated with responding to this notice will be solely at the interested party’s expense.

All information received will become Government property and will not be returned. Information that is marked “Proprietary” will be handled in accordance with Federal Acquisition Regulation (FAR) 3.104.

Failure to respond to this notice does not preclude participation in any future solicitation, should a solicitation be issued.

Respondents will NOT be notified of the results of the Government’s evaluation. The information provided in this notice is subject to change and is not binding on the Government. It is the responsibility of the respondent to monitor SAM for additional information pertaining to this notice.

mailto:dyec@sec.gov