CFTC RFQ 9523ZY20Q0043 - Open Data Publication Tool.pdf

The U.S. Commodity Futures Trading Commission (CFTC) has a requirement for an Open Data Publication Tool.

This is a combined synopsis/solicitation for commercial items prepared in accordance with the format in FAR Subpart 12.6, as supplemented with additional information included in this notice.

This announcement constitutes the only solicitation; quotations are being requested and a written solicitation will not be issued. The solicitation number is 9523ZY-20-Q-0043. This solicitation is issued as a request for quotation (RFQ).

The solicitation document and incorporated provisions and clauses are those in effect through Federal Acquisition Circular 2020-06 effective June 5, 2020.

The applicable NAICS code is 511210, and this is a full and open competition. Size standard:

$41.5 million.

See Section II for a list of contract line item numbers and items, quantities and units of measure, (including options).

See Section I for a description of requirements for the items to be acquired: Open Data Publication Tool for CFTC

Dates and place of performance: The period of performance is a base period of 12 months and four (4) 12-month options. The place of performance (i.e. hosting) shall be at the contractor’s data center facility.

See Section III for the provision 52.212-1, INSTRUCTIONS TO OFFERORS – COMMERCIAL ITEMS and the associated addenda.

See Section III for the description of the Evaluation in lieu of provision FAR 52.212-2, EVALUATION – COMMERCIAL ITEMS.

Quoters shall complete the annual representations and certifications electronically in SAM.gov or provide a completed copy of the provision FAR 52.212-3, OFFEROR REPRESENTATIONS AND CERTIFICATIONS – COMMERCIAL ITEMS, with its quotation submission in accordance with Section III.

FAR 52.212-4, CONTRACT TERMS AND CONDITIONS – COMMERCIAL ITEMS, is applicable to this solicitation (See Section II).

FAR 52.212-5, CONTRACT TERMS AND CONDITIONS REQUIRED TO IMPLEMENT

STATUTES OR EXECUTIVE ORDERS – COMMERCIAL ITEMS, is applicable to this solicitation (See Section II). See Section II for all applicable additional terms and conditions and conditions for this solicitation.

Period for acceptance of quotations: The quoter agrees to hold the prices in its quotation firm for 120 calendar days from the date specified for receipt of quotations.

The date, time and place quotations are due: Quotations shall be submitted electronically to the Contracting Officer, Benjamin Van Wormer at bvanwormer@cftc.gov no later than July 28, 2020 at 1:00PM ET (Eastern Time).

The name and telephone number of the individual to contact for information regarding the solicitation: Benjamin Van Wormer at 202-418-5498. Questions are due in writing to bvanwormer@cftc.gov no later than July 14, 2020 at 10:00 AM ET (Eastern Time).

This request for quotation shall not be construed as a commitment of any kind.

Enclosures:

Part I – Statement of Work (SOW) Part II – Additional terms and conditions Part III – Quotation Preparation Instructions/Evaluation Criteria Attachment A Mandatory Requirements Matrix Attachment B Past Performance Questionnaire

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9523ZY20Q0043

PART I

STATEMENT OF WORK

Open Data Publication Tool for CFTC

I. PURPOSE

The Commodity Futures Trading Commission (“CFTC” or “Commission”) fosters open, transparent, competitive, and financially sound markets. By working to avoid systemic risk, the Commission aims to protect market users and their funds, consumers, and the public from fraud, manipulation, and abusive practices related to derivatives and other products that are subject to the Commodity Exchange Act (CEA). To support the effort to provide open and transparent financial markets, the Commission publishes a number of reports to help the public understand market dynamics within the Futures and Options markets, both for Traders in those markets, US and Foreign banks trading within those markets, and call cotton traded in those markets. The Commission also reports on the dynamics within the Swaps markets. These reports are all available on CFTC.gov, as reports that are reviewable and downloadable from the Commission’s website.

The Commission requires a public location where it can publish all of its public data, making the data and appropriate reporting tools available to the public for their use, increasing the markets’ transparency and enhancing the ease-of-use of that public data.

II. BACKGROUND

Congress created the Commission in 1974 as an independent agency with the mandate to regulate commodity futures and option markets in the United States. The Commission’s mandate has been renewed and expanded several times since then, most recently by the Dodd-Frank Wall Street Reform and Consumer Protection Act.

Specifically, the CFTC’s mission is to promote the integrity, resilience, and vibrancy of the U.S.

derivatives markets through sound regulation.

The Commission has published a number of reports in order to provide open and transparent financial markets. Each Friday, the Commission publishes the Commitments of Traders report, a report that provides a breakdown of each Tuesday’s open interest for futures and options on futures markets in which 20 or more traders hold positions equal to or above the reporting levels established by the CFTC.

Every Thursday, the Commission publishes the Cotton On-Call report, showing the quantity of call cotton bought or sold on which the price has not been fixed, together with the respective futures on which the purchase or sale is based. Every Wednesday, the Commission publishes the Weekly Swaps Report, which aggregates a comprehensive body of swap market data in a form that is readily usable by both market participants and the general public. Once a month, the Commission publishes the Bank Participation Report, a report of aggregate large-trader positions of US and Foreign Banks participating in various financial and non-financial commodity futures.

While the Commission has been publishing these reports for a long time, with the new OPEN Data https://www.gpo.gov/fdsys/pkg/USCODE-2015-title7/html/USCODE-2015-title7-chap1.htm https://www.gpo.gov/fdsys/pkg/USCODE-2015-title7/html/USCODE-2015-title7-chap1.htm

Government Data Act, it is the Commission’s desire to find a single location where this data can be available in a machine-readable form for the public. The Commission is seeking a Software-As-A- Service vendor who can provide a website where the Commission can publish its data and make the data available to market participants and the public.

III. REQUIREMENTS DESCRIPTION

The vendor shall provide a website, a data storage environment, and the appropriate services to meet the requirements described:

1. Site Functionality

a. The product shall provide a site to store the Commission’s public data. See Data Functionality Requirements, below.

b. The product shall provide reporting functionality for the data stored on the site. See Data Visualization Functionality, below.

c. The product shall provide functionality to allow public users to create their own accounts on the Commission’s site, to create reports from that data for their own use, and to share those reports with others. The product shall provide functionality to allow the user to:

i. manage their accounts on the site,

ii. manage the look and feel of their user page on the site,

iii. manage the reports that they created on the site, and

iv. send reports to the site manager to share with the public.

d. The product shall allow least 500 concurrent users using Commission data in the vendor's environment at any time.

e. The product shall allow the Commission to brand the provided site with the Commission’s content, including style, color, and logos.

2. Data Functionality Requirements

a. The product shall allow the Commission to store multiple datasets of public data in the environment. This functionality shall allow the Commission to store at least ten separate datasets with a minimum of 1 GB per dataset.

b. The product shall allow the Commission to update the datasets stored on the site. The product shall allow the Commission to programmatically submit the new/updated data to the product site, either through Secured FTP submission or through the product’s provided Application Programming Interface (API). The product shall support complete replacement of each dataset and shall support incremental additions to each dataset.

c. The product shall allow users to download portions of the Commission’s stored datasets, either through downloading files containing portions of the Commission’s stored datasets or through calls to the product’s provided Application Programming Interface (API).

3. Data Visualization Functionality

a. The product shall provide data visualization functionality on the site to allow the

Commission and public users to build visualizations against the stored datasets.

b. The Data Visualization tool shall provide this functionality:

i. Grid-based presentation of the data with:

1. Filtering data

2. Sorting data

ii. Graphical presentation of the data with:

1. Filtering data

2. Multiple Chart types, such as:

a. Area Charts

b. Bar Charts

c. Box Plot Charts

d. Bubble Cloud Charts

e. Heat Maps

f. Histograms

g. Marimekko (Mosaic) Charts

h. Matrix Charts

i. Pie Chart

j. Polar Area Charts

k. Tree Mapping Chart

3. Combining multiple charts into a Data Dashboard

4. Implementation Requirements

Within 60 days after contract award, the vendor shall provide configuration services to the Commission (including a mechanism for the Commission to perform an automated push of datasets to the platform). The vendor shall also support the Commission in setting up its hosted data environment with its legacy data and its branded website landing page.

5. Service Level Requirements

The product shall be available 99.99% of the time.

6. Customer Support

The vendor shall provide live support to Commission staff and contractors via internet chat and telephone at no additional cost between the hours of 9:00 a.m. and 6:00 p.m. EST/EDT Monday through Friday. The vendor shall provide automated support and internet-based help and Frequently Asked Questions (FAQ) at all other times.

7. Additional Requirements

a. The servers where the Open Data environment is hosted shall be location in the United

States.

b. CFTC will own the intellectual property rights to any reports built by the Commission on the Open Data environment.

c. The vendor shall be report any computer security incidents affecting CFTC data in accordance with the CFTC Computer Incident Response Guide.

d. The vendor shall be responsible for properly protecting the Commission’s data and the site usage’s metadata.

e. Public users shall be able to interact with the Open Data Environment using Microsoft IE version 11 or above, Microsoft Edge, or Google Chrome version 80 or above.

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PART II

ADDITIONAL TERMS AND CONDITIONS

1. CONTRACT PRICING

This is a firm-fixed price (FFP) contract. The base and option periods of the contract contain a firm-fixed-price for all services defined in Part I. The contractor shall be paid according to the following schedule.

CLIN DESCRIPTION Monthly Price Quantity

Total Firm- Fixed- Price

Funded Value

0001 FFP – Open Data Tool – Base Year 12 GOV

USE

1001 FFP – Open Data Tool – Option Year 1 12 GOV

USE

2001 FFP – Open Data Tool – Option Year 2 12 GOV

USE

3001 FFP – Open Data Tool – Option Year 3 12 GOV

USE

4001 FFP – Open Data Tool – Option Year 4 12 GOV

USE

TOTAL ORDER

FFP VALUE GOV

USE

2. PERIOD OF PERFORMANCE

The period of performance of this contract shall be from the effective date of award through one (1) year. This contract also includes four (4) one-year options for a total period of performance of five (5) years.

3. 52.217-9 - Option to Extend the Term of the Contract.

(a) The Government may extend the term of this contract by written notice to the Contractor within 30 days of contract expiration; provided that the Government gives the Contractor a preliminary written notice of its intent to extend at least 30 days before the contract expires. The preliminary notice does not commit the Government to an extension.

(b) If the Government exercises this option, the extended contract shall be considered to include this option clause.

(c) The total duration of this contract, including the exercise of any options under this clause, shall not exceed five (5) years.

4. CONTRACTING OFFICER

For the purpose of this contract, the Contracting Officer is:

Benjamin Van Wormer Commodity Futures Trading Commission Financial Management Branch 1155 21st Street, NW Washington, DC 20581 Phone: (202)418-5498 E-Mail: bvanwormer@cftc.gov

5. CONTRACTING OFFICER’S REPRESENTATIVE

For the purpose of this contract, the Contracting Officer’s Representative (“COR”) is: (to be identified at time of award)

6. ALTERNATE CONTRACTING OFFICER’S REPRESENTATIVE

The Alternate COR is authorized to perform the COR responsibilities described in this contract in instances where the COR is not available. The Alternate COR for this task order is: (to be identified at time of award)

7. TECHNICAL DIRECTION AND SURVEILLANCE

(a) Performance of work under this contract shall be subject to the surveillance and written technical direction of the COR. The term “technical direction” is defined to include:

(1) Directions to the contractor that provide clarification of the requirements described in the Requirements Description.

(2) Inspection and acceptance of deliverables completed by the contractor under this contract.

(b) The COR does not have authority to, and may not, issue any technical direction which:

(1) Assigns additional work outside the scope of work for the contract;

(2) Constitutes a change as defined in the contract clause(s) that address “changes”;

(3) In any manner causes an increase or decrease in the contract price or the time required for performance;

(4) Changes any of the expressed terms, conditions or specifications of the contract; or

(5) Interferes with the contractor’s right to perform the terms and conditions of the contract.

(c) All technical direction shall be issued in writing by the COR. The contractor shall proceed promptly with the performance of technical directions duly issued by the COR in the manner prescribed in this clause and within his/her authority under the provisions of this clause. If, in the opinion of the contractor, any instruction or direction by the COR would increase or decrease the cost of the contract or result in work outside the scope of this contract, the contractor shall not proceed but shall immediately notify the Contracting Officer in writing. It is anticipated that within 30 days of receiving the notification from the contractor, the Contracting Officer will either issue an appropriate contract modification or advise the contractor in writing that:

(1) The technical direction is rescinded in its entirety;

(2) The technical direction is within the scope of the contract, does not constitute a change as defined in the contract clause(s) that address “changes” and that the contractor should continue with the performance of the technical direction.

(d) A failure of the contractor and Contracting Officer to agree that the technical direction is within scope of the contract, or a failure to agree upon the contract action to be taken with respect thereto, shall be subject to the provisions of the “Disputes” clause of the contract.

(e) Any action(s) taken by the contractor in response to any direction given by any person other than the Contracting Officer or the COR whom the Contracting Officer shall appoint shall be at the contractor’s risk.

8. ELECTRONIC INVOICING AND PAYMENT REQUIREMENTS – iSupplier

The requirements of the Prompt Payment Act, P.L. 97-177, as reflected in the clauses incorporated into the contract (e.g., FAR clauses 52.232-25, Prompt Payment, and 52.212-4, Contract Terms and Conditions--Commercial Items) apply to this contract.

Payment requests (i.e., invoices) shall be submitted electronically through the Delphi eInvoicing system via Login.gov on a monthly basis for processing and payment. The CFTC’s Delphi eInvoicing system is managed by the Department of Transportation’s Enterprise Services Center (ESC).

Invoices shall include sufficient detail to identify the contract CLIN(s) for which the request for payment is being made. The contractor shall also complete the “Period of Performance Begin” and “Period of Performance End” fields when submitting an invoice through the eInvoicing system, corresponding to the period of performance of the submitted invoice.

Upon contract award, the contractor shall provide an invoicing point of contact to the Contracting Officer as follows:

• First and Last Name

• Email Address (not a centralized email address)

• Phone Number https://login.gov/

The contractor shall notify the Contracting Officer of changes to the above information within ten (10) days after the change.

The contractor shall access the eInvoicing System using the following link:

http://einvoice.esc.gov/

If the contractor requires assistance with the eInvoicing system, they may contact the ESC help desk:

ESC Help Desk for the Delphi eInvoicing System

• Business Hours: 8:00am to 7:00pm

• 1-866-641-3500

9. COMPLIANCE WITH THE REHABILITATION ACT OF 1973

All electronic and information technology (“EIT”) procured through this contract must meet the applicable accessibility standards at 36 CFR 1194, unless an agency exception to this requirement exists (reference 36 CFR 1194 implements Section 508 of The Rehabilitation Act of 1973, as amended (29 U.S.C. 794d).

10. COMMERCIAL SUPPLIER AGREEMENTS – UNENFORCEABLE CLAUSES

(a) “Commercial supplier agreements” means terms and conditions customarily offered to the public by vendors of supplies or services that meet the definition of “commercial item” set forth in FAR 2.101 and intended to create a binding legal obligation on the end user. Commercial supplier agreements are particularly common in information technology acquisitions, including acquisitions of commercial computer software and commercial technical data, but they may apply to any supply or service. The following terms apply–

(1) Regardless of the format or style of the document. For example, a commercial supplier agreement may be styled as standard terms of sale or lease, Terms of Service (TOS), End User License Agreement (EULA), Subscription Agreement, governing terms or another similar legal instrument or agreement, and may be presented as part of a proposal or quotation responding to a solicitation for a contract or order;

(2) Regardless of the media or delivery mechanism used. For example, a commercial supplier agreement may be presented as one or more paper documents or may appear on a computer or other electronic device screen during a purchase, software installation, other product delivery, registration for a service, or another transaction.

(b) When any supply or service acquired under this contract is subject to a commercial supplier agreement, the following language shall be deemed incorporated into the commercial supplier agreement. As used herein, “this agreement” means the commercial supplier agreement:

(1) Notwithstanding any other provision of this agreement, the following shall apply:

http://einvoice.esc.gov/

(i) Applicability. This agreement is a part of a contract between the commercial supplier and the CFTC for the acquisition of the supply or service that necessitates a license or other similar legal instrument (including, but not limited to, all contracts, task orders, and delivery orders under FAR Part 12).

(ii) End user. This agreement shall bind the CFTC as end user but shall not operate to bind a CFTC employee or person acting on behalf of the CFTC in his or her personal capacity.

(iii) Law and disputes. This agreement is governed by Federal law.

(A) Any language purporting to subject the CFTC to the laws of a U.S. state, U.S.

territory, district, or municipality, or a foreign nation, except where Federal law expressly provides for the application of such laws, is hereby deleted.

(B) Any language requiring dispute resolution in a specific forum or venue that is different from that prescribed by applicable Federal law is hereby deleted.

(C) Any language prescribing a different time period for bringing an action than that prescribed by applicable Federal law in relation to a dispute is hereby deleted.

(iv) Continued performance. The supplier or licensor shall not unilaterally revoke, terminate or suspend any rights granted to the CFTC except as allowed by this contract. If the supplier or licensor believes the CFTC to be in breach of the agreement, it shall pursue its rights under the Contract Disputes Act or other applicable Federal statute while continuing performance.

(v) Disputes. This contract is subject 41 U.S.C. chapter 71, Contract Disputes. Failure of the parties to this contract to reach agreement on any request for equitable adjustment, claim, appeal or action arising under or relating to this contract shall be a dispute to be resolved in accordance with the clause at FAR 52.233-1, Disputes, which is incorporated herein by reference. The Contractor shall proceed diligently with performance of this contract, pending final resolution of any dispute arising under the contract.

(vi) Arbitration; equitable or injunctive relief. In the event of a claim or dispute arising under or relating to this agreement, a binding arbitration shall not be used, and equitable or injunctive relief, including the award of attorney fees, costs or interest, may be awarded against the CFTC only when explicitly provided by statute (e.g., Prompt Payment Act or Equal Access to Justice Act).

(vii) Updating terms.

(A) After award, the contractor may unilaterally revise commercial supplier agreement terms if they are not material. A material change is defined as:

(I) Terms that change CFTC rights or obligations;

(II) Terms that increase CFTC prices;

(III) Terms that decrease overall level of service; or

(IV) Terms that limit any other CFTC right addressed elsewhere in this contract.

(B) For revisions that will materially change the terms of the contract, the revised commercial supplier agreement must be incorporated into the contract using a bilateral modification.

(C) Any agreement terms or conditions unilaterally revised subsequent to award that are inconsistent with any material term or provision of this contract shall not be enforceable against the CFTC, and the CFTC shall not be deemed to have consented to them.

(viii) No automatic renewals. If any license or service tied to periodic payment is provided under this agreement (e.g., annual software maintenance or annual lease term), such license or service shall not renew automatically upon expiration of its current term without prior express consent by an authorized CFTC representative.

(ix) Indemnification and Unauthorized Obligations.

(A) When any supply or service acquired under this contract is subject to any commercial supplier agreement that includes any language, provision, or clause requiring the Government to directly or indirectly indemnify the Contractor or any person or entity for damages, costs, fees, or any other loss or liability or similar that would or reasonably could create an Anti-Deficiency Act violation (31 U.S.C.

1341), any such language, provision, or clause is unenforceable against the Government, and will be treated as if those terms were deleted and do not otherwise exist.

(B) Any clause of this agreement requiring the commercial supplier or licensor to defend or indemnify the end user is hereby amended to provide that the CFTC and/or the U.S. Department of Justice has the sole right to represent the United States in any such action, in accordance with 28 U.S.C.

516.

(x) Audits. Any clause of this agreement permitting the commercial supplier or licensor to audit the end user’s compliance with this agreement is hereby amended as follows:

(A) Discrepancies found in an audit may result in a charge by the commercial supplier or licensor to the CFTC. Any resulting invoice must comply with the proper invoicing requirements specified in the underlying CFTC contract or order.

(B) This charge, if disputed by the CFTC, will be resolved in accordance with subparagraph (v) (Disputes); no payment obligation shall arise on the part of the CFTC until the conclusion of the dispute process.

(C) Any audit requested by the contractor will be performed at the contractor's expense, without reimbursement by the CFTC.

(D) Any contractor requesting a right to audit CFTC’s end user compliance must provide

CFTC 30 days prior written notice before being permitted to conduct any on-site audit.

(xi) Taxes or surcharges. Any taxes or surcharges which the commercial supplier or licensor seeks to pass along to the CFTC as end user will be governed by the terms of the underlying CFTC contract or order and, in any event, must be submitted to the Contracting Officer for a determination of applicability prior to invoicing unless specifically agreed to otherwise in the CFTC contract.

(xii) Non-assignment. This agreement may not be assigned, nor may any rights or obligations thereunder be delegated, without the CFTC’s prior approval, except as expressly permitted under the clause at FAR 52.212-4, Contract Terms and Conditions-Commercial Items, which is incorporated herein by reference.

(xiii) Confidential information. If this agreement includes a confidentiality clause, such clause is hereby removed. Issues regarding release of “unit pricing” will be resolved consistent with the Freedom of Information Act.

11. INSPECTION AND ACCEPTANCE

Inspection and acceptance of items delivered under this contract shall be performed by the COR.

Delivery of any and all items under this contract shall be shipped F.O.B. destination.

12. LIABILITY

The Contractor shall be responsible for all liabilities which result from willful misconduct, gross negligence, or lack of good faith on the part of any of its officers and employees. Such liability is limited to the total dollar value of this contract.

13. PRIVACY ACT COMPLIANCE

The contractor and contractor personnel shall store, use, maintain, share and dispose of personally identifying information it receives under this contract in accordance with the Privacy Act of 1974 (5 USC §552a) and its implementing Federal regulations.

14. ORGANIZATIONAL CONFLICTS OF INTEREST

(a) The contractor warrants that to the best of its knowledge and belief, and except as otherwise disclosed, it does not have any organizational conflict of interest, which is defined in FAR Subpart 9.5 as a situation in which the nature of work under a Government contract and a contractor’s organizational, financial, contractual or other interests are such that:

1. Award of the contract may result in an unfair competitive advantage; or

2. The contractor’s objectivity in performing the contract work is or might be otherwise may be impaired.

(b) The contractor agrees that if after award it discovers an organizational conflict of interest with respect to this contract, it shall make an immediate and full disclosure in writing to the

Contracting Officer, which shall include a description of the action(s) that the contractor has taken or intends to take to mitigate, eliminate, or neutralize the conflict.

(c) The provisions of this clause shall be included in all subcontracts and consulting agreements wherein the work to be performed is similar to the service provided by the prime contractor under this contract.

The contractor shall include in such subcontracts and consulting agreements any necessary provisions to mitigate, eliminate, or neutralize organizational conflicts of interest.

(d) The Contracting Officer has determined, however, that the nature of the work to be performed under this contract may give rise to potential perceived or actual organizational conflicts of interest in future CFTC contracts. Accordingly, the contractor and CFTC have agreed to the following conditions:

1. The contractor shall not be required to develop specifications or statements of work that are to be incorporated into any CFTC solicitation; and

2. The contractor shall not be provided any Government cost estimates, source-selection information, or third-party proprietary technical or cost data.

(e) Additionally, the contractor understands that for any related follow-on contract, it may be required to provide a statement which describes concisely all relevant facts concerning any past, present or planned interest (financial, contractual, organizational, or otherwise) relating to the work to be performed under the proposed contract and bearing on whether the offeror has a possible organizational conflict of interest with respect to:

1. Being able to render impartial and objective assistance or advice; or

2. Being given an unfair competitive advantage. The offeror may also provide relevant facts that show how its organizational structure and/or management systems limit its knowledge of possible organizational conflicts of interest relating to other divisions or sections of the organization and how that structure or system would avoid or mitigate such actual or perceived organizational conflict.

The contractor understands that no award shall be made until any potential conflict of interest has been neutralized or mitigated to the satisfaction of the Contracting Officer, or unless a waiver has been granted.

15. NON-DISCLOSURE OF CONFIDENTIAL – OPEN DATA TOOL

(a) As used in this clause, “confidential information” means information obtained during performance of the contract that is private or confidential in nature, and which is not meant for public disclosure.

Examples of “confidential information” include, but are not limited to, investigatory materials, sensitive or proprietary procurement, business, technical, financial or personally identifiable information (PII) belonging to the Government, other companies or individuals in paper or electronic form, including but not limited to home addresses or personal contact information, full or partial social security numbers, credit card numbers, date of birth, passport numbers, employee performance or evaluation information, or any information related to a security adjudication of any CFTC employee or contractor.

(b) Procurement confidential information may be disclosed only to CFTC and contractor personnel directly concerned with the performance of the contract and who have a need to know such information to perform their assigned duties. It may be disclosed to no other parties, including CFTC and contractor personnel that do not have a need to know, and any and all other non-CFTC parties. Procurement confidential information includes but is not limited to information contained on CFTC requisitions and the documents attached thereto; Independent Government Cost Estimates and budgets pertaining to acquisitions and existing CFTC contracts; the content of existing CFTC contracts, whether derived directly from the contract itself or from other sources; contractor bid and proposal information, including technical and cost/price information; the number of bids or proposals received in response to solicitations; the content of CFTC Technical Evaluation Plans and Source Selection Plans; technical and cost or price evaluations of proposals; competitive range and phase 2 determinations; ranking of bids, proposals or competitors; reports and evaluations of source selection panels, boards, and advisory councils; and other information marked “Source Selection Information.”

(c) Pursuant to the Commodity Exchange Act, as amended (7 U.S.C. § 1, et. seq.), other laws and the terms and conditions of this contract, the contractor agrees to use confidential information only for the purposes of performing work under this contract, and to otherwise hold such information confidential.

The contractor shall not directly or indirectly use or allow the use of or access to confidential information for any purpose other than that directly associated with officially assigned duties, and shall not, either by direct action or by counsel, discussion, recommendation, or suggestion to any third party, reveal the nature or content of any confidential information. The contractor shall take appropriate steps to secure both paper and computer files and access to same to protect confidential information, shall lock paper records in cabinets or offices when not in use, shall only electronically transmit confidential information in encrypted form in compliance with CFTC policies and procedures, and shall dispose of paper records by shredding or similar means of secure destruction.

(d) If disclosure of confidential information to a third party is determined to be necessary by the Commission, the contractor shall first obtain written authorization from the Contracting Officer prior to disclosing the confidential information. The contractor shall continue to comply with this clause after expiration of this contract.

(e) The contractor and contractor personnel shall store, use, maintain, share and dispose of personally identifying and/or confidential information it receives under this contract in accordance with the Privacy Act of 1974, 5 U.S.C. § 552a, and its implementing Federal regulations, to include the Federal Information Security Management Act (FISMA), 44 U.S.C. § 3541 et seq., the Procurement Integrity Act, 41 U.S.C. § 423 as amended. The contractor shall use administrative, technical and physical security measures to protect CFTC confidential information from unauthorized access, disclosure and misuse. The contractor’s staff with access to confidential information shall comply with CFTC policies, procedures and guidelines related to information security and privacy, namely the policies entitled Safeguarding Personally Identifiable Information and the IT Rules of Behavior. The contractor staff with access to PII shall annually attend the Commission’s mandatory privacy and security training program and participate in other CFTC training programs as requested.

(f) Within thirty (30) days of the conclusion of all services under the contract, the contractor shall securely destroy or return to the CFTC all CFTC confidential information, at the CFTC’s election, except that the contractor may retain one (1) copy of records related to the procurement process and written deliverables if necessary for the contractor’s recordkeeping purposes. If the CFTC elects for the contractor to destroy the CFTC confidential information, the contractor shall confirm secure destruction in writing within thirty (30) days of the CFTC’s request.

(g) In the event of an incident involving the loss, compromise or unauthorized disclosure, real or potential, of PII, the contractor shall report the incident to the COR immediately and no later than one

(1) hour upon discovery of the incident, and if the COR cannot be immediately reached, to the CFTC Chief Information Security Officer and Chief Privacy Officer. In the event of an incident involving the loss, compromise or unauthorized disclosure, real or potential, of procurement confidential information, the contractor shall report the incident to the Contracting Officer and COR immediately and no later than one (1) hour upon discovery of the incident. The contractor shall cooperate with CFTC personnel in handling any investigation of the incident and mitigating risks of similar future incidents.

16. NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE

The following clauses are hereby incorporated by reference (by Citation Number, Title, and Date) into the contract, with the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available. Also, the full text of clauses incorporated by reference may be accessed electronically at this Internet address: http://www.acquisition.gov/far

NUMBER TITLE DATE

52.203-3 GRATUITIES APR 1984

52.203-17 CONTRACTOR EMPLOYEE WHISTLEBLOWER RIGHTS

AND REQUIREMENT

TO INFORM EMPLOYEES OF WHISTLEBLOWER

RIGHTS

APR 2014

52.204-4 PRINTED OR COPIED DOUBLE-SIDED ON RECYCLED

PAPER

MAY 2011

52.204-13 SYSTEM FOR AWARD MANAGEMENT MAINTENANCE OCT 2018

52.204-18 COMMERCIAL AND GOVERNMENT ENTITY CODE

MAINTENANCE

JULY 2016

52.212-4 CONTRACT TERMS AND CONDITIONS – COMMERCIAL

ITEMS

OCT 2018

52.224-1 PRIVACY ACT NOTIFICATION APR 1984

52.224-2 PRIVACY ACT APR 1984

52.227-17 RIGHTS IN DATA – SPECIAL WORKS DEC 2007

52.232-40 PROVIDING ACCELERATED PAYMENTS TO SMALL

BUSINESS

SUBCONTRACTORS

DEC 2013

http://www.acquisition.gov/far

17. 52.212-5 Contract Terms and Conditions Required to Implement Statutes or Executive Orders-Commercial Items (Jun 2020)

(a) The Contractor shall comply with the following Federal Acquisition Regulation (FAR) clauses, which are incorporated in this contract by reference, to implement provisions of law or Executive orders applicable to acquisitions of commercial items:

(1) 52.203-19, Prohibition on Requiring Certain Internal Confidentiality Agreements or Statements (JAN 2017) (section 743 of Division E, Title VII, of the Consolidated and Further Continuing Appropriations Act, 2015 (Pub. L. 113-235) and its successor provisions in subsequent appropriations acts (and as extended in continuing resolutions)).

(2) 52.204-23, Prohibition on Contracting for Hardware, Software, and Services Developed or Provided by Kaspersky Lab and Other Covered Entities (JUL 2018) (Section 1634 of Pub. L. 115-91).

(3) 52.204-25, Prohibition on Contracting for Certain Telecommunications and Video Surveillance Services or Equipment. (AUG 2019) (Section 889(a)(1)(A) of Pub. L. 115-232).

(4) 52.209-10, Prohibition on Contracting with Inverted Domestic Corporations (NOV 2015).

(5) 52.233-3, Protest After Award (AUG 1996) (31 U.S.C. 3553).

(6) 52.233-4, Applicable Law for Breach of Contract Claim (OCT 2004) (Public Laws 108-77 and 108-78 (19 U.S.C. 3805note)).

(b) The Contractor shall comply with the FAR clauses in this paragraph (b) that the Contracting Officer has indicated as being incorporated in this contract by reference to implement provisions of law or Executive orders applicable to acquisitions of commercial items:

[Contracting Officer check as appropriate.]

_X_ (1) 52.203-6, Restrictions on Subcontractor Sales to the Government (JUNE 2020), with Alternate I (OCT 1995) (41 U.S.C. 4704 and 10 U.S.C. 2402).

__ (2) 52.203-13, Contractor Code of Business Ethics and Conduct (JUN 2020) (41 U.S.C. 3509)).

__ (3) 52.203-15, Whistleblower Protections under the American Recovery and Reinvestment Act of 2009 (JUN 2010) (Section 1553 of Pub. L. 111-5). (Applies to contracts funded by the American Recovery and Reinvestment Act of 2009.)

_X_ (4) 52.204-10, Reporting Executive Compensation and First-Tier Subcontract Awards (JUN 2020) (Pub. L. 109-282) (31 U.S.C. 6101 note).

__ (5) [Reserved].

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__ (6) 52.204-14, Service Contract Reporting Requirements (OCT 2016) (Pub. L. 111-117, section 743 of Div. C).

__ (7) 52.204-15, Service Contract Reporting Requirements for Indefinite-Delivery Contracts (OCT 2016) (Pub. L. 111-117, section 743 of Div. C).

_X_ (8) 52.209-6, Protecting the Government’s Interest When Subcontracting with Contractors Debarred, Suspended, or Proposed for Debarment. (JUN 2020) (31 U.S.C. 6101note).

_X_ (9) 52.209-9, Updates of Publicly Available Information Regarding Responsibility Matters (OCT 2018) (41 U.S.C. 2313).

__ (10) [Reserved].

__ (11) (i) 52.219-3, Notice of HUBZone Set-Aside or Sole-Source Award (MAR 2020) (15 U.S.C.657a).

__ (ii) Alternate I (MAR 2020) of 52.219-3.

_X_ (12) (i) 52.219-4, Notice of Price Evaluation Preference for HUBZone Small Business Concerns (MAR 2020) (if the offeror elects to waive the preference, it shall so indicate in its offer) (15 U.S.C. 657a).

__ (ii) Alternate I (MAR 2020) of 52.219-4.

__ (13) [Reserved]

__ (14) (i) 52.219-6, Notice of Total Small Business Set-Aside (MAR 2020) (15 U.S.C.644).

__ (ii) Alternate I (MAR 2020).

__ (15) (i) 52.219-7, Notice of Partial Small Business Set-Aside (MAR 2020) (15 U.S.C. 644).

__ (ii) Alternate I (MAR 2020) of 52.219-7.

_X_ (16) 52.219-8, Utilization of Small Business Concerns (OCT 2018) (15 U.S.C. 637(d)(2) and (3)).

_X_ (17) (i) 52.219-9, Small Business Subcontracting Plan (JUN 2020) (15 U.S.C. 637(d)(4)).

__ (ii) Alternate I (NOV 2016) of 52.219-9.

__ (iii) Alternate II (NOV 2016) of 52.219-9.

__ (iv) Alternate III (JUN 2020) of 52.219-9.

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__ (v) Alternate IV (JUN 2020) of 52.219-9.

__ (18) 52.219-13, Notice of Set-Aside of Orders (MAR 2020) (15 U.S.C. 644(r)).

__ (19) 52.219-14, Limitations on Subcontracting (MAR 2020) (15 U.S.C.637(a)(14)).

__ (20) 52.219-16, Liquidated Damages-Subcontracting Plan (JAN 1999) (15 U.S.C. 637(d)(4)(F)(i)).

__ (21) 52.219-27, Notice of Service-Disabled Veteran-Owned Small Business Set- Aside (MAR 2020) (15 U.S.C. 657f).

_X_ (22) (i) 52.219-28, Post Award Small Business Program Rerepresentation (MAR 2020) (15 U.S.C. 632(a)(2)).

(ii) Alternate I (MAR 2020) of 52.219-28.

__ (23) 52.219-29, Notice of Set-Aside for, or Sole Source Award to, Economically Disadvantaged Women-Owned Small Business Concerns (MAR 2020) (15 U.S.C. 637(m)).

__ (24) 52.219-30, Notice of Set-Aside for, or Sole Source Award to, Women-Owned Small Business Concerns Eligible Under the Women-Owned Small Business Program (Mar 2020) (15 U.S.C. 637(m)).

__ (25) 52.219-32, Orders Issued Directly Under Small Business Reserves (MAR 2020) (15 U.S.C. 644(r)).

__ (26) 52.219-33, Nonmanufacturer Rule (MAR 2020) (15 U.S.C. 637(a)(17)).

_X_ (27) 52.222-3, Convict Labor (JUN 2003) (E.O.11755).

__ (28) 52.222-19, Child Labor-Cooperation with Authorities and Remedies (JAN 2020) (E.O.13126).

_X_ (29) 52.222-21, Prohibition of Segregated Facilities (APR 2015).

_X_ (30) (i) 52.222-26, Equal Opportunity (SEP 2016) (E.O.11246).

__ (ii) Alternate I (FEB 1999) of 52.222-26.

_X_ (31) (i) 52.222-35, Equal Opportunity for Veterans (JUN 2020) (38 U.S.C. 4212).

__ (ii) Alternate I (JUL 2014) of 52.222-35.

_X_ (32) (i) 52.222-36, Equal Opportunity for Workers with Disabilities (JUN 2020) (29 U.S.C.793).

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__ (ii) Alternate I (JUL 2014) of 52.222-36.

_X_ (33) 52.222-37, Employment Reports on Veterans (JUN 2020) (38 U.S.C. 4212).

_X_ (34) 52.222-40, Notification of Employee Rights Under the National Labor Relations Act (DEC 2010) (E.O. 13496).

_X_ (35) (i) 52.222-50, Combating Trafficking in Persons (JAN 2019) (22 U.S.C. chapter 78 and E.O. 13627).

__ (ii) Alternate I (MAR 2015) of 52.222-50 (22 U.S.C. chapter78 and E.O. 13627).

_X_ (36) 52.222-54, Employment Eligibility Verification (OCT 2015). (Executive Order 12989). (Not applicable to the acquisition of commercially available off-the-shelf items or certain other types of commercial items as prescribed in 22.1803.)

__ (37) (i) 52.223-9, Estimate of Percentage of Recovered Material Content for EPA– Designated Items (May 2008) (42 U.S.C. 6962(c)(3)(A)(ii)). (Not applicable to the acquisition of commercially available off-the-shelf items.)

__ (ii) Alternate I (MAY 2008) of 52.223-9 (42 U.S.C. 6962(i)(2)(C)). (Not applicable to the acquisition of commercially available off-the-shelf items.)

__ (38) 52.223-11, Ozone-Depleting Substances and High Global Warming Potential Hydrofluorocarbons (Jun 2016) (E.O. 13693).

__ (39) 52.223-12, Maintenance, Service, Repair, or Disposal of Refrigeration Equipment and Air Conditioners (JUN 2016) (E.O. 13693).

__ (40) (i) 52.223-13, Acquisition of EPEAT®-Registered Imaging Equipment (JUN 2014) (E.O.s 13423 and 13514).

__ (ii) Alternate I (OCT 2015) of 52.223-13.

__ (41) (i) 52.223-14, Acquisition of EPEAT®-Registered…