Attachment 1 - SOW.pdf

STATEMENT OF WORK

Protective Security Force Service Requirements

United States Securities and Exchange Commission Office of Security Services

March 2024

Table of Contents

1. Introduction

1.1. General Information

1.2. Information Regarding the U.S. Securities and Exchange Commission

1.3. Acronyms

1.4. Regulations and Other Applicable Documents

1.5. Scope of Services

2. Authority and Jurisdiction, Permits, Licenses, Adherence to Laws and Insurance Requirements 5

2.1. General Information

2.2. State and Local Requirements

2.3. Carriage of Licenses and Permits

2.4. Licensing Fees

2.5. Insurance Requirements

3. Qualifications of Personnel

3.1. General Information

3.2. Suitability Determination

3.3. Personal Identity Verification (PIV) Cards

3.4. Entry on Duty Decision

3.5. Unfavorable Determination

3.6. Favorable Determination

1. Introduction

1.1. General Information

The primary objective of this Statement of Work (SOW) is to provide executive protection for the United States Securities and Exchange Commission (SEC), Office of Security Services (OSS). As an integral component of the OSS security effort, the Contractor shall provide and maintain all management, supervision, manpower, training, equipment, supplies, licenses, permits, certificates, insurance, pre-employment screenings, reports, files and any other resources necessary to accomplish Executive Protection services on an on-call basis. The Contractor shall perform to the standards required in this contract and will be expected to work closely with OSS representatives throughout the duration of the contract.

All references to citizenship and locations within the United States also include the United States Territories and Commonwealth.

1.2. Information Regarding the U.S. Securities and Exchange Commission

The Securities and Exchange Commission (SEC) was established by Congress in 1934 to enforce the Securities Act of 1933 and the Securities Exchange Act of 1934. The SEC consists of five presidential-appointed Commissioners, five divisions, and 23 offices. Its overarching mission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. It is headquartered in Washington, DC and has 11 regional offices throughout the country.

SEC Headquarters Station Place (SP) 1 100 F Street NE Washington, D.C. 20549

SEC Headquarters Station Place (SP) II 600 2nd Street NE Washington, D.C. 20549

SEC New York Regional Office 100 Pearl St. Suite 20-100 New York, NY 10004

SEC Atlanta Regional Office 950 East Paces Ferry, N.E., Suite 900 Atlanta, GA 30326-1382

SEC San Francisco Regional Office 44 Montgomery Street, Suite 2800 San Francisco, CA 94104

SEC Chicago Regional Office 175 W. Jackson Boulevard, Suite 900 Chicago, IL 60604

SEC Miami Regional Office 801 Brickell Ave., Suite 1800 Miami, FL 33131

SEC Boston Regional Office 33 Arch Street, 23rd Floor Boston, MA 02110

SEC Philadelphia Regional Office 1617 JFK Boulevard, Suite 520 Philadelphia, PA 19103

SEC Salt Lake City Regional Office 351 S. West Temple, Suite 6100 Salt Lake City, UT 84101

SEC Fort Worth Regional Office 801 Cherry Street, Suite 1900, Unit 18 Fort Worth, TX 76102

SEC Los Angeles Regional Office 444 South Flower Street, Suite 900 Los Angeles, CA 90071

SEC Denver Regional Office Byron Rogers Federal Office Building 1961 Stout St. Suite 1700 Denver, CO 80294-1961

1.3. Acronyms

In the event a term used in this Solicitation/Contract is more often referred to in an abbreviated form, it will be spelled out upon introduction and its acronym will appear immediately afterwards in parentheses, e.g., Contracting Officer Representative. Once identified in this manner, only the acronym will be used subsequently.

The following is a list of acronyms appearing in this Solicitation/Contract:

ACOR Alternate Contracting Officer Representative CFR Code of Federal Regulations CO Contracting Officer COR Contracting Officer Representative EOD Entry on Duty e-QIP Electronic Questionnaires for Investigation Processing e-Verify Employment Eligibility Verification System FMR Federal Management Regulation OPM Office of Personnel Management OSHA Occupational Safety and Health Administration

OSS

PA

SEC Office of Security Services Protective Agent

PIV Personal Identity Verification SEC United States Securities and Exchange Commission SF 30 Standard Form 30 (Amendment of Solicitation/Modification of Contract) SOW Statement of Work SSBI Single Scope Background Investigation

1.4. Regulations and Other Applicable Documents

1.4.1. The Contractor will follow local, state, and federal regulations and requirements for all protection services. This includes, but is not limited to any training, certification, and licensure requirements.

1.4.2. This is a Statement of Work (SOW) for the United States Securities and Exchange Commission (SEC) Office of Security Services (OSS) to provide Protective Agents (PA) on an on-call basis.

1.4.3. As an integral component of the OSS security effort, the Contractor shall provide and maintain all management, supervision, manpower, training, equipment, supplies, licenses, permits, certificates, insurance, pre-employment screenings, reports, files and any other resources necessary to accomplish PA services as described and required in this SOW. The Contractor shall perform to the standards required in this contract and will be expected to work closely with OSS representatives throughout the duration of the contract.

1.5. Scope of Services

1.5.1. The Contractor will have a Protective Agent Detail that provides the capability of contracting high caliber Executive Protective Services whose contractors are in compliance with HR218 (Law Enforcement Officers Safety Act of 2004). Call orders will be executed based on an independent threat assessment and in compliance with the Chief of Security’s recommended plan of action following that threat assessment. The Contractor shall be prepared to respond to the SEC’s request for service within twenty-four (24) hours.

1.5.2. The SEC requires executive protection services for short-term and long-term periods of time on an as-needed basis to protect the SEC’s top executive, the specific tasks that shall be performed may include, but are not limited to, the following:

1.5.2.1 While on duty, the Contractor shall transport (with contractor provided vehicle) SEC executive between home, office(s), and designated meeting locations while controlling vehicle access.

1.5.2.2 If necessary, the Contractor may also transport (with contractor provided vehicle) SEC executive to the designated airport and upon arrival to designation, shall provide comparable escort protection to and from locations while controlling vehicle access.

1.5.2.3 The Contractor shall provide reports (i.e., daily logs, incident reports, certification reports, threat reports, etc.) to the Contracting Officer Representative (COR) at the end of each mission.

1.5.2.4 The Contractor is required to fully cooperate if called upon to testify or submit a statement regarding any related court or legal proceeding. The Contractor personnel called upon to testify will do so in a full duty status.

2. Authority and Jurisdiction, Permits, Licenses, Adherence to Laws and Insurance Requirements

2.1. General Information

2.1.1. The Contractor bears the sole responsibility for obtaining and renewing all legally required licenses and permits as specified by the applicable federal, state, and/or local regulating agencies. The Contractor shall possess ALL licenses required to perform services under this effort.

2.1.2. The Contractor shall NOT seek the Government’s assistance or intervention in the receipt of legally required licenses and permits.

2.1.3. The Contractor shall furnish a legible copy of all legally required licenses and permits (excluding permits and licenses issued to individual contract employees) to the COR prior to any Agent standing post and provide any revised licenses or permits during the contract term.

2.1.4. Failure by the Contractor to obtain all required licenses for the company and/or the contract employees prior to Agent standing on post will be grounds for possible contractual actions including, but not limited to, termination for cause.

2.1.5. Failure by the Contractor to maintain valid licenses and permits will be cause for the SEC to take contractual actions, up to, and including termination for cause.

2.1.6. The CO, COR, and all other authorized Government personnel shall have the express authority to examine these documents upon request, at any time, during the duration of this Contract.

2.1.7. The Contractor shall complete, certify, and maintain written records that show names and issue dates for each contract employee having each and all legally required licenses, permits, training, and certifications.

2.1.8. False statements, certification, or falsification of any documents required in this contract by the Contractor, Project Manager, or any contract employee shall be punishable under U.S. Code Title 18, Chapter 47, Section 1001, Fraud and False Statements. The Government may initiate investigations by its Office of Inspector General, may initiate debarment proceedings, and/or may take contractual remedies, up to and including termination for cause. Under no circumstances whatsoever will the Government tolerate falsification of required documents.

2.2. State and Local Requirements

Prior to commencement of work under this contract, and except where precluded by local law or ordinance, the Contractor shall make and complete all arrangements with the appropriate officials in the state or local jurisdiction in which the Contractor will be performing the following services:

2.2.1. Obtain, possess, and maintain all business and corporate licenses required to operate as a Protection Agent within the entire geographic areas covered under this contract prior to any Agent providing services.

2.2.2. Provide any official bond(s) and insurance required, and pay any fees or costs involved or related to authorization for the arming of any employees engaged in providing Protection Service specified under this contract.

2.2.3. Obtain all licenses and permits required for each Agent to serve with a concealed weapon.

2.2.4. Notwithstanding the minimum age requirement cited elsewhere in the SOW, the Contractor must follow federal, state and/or local licensing requirements for contractor employees. In most areas, the minimum age requirement for armed Agent personnel is 21 years of age.

2.2.5. In the event that there is a legal licensing requirement regarding the minimum age for an Agent which exceeds 21 years of age, that requirement shall take precedence over the contract’s stated acceptable minimum age.

2.3. Carriage of Licenses and Permits

2.3.1. Agents shall carry all applicable licenses/permits (and, where legally required, their concealed weapons permit) on their person while on duty.

2.3.2. Failure by an Agent to carry a valid certificate or permit while on duty shall result in immediate notification to the Contractor with a request for remedy. Failure to produce the certificate or permit may result in CO direction to the Contractor to remove the Agent from duty until such time that the certificate or permit is in the Agent’s possession.

2.4. Licensing Fees

2.4.1. The Contractor must pay all costs and fees associated with applying for, receiving, and maintaining all such permits and licenses throughout the term of the contract.

2.4.2. Where the federal, state, or local regulating agencies require contract employees to individually apply for and pay the associated fees for licenses and/or permits, the Contractor shall reimburse the employee for all costs and fees associated with obtaining the required license/permit.

2.5. Insurance Requirements

The Contractor shall carry and maintain the following insurance:

2.5.1. Workman’s Compensation and Employee Liability Insurance: minimum $100,000 per incident.

2.5.2. Comprehensive General Liability: minimum $500,000 for bodily injury per occurrence.

Prior to commencement of work hereunder, evidence of insurance shall be furnished to the CO. In addition, the Contractor shall furnish evidence of a commitment by the insurance carrier to notify the CO in writing of any material change, expiration, or cancellation of any of the insurance policies or bonds required immediately upon notification of such change, or 30 days prior to expiration or cancellation, whichever is earlier.

3. Qualifications of Personnel

3.1. General Information

3.1.1. The Contractor shall not employ illegal or undocumented aliens as Protective Agents for this contract. The Contractor shall expressly incorporate this provision into all subcontracts or subordinate agreements issued in support of this contract.

3.1.2. The Contractor shall not subcontract any work required by this contract without the express written approval of the CO. If the CO authorizes the Contractor to subcontract any part of the work required by this contract, a copy of any such subcontract shall be provided to the CO prior to award.

3.1.3. To be eligible to perform under this contract all contract employees must meet, to the satisfaction of the CO and COR, the following requirements:

3.1.3.1. Be a citizen of the United States of America or United States Territories and Commonwealth. The COR may approve Lawful Permanent Residents who are currently members of the U.S. armed services (Reserves or National Guard) or who possess an Honorable Discharge from a U.S. Military component.

3.1.3.2. Have a Social Security Card issued and approved by the Social Security Administration.

3.1.3.3. Meet one of the following experience/education requirements:

3.1.3.3.1. Five (5) years of Executive Protection experience and/or Ten years of Law Enforcement experience within the past five (5) years; or

3.1.3.3.2. The successful completion of an Executive Protection and defensive driving course approved by the COR

3.1.3.4. All Agents must speak English fluently, read and comprehend written English, and compose coherent written reports in English.

3.1.3.5. Each Agent and supervisor serving as an armed Agent must annually complete a signed and dated Lautenberg Amendment Statement/Domestic Violence certification that satisfies the legal requirements of the Lautenberg Amendment, 18 U.S.C. § 922(g) (8) and (9). This certification is valid for one (1) year.

3.1.4. The Contractor, not the SEC, is responsible for complying with all provisions of the Americans with Disabilities Act of 1990 (42 USC 12101-12213), the Rehabilitation Act of 1973 (29 USC 790-794), and the applicable OSHA Occupational Safety and Health Standards (29 CFR 1910).

3.1.5. The Contractor shall not separately price medical and physical evaluations and drug screening within the contract’s Schedule of Services and Prices. The Contractor shall factor all costs associated with providing these requirements into its proposed price for Agent services.

3.2. Suitability Determination

Once a prospective contract employee applies for a position and receives a favorable evaluation by the Contractor (i.e., meets the minimum qualification requirements cited in this SOW and otherwise meets the Contractor’s hiring criteria), the Contractor shall submit to the COR the following Government furnished forms for each contractor employee:

3.2.1. Contractor Data Form;

3.2.2. Declaration of Federal Employment (OF 306)

3.2.3. SEC Authorization for Release of Credit Information

3.2.4. A previously completed investigation conducted by or for another federal agency on an individual that is of the same or higher type and scope as the one required for the position may be accepted in lieu of conducting a new investigation if it meets or exceeds the reciprocity guidelines established by OSS.

3.2.5. For contractor employees cleared through this process while employed under a predecessor contract, the suitability determination made under the previous contract may or may not carry over to the new contract.

3.2.6. The SEC may not be able to complete a satisfactory background investigation on individuals not residing in the United States for the preceding three (3) years. In such cases, the SEC retains the right to deem the individual as ineligible due to insufficient background information.

3.2.7. OSS shall have and exercise full and complete control over granting, denying, withholding, or terminating suitability decisions for employees. OSS may, as it deems appropriate, authorize and grant a temporary decision to employees of the Contractor.

3.2.8. Issuance of a temporary decision to any contractor employee shall not be an assurance that OSS will grant full suitability.

3.2.9. The granting of either temporary or full suitability shall in no way prevent, preclude, or bar the later withdrawal or termination of any such suitability by the SEC.

3.3. Personal Identity Verification (PIV) Cards

The Contractor should follow the procedures listed below to obtain a PIV card for each contractor employee.

3.3.1. Conduct an initial employment screening to determine whether the prospective employee meets the Contractor’s specific hiring requirements and the contract eligibility requirements.

3.3.2. The Contractor shall present their employee to a designated enrollment station for biometric and photo capture upon notification by the COR that the SEC will sponsor the individual.

3.3.3. Applicant brings two (2) forms of government identification, one of which has a picture.

3.3.4. The CO or the COR shall have the express authority to demand return of the PIV card for any contractor employee who does not maintain compliance with the contract qualification and certification standards.

3.4. Entry on Duty Decision

3.4.1. OSS shall have and exercise full control over granting, denying, withholding, or terminating unescorted access to a Government facility and/or sensitive SEC or Government information access for Contractor employees, based upon the results of a background investigation.

3.4.2. OSS may, as it deems appropriate, authorize and make favorable entry on duty (EOD) decision based on preliminary security checks, criminal record checks, and credit history checks. The favorable EOD decision would allow the employees to commence work temporarily prior to the completion of the full investigation.

3.4.3. The Contractor shall not consider the granting of a favorable EOD decision as assurance that a full employment suitability authorization will follow as a result thereof.

3.4.4. The granting of a favorable EOD decision or a full employment suitability determination shall in no way prevent, preclude, or bar the withdrawal or termination of any such access by SEC at any time during the term of the contract.

3.4.5. The Contractor shall not allow any contract employee unescorted access to a SEC facility without a favorable EOD decision or suitability determination by OSS.

3.5. Unfavorable Determination

3.5.1. If through the suitability investigation OSS finds a contractor employee to be unsuitable to work under the contract, OSS shall immediately advise the COR and contractor employee that the employee cannot work under the contract. The Contractor shall in turn immediately remove the affected employee from the contract.

3.5.2. Under no circumstances shall a contract employee who received a notice of unfavorable (unsuitable) adjudication work under this or any SEC security force service contract.

3.5.3. Disqualifying information includes, but is not limited to the following:

3.5.3.1. Conviction of a felony, a crime of violence, or a serious misdemeanor

3.5.3.2. Possessing a record of arrests for continuing offenses

3.5.3.3. Deliberate financial irresponsibility with continuing, valid debts of significant nature

3.5.3.4. Current or recent drug use of a serious nature

3.5.3.5. Knowing and willful engagements in actions designed to overthrow the U.S.

government by force, and

3.5.3.6. Falsification of information entered on suitability background investigation forms.

3.5.4. OSS will provide the Contractor an opportunity to refute, explain, clarify, or mitigate unfavorable or derogatory information uncovered during the suitability process. Individuals receiving an ineligible determination will receive formal notification that details the reason(s) for the determination.

3.6. Favorable Determination

3.6.1. After OSS makes a favorable adjudication, the contractor employee is suitable to work under the contract. Depending on the designated public trust risk of the position, contractor employees may be investigated routinely every five (5) years; however, contractor employees are subject to continuing evaluations and may be reinvestigated at any time.

3.6.2. The Contractor shall immediately (within 12 hours of incident or notification) notify the COR and the CO in writing of any circumstances that arise which could possibly affect any contractor employee’s suitability status (e.g., arrests, convictions, and/or termination of employment by the Contractor for cause, such as misconduct or neglect of duty).

3.5.4. OSS will provide the Contractor an opportunity to refute, explain, clarify, or mitigate unfavorable or derogatory information uncovered during the suitability process. Individuals receiving an ineligible determination will receive formal not...