Combined Synopsis Solicitation_50310222R0002.pdf

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The United States Securities and Exchange Commission (SEC), 100 F Street, NE, Washington, DC 20549, intends to procure a subscription for financial data sources.

NOTE: The SEC has a preference for Commercial Off The Shelf (COTS) subscription. The SEC is not seeking a subscription product that requires development. Additionally, all offerors must have an active registration in the System for Award Management (www.sam.gov) by the proposal submission deadline.

(i) This is a combined synopsis/solicitation for commercial items prepared in accordance with the format in Federal Acquisition Regulation (FAR) Subpart 12.6, as supplemented with additional information included in this notice. This announcement constitutes the only solicitation; proposals are being requested and a written solicitation will not be issued. It is the offeror's responsibility to monitor this site for the release of amendments (if any).

(ii) The solicitation number is 50310222R0002 and is issued as a Request for Proposals (RFP).

(iii) This solicitation document and incorporated provisions and clauses are those in effect through Federal Acquisition Circular (FAC) 2022-02, effective January 14, 2022. Provisions and clauses incorporated by reference have the same force and effect as if they were given in full text.

(iv) The North American Industry Classification System (NAICS) code for this acquisition is 519190 and the small business size standard is $30,000,000.00. This combined synopsis/solicitation is issued unrestricted.

(v) Listing of line item numbers with period of performance:

DESCRIPTION PERIOD OF PERFORMANCE

BASE PERIOD

Subscription to financial data sources information in accordance with Attachment 1 – SEC Requirements List.

April 1, 2022 – March 31, 2023

OPTION PERIOD I

Subscription to financial data sources information in accordance with Attachment 1 – SEC Requirements List.

April 1, 2023 – March 31, 2024

OPTION PERIOD II

Subscription to financial data sources information in accordance with Attachment 1 – SEC Requirements List.

April 1, 2024 – March 31, 2025

OPTION PERIOD III

Subscription to financial data sources information in accordance with Attachment 1 – SEC Requirements List.

April 1, 2025 – March 31, 2026

OPTION PERIOD IV

Subscription to financial data sources information in accordance with Attachment 1 – SEC Requirements List.

April 1, 2026 – March 31, 2027

(vi) Description of requirements: see Attachment 1 – SEC Requirements List for a full description.

(vii) Period of performance: The SEC is requesting proposal for a Base Period of 12 months, and four Option Periods of 12 months each. Place of Delivery: electronic subscription.

(viii) The provisions at FAR 52.212-1, Instructions to Offerors – Commercial Items (NOV 2021), applies to this acquisition. The following addenda applies to this acquisition:

http://farsite.hill.af.mil/reghtml/regs/far2afmcfars/fardfars/far/12.htm#P292_49018

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The SEC is requesting a written technical proposal, a written price proposal and a technical demonstration to be presented to the SEC via WebEx. Below are instructions for responding to this solicitation:

Technical Proposal: Offerors shall submit a written technical proposal that describes the ability to meet the SEC’s requirements in accordance with Attachment 1 – Requirements List. Additionally, Offerors shall submit Attachment 2 – Requirements Matrix Checklist in which your company indicates whether or not your company meets each requirement. Offerors shall also submit any applicable License agreement and/or terms of service (TOS) agreement to the SEC for review. Any exceptions, deviations or conditional assumptions to the requirements of the solicitation must be clearly stated and explained within the first two pages of the technical proposal. Note: the SEC is reserving the right to make either a single award to one offeror for all requirements, or multiple awards to different contractors for specific requirements if determined in the best interest of the SEC. Therefore, Offerors do not need to meet all technical requirements to submit a response for this acquisition; however, Offerors must clearly indicate on Attachment 2 which requirements they meet and which requirements they do not meet.

Price Proposal: The SEC requests a firm fixed price proposal that provides a separate price for the Base Period and each of the four Option Periods. Offerors shall submit Attachment 3 to provide a price breakdown for each element of the SEC requirements that is being proposed. The pricing shall be inclusive of all fees. The SEC requests all available price discounts. The price proposal must also provide the offeror’s Dun and Bradstreet number (DUNs) and must confirm that the offeror has active registration in the System Award Management (www.sam.gov).

Proposal Submission Deadline: Offerors shall submit both the written technical and price proposals electronically to garrettj@sec.gov no later than 3:00 PM ET, February 22, 2022. All questions for this solicitation shall be submitted to garrettj@sec.gov no later than 3:00 PM ET, February 10, 2022. Oral questions (telephone) will not be addressed. The SEC’s responses to questions will be posted on SAM.gov.

Technical Demonstration: Offerors shall provide a gratuitous demonstration to show capability to meet the requirements in Attachment 1. The product demonstration shall be provided via WebEx and the tentative date for demonstrations is February 28th, 2022 (subject to change depending on SEC availability). The demonstration shall be no longer than 60 minutes with the last 15 minutes reserved for questions from the SEC. Offerors will be sent a meeting invitation for the demonstration after submission of written proposals.

(ix) The provision at FAR 52.212-2, Evaluation – Commercial Items (NOV 2021) applies to this acquisition. The SEC will evaluate will use the following two factors to evaluate proposals which are of equal importance:

1. Technical Capability

2. Price

Technical Capability will be evaluated based upon the offeror’s demonstrated ability to meet the SEC’s requirements. Both the offeror’s written technical proposal and Webex Demonstration will be used by the SEC to evaluate Technical Capability. Note: the SEC is reserving the right to make multiple awards for this acquisition. Therefore, it is possible for the SEC to make award to a contractor for specific requirements even if they do not meet all of the requirements.

Price will be evaluated for reasonableness and competitiveness. An offeror’s pricing may be compared to government costs estimates, pricing received during market research, historical pricing from past http://www.sam.gov/

Page 3 of 7 50310222R0002 contracts, and pricing received from other offerors for this solicitation. The SEC will evaluate pricing based upon the value of the aggregated pricing for the Base Period and all Option Periods and the SEC may evaluate and compare pricing for each individual requirement outlined in Attachment 3 and/or comparison for cumulative value of all requirements. The SEC may award to other than the lowest priced Offeror or highest technically rated Offeror when in the best interest of the Government.

The SEC reserves the right to hold discussions with offerors and reserves the right to make award without holding discussions. Additionally, the SEC reserves the right to make a single award to one offeror for all requirements or multiple awards to different offerors for specific requirements if determined in the best interest of the SEC. The SEC also reserves the right to make no award resulting from this solicitation.

(End of provision)

(x) The offeror shall include a completed copy of the provision at 52.212-3, Offeror Representations and Certification –Commercial Items (NOV 2021), with its offer. An offeror shall complete only paragraphs (b) of this provision if the offeror has completed the annual representations and certifications electronically via http://www.acquisition.gov . If an offeror has not completed the annual representations and certifications electronically at the System for Award Management (SAM) website, the offeror shall complete only paragraphs (c) through (o) of this provision.

(xi) FAR clause 52.212-4, Contract Terms and Conditions –Commercial Items (NOV 2021), applies to this acquisition.

(xii) FAR clause 52.212-5, Contract Terms and Conditions Required to Implement Statutes or Executive Orders –Commercial Items (JAN 2022) applies to this acquisition. In Section b, the following clauses apply:

• 52.203-6, Restrictions on Subcontractor Sales to the Government (Jun 2020), with Alternate I (Oct

1995)

• 52.203-13, Contractor Code of Business Ethics and Conduct (NOV 2021)

• 52.204-10, Reporting Executive compensation and First-Tier Subcontract Awards (Jun 2020)

• 52.209-6, Protecting the Government’s Interest When Subcontracting with Contractors Debarred, Suspended, or Proposed for Debarment (NOV 2021)

• 52.209-9, Updates of Publicly Available Information Regarding Responsibility Matters (OCT 2018)

• 52.219-4, Notice of Price Evaluation Preference for HUBZone Small Business Concerns (SEP 2021)

• 52.219-8, Utilization of Small Business Concerns (Oct 2018)

• 52.219-9, Small Business Subcontracting Plan (NOV 2021)

• 52.219-16, Liquidated Damages-Subcontracting Plan (SEP 2021)

• 52.219-28, Post Award Small Business Program Rerepresentation (SEP 2021)

• 52.222-3, Convict Labor (June 2003)

• 52.222-21, Prohibition of Segregated Facilities (Apr 2015)

• 52.222-26, Equal Opportunity (Sep 2016)

• 52.222-35, Equal Opportunity for Veterans (Jun 2020)

• 52.222-36, Equal Opportunity for Workers with Disabilities (Jun 2020)

• 52.222-37, Employment Reports on Veterans (Jun 2020)

• 52.222-40, Notification of Employee Rights Under the National Labor Relations Act (Dec 2010)

• 52.222-50, Combating Trafficking in Persons (NOV 2021)

• 52.223-18, Encouraging Contractor Policies to Ban Text Messaging while Driving (Jun 2020)

• 52.225-13, Restrictions on Certain Foreign Purchases (Feb 2021) http://www.acquisition.gov/

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• 52.229-12, Tax on Certain Foreign Procurements (FEB 2021)

• 52.232-33, Payment by Electronic Funds Transfer— System for Award Management (Oct 2018)

• 52.242-5, Payments to Small Business Subcontractors (JAN 2017)

(xiii)The following additional terms and conditions are applicable to this acquisition:

FAR Clauses Incorporated By Reference:

FAR 52.204-13 - System for Award Management Maintenance (OCT 2018) FAR 52.204-18 - Commercial and Government Entity Code Maintenance (AUG 2020) FAR 52.232-40 - Providing Accelerated Payments to Small Business Subcontractors (NOV 2021)

FAR 52.217-8 Option to Extend Services (NOV 1999) The Government may require continued performance of any services within the limits and at the rates specified in the contract. These rates may be adjusted only as a result of revisions to prevailing labor rates provided by the Secretary of Labor. The option provision may be exercised more than once, but the total extension of performance hereunder shall not exceed 6 months. The Contracting Officer may exercise the option by written notice to the Contractor within contract performance.

FAR 52.217-9 Option to Extend the Term of the Contract (MAR 2000)

(a) The Government may extend the term of this contract by written notice to the Contractor at any time within the period of performance provided that the Government gives the Contractor a preliminary written notice of its intent to extend 7 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 60 months.

FAR 52.252-2 Clauses Incorporated by Reference (Feb 1998) This contract incorporates one or more clauses by reference, 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 a clause may be accessed electronically at this/these address(es):https://www.acquisition.gov/?q=browsefar

Applicable SEC instructions:

5003.05 SUBMISSION OF INVOICES - DELPHI EINVOICING SYSTEM (JANUARY 2022)

a. A Securities and Exchange Commission COR has been designated for administration and information relating to this contract. The SEC may also assign one or more Alternate CORs for this contract. The COR may not re-delegate his or her authority; only the CO has this authority. A COR Appointment Letter (and ACOR Appointment Letter if applicable) detailing the designations will be e-mailed to the contractor.

b. The COR will manage the contract in coordination with the CO and within the terms of the contract.

The COR's responsibilities include reviewing invoices and charges by the Contractor, informing the CO of areas where exceptions are taken, and accepting or rejecting invoices in the SEC's financial system.

The COR shall be the primary point of contact responsible for communicating administrative guidance for on-boarding and off-boarding of Contractor Personnel, mandatory trainings, government closures, and other events as necessary. Unless otherwise specified in this contract, inspection and acceptance of supplies and/or services to be furnished under this contract will be performed by the COR.

https://www.acquisition.gov/?q=browsefar

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c. Only the CO has the authority to change the terms and conditions of this contract. The COR may request a contract modification, but the CO will make the final determination. The COR may not agree to or issue a change to the contract terms and conditions. In the event the Contractor effects changes to the contract at the direction of any person other than the CO, the changes will be considered to have been made without any authority and no adjustments will be made to the contract.

5004.00 APPOINTMENT OF CONTRACTING OFFICER'S REPRESENTATIVE (COR)

(JANUARY 2022)

a. A Securities and Exchange Commission COR has been designated for administration and information relating to this contract. The SEC may also assign one or more Alternate CORs for this contract. The COR may not re-delegate his or her authority; only the CO has this authority. A COR Appointment Letter (and ACOR Appointment Letter if applicable) detailing the designations will be e-mailed to the contractor.

b. The COR will manage the contract in coordination with the CO and within the terms of the contract.

The COR's responsibilities include reviewing invoices and charges by the Contractor, informing the CO of areas where exceptions are taken, and accepting or rejecting invoices in the SEC's financial system.

The COR shall be the primary point of contact responsible for communicating administrative guidance for on-boarding and off-boarding of Contractor Personnel, mandatory trainings, government closures, and other events as necessary. Unless otherwise specified in this contract, inspection and acceptance of supplies and/or services to be furnished under this contract will be performed by the COR.

c. Only the CO has the authority to change the terms and conditions of this contract. The COR may request a contract modification, but the CO will make the final determination. The COR may not agree to or issue a change to the contract terms and conditions. In the event the Contractor effects changes to the contract at the direction of any person other than the CO, the changes will be considered to have been made without any authority and no adjustments will be made to the contract.

6002.00 Type of Contract (JANUARY 2022)

This is a firm-fixed price type contract.

6012.02 SEC 508 Requirements (JANUARY 2022)

a. Pursuant to Section 508 of the Rehabilitation Act of 1973 (29 U.S.C. 794d), as amended by the

Workforce Investment Act of 1998, all Information and Communication Technology (ICT) products and services developed, acquired, maintained, and/or used under this contract/order must comply with the Information and Communication Technology Accessibility Provisions set forth by the Architectural and Transportation Barriers Compliance Board (also referred to as the “Access Board”) in FAR 39.203(a). The complete text of Section 508 Final Provisions can be accessed at Section 508 Law.

b. All ICT products must comply with the following requirements. Descriptions of the requirements are viewable at the link Section 508 Standards.

c. Offerors that fail to demonstrate compliance with the above requirements, may be eliminated from further consideration for award.

d. The offeror shall indicate for each line item in the schedule whether each product or service is compliant or non-compliant with the accessibility requirements at 36 CFR 1194 using a Voluntary Product Accessibility Template (VPAT 2.4). Further, the solicitation response must indicate where full details of compliance can be found (e.g., vendor’s website or other exact location).

https://www.govinfo.gov/content/pkg/USCODE-2011-title29/html/USCODE-2011-title29-chap16-subchapV-sec794d.htm https://www.access-board.gov/ https://www.acquisition.gov/content/39203-applicability https://www.access-board.gov/guidelines-and-standards/communications-and-it/about-the-ict-refresh/corrections-to-the-ict-final-rule https://www.access-board.gov/guidelines-and-standards/communications-and-it/about-the-ict-refresh/corrections-to-the-ict-final-rule https://www.access-board.gov/guidelines-and-standards/communications-and-it/about-the-ict-refresh/final-rule/text-of-the-standards-and-guidelines https://www.itic.org/policy/accessibility/vpat https://www.itic.org/policy/accessibility/vpat

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e. Offerors to this solicitation must provide any additional detailed information necessary for determining applicable Section 508 standards conformance. If an offeror claims its products and/or services, including ICT deliverables such as electronic documents, web content or electronic reports, meet applicable Section 508 standards, and it is later determined by the Government – i.e., after award of a contract/order, that products and/or services delivered do not conform to the described accessibility, remediation of the products and/or services to the level of conformance specified in the contract will be the responsibility of the offeror at its expense.

6014.00 Use of Contractor Data and/or Materials (JANUARY 2022) The Contractor acknowledges and agrees to the following: The SEC anticipates using the data and/or materials to conduct analyses for use in reports, studies, memoranda, and presentations. The SEC anticipates the following types of situation where analyses based on underlying data may be made public:

by the SEC itself (E.g., SEC rulemaking and/or analysis done as part of an inspection or enforcement action), by SEC staff where the SEC is directing or facilitating the publication (e.g., a staff study in response to a Congressional request), by SEC staff facilitating their own private publication where the Commission has not taken a position regarding the publication of the analysis(e.g., a research report to be submitted by the individual staff to an academic conference or journal), and a former employee of the SEC who has substantially completed the analysis while on staff and is facilitating his/her own private publication( e.g., a research report to be submitted to an academic conference or journal). In all of these situations, only “insubstantial amounts” of the licensed data and/or material would be made public and no raw data would be made public, the authors would agree to abide by all contractual terms and conditions, and as the owner/licensor of the data the Contractor would receive attribution and be cited as the data source. “Insubstantial amounts” means an amount that has no independent commercial value and could not be used as a substitute for the service or product or any part of it.

6018.00 Contractor Performance Evaluation (JANUARY 2022)

a. In accordance with FAR 42.1502, the SEC will submit an electronic record of the Contractor’s performance to the Contractor Performance Assessment Reporting System (CPARS) for processing at least annually and at the time the work under a contract or order is completed.

b. The Contractor’s information for CPARS is pulled from the Contractor’s entry in SAM under the Past Performance Point of Contact for the company.

c. The Contractor’s designated representative will have the ability to review, comment, and state whether or not the Contractor agrees with the evaluation and return the evaluation to the Contracting Officer (CO) per FAR 42.1503. The SEC’s evaluation will be available to search in CPARS after 14 calendar days for Government use in evaluating the Contractor’s past performance as part of a source selection action.

d. If the Contractor desires a meeting to discuss the evaluation, it must be requested, in writing to the CO, no later than seven calendar days from the receipt of the evaluation.

e. It shall be the sole responsibility of the Contractor to inform the CO or COR in writing of any changes to the Contractor’s designated representative. Any such changes do not require a modification to the terms and conditions of the contract/order.

The following additional FAR provisions are applicable to this acquisition:

FAR 52.252-1 Solicitation Provisions Incorporated by Reference (Feb 1998) This solicitation incorporates one or more solicitation provisions by reference, with the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text

Page 7 of 7 50310222R0002 available. The offeror is cautioned that the listed provisions may include blocks that must be completed by the offeror and submitted with its quotation or offer. In lieu of submitting the full text of those provisions, the offeror may identify the provision by paragraph identifier and provide the appropriate information with its quotation or offer. Also, the full text of a solicitation provision may be accessed electronically at this/these address(es): https://www.acquisition.gov/?q=browsefar

FAR Provisions Incorporated By Reference:

FAR 52.204-7 System for Award Management (Oct 2018)

FAR 52.204-24 REPRESENTATION REGARDING CERTAIN TELECOMMUNICATIONS AND

VIDEO SURVEILLANCE SERVICES OR EQUIPMENT. (NOV 2021)

FAR 52.209-7 Information Regarding Responsibility Matters (Oct 2018) FAR 52.204-16 Commercial and Government Entity Code Reporting (Aug 2020) FAR 52.209-2 Prohibition On Contracting With Inverted Domestic Corporations--Representation (Nov 2015) FAR 52.217-5 Evaluation of Options. (JUL 1990)

FAR 52.204-21 BASIC SAFEGUARDING OF COVERED CONTRACTOR INFORMATION

SYSTEMS. (NOV 2021)

FAR 52.209-12 CERTIFICATION REGARDING TAX MATTERS. (OCT 2020)

FAR 52.225-25 Prohibition on Contracting with Entities Engaging in Certain Activities or Transactions Relating to Iran—Representation and Certification (June 2020)

FAR 52.229-11 TAX ON CERTAIN FOREIGN PROCUREMENTS-NOTICE AND

REPRESENTATION. (JUN 2020)

(xiv) Defense Priorities and Allocations System (DPAS) and assigned rating does not apply.

(xv) The date, time and place offers are due: Offerors shall submit quotes electronically to garrettj@sec.gov no later than 3:00 PM ET, February 22, 2022.

(xvi) The name and email address of the individual to contact for information regarding the solicitation:

Jeremy Garrett garrettj@sec.gov.

(xvii) Attachments:

1. SEC Requirements List

2. Requirements Matrix Checklist (to be completed by offeror and submitted with Technical Proposal)

3. Pricing Spreadsheet (to be completed by offeror and submitted with Price Proposal)

End of Document https://www.acquisition.gov/?q=browsefar mailto:garrettj@sec.gov

FAR 52.217-8 Option to Extend Services (NOV 1999)