RFQ 50310227Q0004 (SEC Serial subscription support).pdf

Request for Quotes (RFQ): 50310227Q0004

Serial Subscription Support

Table of Contents

SF 1449 Page 1

Schedule of Supplies and Services Page 2

Applicable SEC Instructions Page 3

Applicable FAR Provisions & Clauses Page 16

Attachments Page 17

Instructions to Offerors Page 18

Evaluation Factors Page 19

WOMEN-OWNED SMALL

BUSINESS (WOSB)

SOLICITATION/CONTRACT/ORDER FOR COMMERCIAL PRODUCTS AND COMMERCIAL SERVICES

PAGE 1 OF

2. CONTRACT NUMBER 3.AWARD/EFFECTIVE

DATE

4. ORDER NUMBER 6. SOLICITATION ISSUE

DATE

7. FOR SOLICITATION

INFORMATION CALL:

a. NAME b. TELEPHONE NUMBER (No collect calls)

8. OFFER DUE DATE/

9. ISSUED BY

13b. RATING

14. METHOD OF SOLICITATION

CODE

15. DELIVER TO 16. ADMINISTERED BY CODE

18a. PAYMENT WILL BE MADE BY CODE17a. CONTRACTOR/

OFFEROR

CODE

FACILITY

CODE

CODE

TELEPHONE NUMBER

17b. CHECK IF REMITTANCE IS DIFFERENT AND PUT SUCH ADDRESS IN

OFFER

18b. SUBMIT INVOICES TO ADDRESS SHOWN IN BLOCK 18a UNLESS BLOCK

BELOW IS CHECKED

REQUEST

FOR QUOTE

(RFQ)

INVITATION

FOR BID

(IFB)

REQUEST

FOR

PROPOSAL

(RFP)

SEE ADDENDUM

19.

ITEM NO.

20.

SCHEDULE OF SUPPLIES/SERVICES

21.

QUANTITY

22.

UNIT

23.

UNIT PRICE

24.

AMOUNT

(Use Reverse and/or Attach Additional Sheets as Necessary)

25. ACCOUNTING AND APPROPRIATION DATA 26. TOTAL AWARD AMOUNT (For Government Use Only)

28. CONTRACTOR IS REQUIRED TO SIGN THIS DOCUMENT AND RETURN 29. AWARD OF CONTRACT: REFERENCE

. YOUR OFFER ON SOLICITATION

(BLOCK 5), INCLUDING ANY ADDITIONS OR CHANGES WHICH ARE

SET FORTH HEREIN, IS ACCEPTED AS TO ITEMS:

30a. SIGNATURE OF OFFEROR/CONTRACTOR

30b. NAME AND TITLE OF SIGNER (Type or print) 30c. DATE SIGNED

31a. UNITED STATES OF AMERICA (SIGNATURE OF CONTRACTING OFFICER)

31b. NAME OF CONTRACTING OFFICER (Type or print) 31c. DATE SIGNED

AUTHORIZED FOR LOCAL REPRODUCTION

PREVIOUS EDITION IS NOT USABLE

STANDARD FORM 1449 (REV. 11/2021)

Prescribed by GSA - FAR (48 CFR) 53.212

10. THIS ACQUISITION IS UNRESTRICTED OR

NORTH AMERICAN

INDUSTRY CLASSIFICATION

STANDARD (NAICS):

SIZE STANDARD:

13a. THIS CONTRACT IS A

RATED ORDER UNDER

THE DEFENSE PRIORITIES

AND ALLOCATIONS

SYSTEM - DPAS (15 CFR 700)

SET ASIDE: % FOR:

11. DELIVERY FOR FREE ON

BOARD (FOB) DESTINATION

UNLESS BLOCK IS MARKED

SEE SCHEDULE

12. DISCOUNT TERMS

ARE ARE NOT ATTACHED

ARE ARE NOT ATTACHED

27a. SOLICITATION INCORPORATES BY REFERENCE (FEDERAL ACQUISITION REGULATION) FAR 52.212-1, 52.212-4.

FAR 52.212-3 AND 52.212-5 ARE ATTACHED.

27b. CONTRACT/PURCHASE ORDER INCORPORATES BY REFERENCE FAR 52.212-4. FAR 52.212-5 IS ATTACHED.

8(A)

ECONOMICALLY

DISADVANTAGED

WOMEN-OWNED SMALL

BUSINESS (EDWOSB)

SERVICE-DISABLED

VETERAN-OWNED

SMALL BUSINESS

(SDVOSB)

HUBZONE SMALL

BUSINESS

SMALL BUSINESS

NOTE: OFFEROR TO COMPLETE BLOCKS 12, 17, 23, 24, AND 30.

COPIES TO ISSUING OFFICE. CONTRACTOR AGREES TO FURNISH

AND DELIVER ALL ITEMS SET FORTH OR OTHERWISE IDENTIFIED ABOVE AND

ON ANY ADDITIONAL SHEETS SUBJECT TO THE TERMS AND CONDITIONS

SPECIFIED

DATED.

OFFER

ADDENDA

ADDENDA

5. SOLICITATION NUMBER

50310227Q0004

SECURITIES AND EXCHANGE COMMISSION

OFFICE OF CHIEF OPERATING OFFICER

100 F ST NE

MAILSTOP-

WASHINGTON DC 20549

SECURITIES AND EXCHANGE COMMISSION

OFFICE OF ACQUISITIONS

IT SUPPORT BRANCH 02

100 F STREET NE

MAIL STOP 4226

WASHINGTON DC 20549

SECURITIES AND EXCHANGE COMMISSION

OFFICE OF ACQUISITIONS

IT SUPPORT BRANCH 02

100 F STREET NE

MAIL STOP 4226

WASHINGTON DC 20549

LOCAL TIME

11/19/2026

3:00 PM ET

1. REQUISITION NUMBER

JEREMY GARRETT

202-551-7472

SEC-OA - 02 100.00

SEC-OA - 02

513120

1,000

10/29/2026

SEC - OCOO

The U.S. Securities and Exchange Commission

(SEC) is issuing this RFQ for serial subscription support for subscriptions that renew in the 2027 calendar year. The following pages and attachments provide the requirements, Continued...

STOCK RECORD (S/R)

STANDARD FORM 1449 (REV. 11/2021) BACK

19.

ITEM NO.

20.

SCHEDULE OF SUPPLIES/SERVICES

21.

QUANTITY

22.

UNIT

23.

UNIT PRICE

24.

AMOUNT

32a. QUANTITY IN COLUMN 21 HAS BEEN

RECEIVED INSPECTED AND CONFORMS TO THE CONTRACT, EXCEPT AS NOTED:

41a. I CERTIFY THIS ACCOUNT IS CORRECT AND PROPER FOR PAYMENT

32b. SIGNATURE OF AUTHORIZED GOVERNMENT

REPRESENTATIVE

32c. DATE

41b. SIGNATURE AND TITLE OF CERTIFYING OFFICER 41c. DATE

42a. RECEIVED BY (Print)

42b. RECEIVED AT (Location)

42c. DATE RECEIVED (MM/DD/YYYY) 42d. TOTAL CONTAINERS

40. PAID BY

32d. PRINTED NAME AND TITLE OF AUTHORIZED GOVERNMENT

REPRESENTATIVE

32e. MAILING ADDRESS OF AUTHORIZED GOVERNMENT REPRESENTATIVE 32f. TELEPHONE NUMBER OF AUTHORIZED GOVERNMENT REPRESENTATIVE

32g. EMAIL OF AUTHORIZED GOVERNMENT REPRESENTATIVE

33. SHIP NUMBER 34. VOUCHER NUMBER 35. AMOUNT VERIFIED

CORRECT FOR

PARTIAL FINAL

37. CHECK NUMBER

38. S/R ACCOUNT NUMBER 39. S/R VOUCHER NUMBER

36. PAYMENT

COMPLETE PARTIAL FINAL

ACCEPTED,

00001 applicable clauses and terms, instructions for submitting a response, and the evaluation factors in accordance with RFO 12.203. See

Page 18 for instruction on submitting a response for this procurement.

The contractor shall order and renew subscriptions in accordance with Attachment 1 -

Statement of Work.

Applicable SEC Instructions

5003.05 SUBMISSION OF INVOICES - DELPHI EINVOICING SYSTEM (JANUARY

2022)

a. The Securities and Exchange Commission (SEC) will only accept electronic invoices submitted through the Delphi eInvoicing system upon order/renewal placement of subscriptions under this purchase order. Upon request, the contractor shall provide the SEC with proof of payment to publisher for any subscriptions invoiced.

b. Payment system registration. All persons accessing the Delphi eInvoicing web-portal will be required to have their own unique user Delphi eInvoicing ID and password and be credentialed through login.gov.

(1) Electronic authentication. See www.login.gov for instructions. Click on the following link for instructions on establishing a login.gov account: https://login.gov/help/creating-an-account/how-do-i-create-an-account-with-logingov/.

(2) To create a login.gov account, the user will need a valid email address and a working phone number. The user will create a password and then login.gov will reply with an email confirming the email address.

(3) In order to set up a new user account or make changes to existing vendor Delphi eInvoice users who will submit invoices through the eInvoicing web-portal for payment and tracking purposes, notify iSupplier@sec.gov and include the contract/order number, the user's full name, valid email address (group mailboxes are not recommended), and current phone number of all vendor users. Vendor users will be notified via e-mail when the account is created. The vendor user will be provided detailed instructions for logging into their Delphi eInvoicing account.

(4) Training on Delphi. To facilitate use of DELPHI, comprehensive user information is available at http://einvoice.esc.gov

(5) Account Management. Vendors are responsible to contact the Delphi Help Desk when their firm's points of contacts will no longer be submitting invoices so they can be removed from the system. Instructions for contacting the Delphi Help Desk can be found at http://einvoice.esc.gov

c. Contractors are cautioned against submitting an invoice prior to goods and services being received/accepted. Invoices submitted prematurely may be rejected. Software license maintenance and subscriptions may be invoiced at the beginning of the contract period of performance.

d. The SEC's Delphi eInvoicing system is managed by the Enterprise Services Center (ESC). In order to receive payment and in accordance with the Prompt Payment Act, all invoices submitted as attachments in the Delphi eInvoicing web-portal shall contain the following:

(1) Company logo or letterhead

(2) Company name and payment address

(3) Company Point of Contact (POC) for the invoice with phone and e-mail

(4) Invoice number and invoice date

(5) Billing period

(6) SEC Contract number

(7) Task/Delivery Order number (if applicable)

(8) SEC Contracting Officer's Representative (COR name)

(9) Amount billed (by CLIN), current and cumulative

(10) Total amount billed this period

(11) Cumulative total billed to date

(12) Brief Description of Services Performed - General description only

e. If the contract includes allowances for travel, all invoices which include charges pertaining to travel expenses will catalog a breakdown of reimbursable expenses with the appropriate receipts to substantiate the travel expenses.

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.

This is a firm fixed type contract/agreement.

As appropriate, after award, a contract, order, and/or any contract line-item number(s) (CLINs), or portion thereof, may be converted to a different contract type through mutual agreement between the parties.

6012.02 SEC SECTION 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).

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.

6027.00 DISCLOSURE OF INFORMATION (NOVEMBER 2023)

(a) The Contractor shall not refer to this contract in commercial advertising or similar promotions in such a manner as to state or imply that the product or service provided is endorsed or preferred by the Federal Government or is considered by the Government to be superior to other products or services.

(b) The Contractor shall not release to anyone outside the Contractor's organization any classified or unclassified information, regardless of medium (e.g., film, tape, document), pertaining to any part of this contract or any program related to this contract, unless -

(1) The Contracting Officer has given prior written approval; or

(2) The information is otherwise in the public domain before the date of release.

(c) Requests for approval shall identify the specific information to be released, the medium to be used, and the purpose for the release. The Contractor shall submit its request to the Contracting Officer at least 45 days before the proposed date for release.

(d) The Contractor agrees to include a similar requirement in each subcontract under this contract. Subcontractors shall submit requests for authorization to release through the prime contractor to the Contracting Officer.

(e) If a contract involves sensitive or classified information, all advertisements, releases, announcements, or other publication regarding this contract or the agency programs and projects covered under it, or the results or conclusions made pursuant to performance, must be approved by the Contracting Officer. Under no circumstances shall the Contractor, or anyone acting on behalf of the Contractor, refer to the supplies, services, or equipment furnished pursuant to the provisions of this contract in any publicity, release, or commercial advertising without first obtaining explicit written consent to do so from the Contracting Officer.

6028.00 ARTIFICIAL INTELLIGENCE (SEPT 2025)

A. Definitions

As used in these instructions-

Artificial Intelligence or "AI" means

1. Any artificial system that performs tasks under varying and unpredictable circumstances without significant human oversight, or that can learn from experience and improve performance when exposed to data sets;

2. An artificial system developed in computer software, physical hardware, or other context that solves tasks requiring human-like perception, cognition, planning, learning, communication, or physical action;

3. An artificial system designed to think or act like a human, including cognitive architectures and neural networks;

4. A set of techniques including machine learning, that is designed to approximate a cognitive task; and

5. An artificial system designed to act rationally, including an intelligent software agent or embodied robot that achieves goals using perception, planning, reasoning, learning, communicating, decision making, and acting.

AI Model means a component of an information system that implements AI technology and uses computational, statistical, or machine-learning techniques to produce outputs from a given set of inputs.

AI System means any data systems, software, applications, tools, or utilities that operate in whole or in part using dynamic or static machine learning algorithms or other forms of artificial intelligence, whether

1. the data system, software, application, tool, or utility is established primarily for the purpose of researching, developing, or implementing artificial intelligence technology; or

2. artificial intelligence capability is integrated into another system or agency business process, operational activity, or technology system; and

3. excludes common commercial products with Embedded AI.

Compromised Data means any data that has been obtained illegally, stolen, accessed without authorization, altered without authorization, obtained fraudulently, or otherwise subjected to unauthorized or unlawful use, disclosure, or otherwise contains malicious material.

Covered AI means AI, AI Systems, and/or AI Models.

Data means recorded information, regardless of form or the media on which it may be recorded.

The term includes technical data and computer software. The term does not include information incidental to contract administration, such as financial, administrative, cost or pricing, or management information.

Data Asset means a collection of data elements or data sets that may be grouped together.

Embedded AI means any common commercial product within which Covered AI is embedded, such as a word processor or map navigation system. Whether Covered AI is considered Embedded AI is determined by the SEC.

High-Impact AI means Covered AI with an output that serves as a principal basis for decisions or actions with legal, material, binding, or significant effect on:

1. An individual or entity's civil rights, civil liberties, or privacy;

2. An individual or entity's access to education, housing, insurance, credit, employment, or other programs;

3. An individual or entity's access to critical government resources or services;

4. Human health and safety;

5. Critical infrastructure or public safety; or

6. Strategic assets or resources, including high-value property and information marked as sensitive classified by the Federal Government.

Whether AI is considered High-Impact AI is determined by the SEC

Incidental Use of AI means Covered AI used incidentally by a contractor and not directly related to the work required to fulfill the contract requirements. Whether Covered AI is considered Incidental Use of AI is determined by the SEC.

Metadata means structural or descriptive information about data such as content, format, source, rights, accuracy, provenance, frequency, periodicity, granularity, publisher or responsible party, contract information, method of collection, and other descriptions.

Unlimited Rights means rights of the Government to use, disclose, reproduce, prepare derivative works, distribute copies to the public, and perform publicly and display publicly, in any manner and for any purpose, and to have or permit others to do so.

B. Contractor Use of AI

When the Contractor is providing and/or using Covered AI under this contract or agreement, the Contractor shall ensure:

1. the specific Covered AI has been or will be disclosed to the SEC in writing in advance of such use;

2. the use of such Covered AI complies with applicable laws and regulations;

3. the Covered AI does not infringe on any third-party intellectual property rights;

4. the Covered AI is free from and has not been trained on known Compromised Data;

5. it provides sufficient documentation to evidence the transparency, explainability, and interpretability of the Covered AI, to the extent possible; and the contractor shall provide updated documentation as requested;

6. it has adequate means of validating and monitoring performance of the Covered AI;

7. the Covered AI's performance meets the standards for this contract's performance requirements before deploying new versions of the Covered AI or rolling-back to previous versions of the Covered AI;

8. It can rectify behavior of Covered AI if deemed unacceptable based on the Covered AI's performance requirements; and

9. It provides its examination, testing, and validation procedures and the results of any examination, testing, and validation as a deliverable at least annually and upon request of the

SEC.

C. Unauthorized Use of AI

The Contractor's employees, agents, and subcontractors shall immediately alert the SEC of suspected or confirmed unauthorized use of Covered AI in performance of the contract or unauthorized use of SEC data to train, create, modify, develop, or otherwise support Covered AI.

Notification must be made to the SEC of unauthorized use as soon as practicable, but no later than twenty-four (24) hours after the Contractor becomes aware of it by contacting the SEC Service Desk at (202) 551-4357. The Contractor should inform the SEC Service Desk representative that they want to "Report Suspicious Cyber Activity," indicate that Covered AI is involved when summarizing the event to the representative, and answer any additional questions from the representative. The Contractor shall support the SEC's investigation and resolution of reported incidents as requested by the SEC. For purposes of this Instruction, a "suspected unauthorized use of Covered AI" shall be interpreted liberally to mean any situation in which the unauthorized use of Covered AI or the unauthorized use of SEC data to train, create, modify, develop, or otherwise support Covered AI is deemed a reasonable possibility.

D. IP Rights and Use of Government Data

1. The SEC retains Unlimited Rights to all government data inputted in, processed by, and/or generated through the use of any Covered AI under this contract. This includes, but is not limited to:

a) Input data (e.g., prompts, SEC source code, queries, attachments)

b) Output data (e.g., generated content, responses, suggested prompts, AI generated code)

c) Metadata, logs, interaction histories, Data Assets, Data, audit trails, reasoning information, and transformations.

2. The SEC retains Unlimited Rights to all improvements (e.g., data cleaning, data labels) made to any government data utilized, generated, created, and/or modified in the performance of this contract.

3. No government data collected, processed, or generated under this contract may be used by the Contractor for any purpose other than in the performance of this contract, unless explicitly authorized in writing by the Contracting Officer.

E. AI and/or AI Model Training and Enhancement

If this contract requires the training of AI and/or AI Models, then the Contractor may use the necessary SEC-provided and/or SEC-generated data including, prompts, outputs, source code, Metadata, usage logs, or attachments for the purpose of training, fine tuning, developing, improving, or enhancing any AI, AI models, algorithms, or commercial services under the following conditions:

1. Any AI and/or AI Model version that is trained, fine-tuned, improved, and/or enhanced using SEC data is owned exclusively by SEC. The Contractor retains no rights in any AI and/or AI Model version trained, fine-tuned, improved, and/or enhanced with SEC data.

2. SEC data is only for the purposes of training the AI and/or AI Model and as otherwise approved by this contract.

3. The SEC maintains all ownership rights to the SEC-provided and/or SEC-generated data as outlined in D. IP Rights and Use of Government Data.

4. SEC data shall otherwise be handled as described in 6001.1 RESTRICTIONS ON USE, DISCLOSURE, AND DUPLICATION OF CONFIDENTIAL AND NON-PUBLIC

INFORMATION, 6021.01 RECORDS MANAGEMENT INFORMATION TECHNOLOGY

REQUIREMENTS, and other relevant terms of this contract.

What data is considered "necessary" shall be determined by the appropriate SEC officials in consultation with the Contractor. For questions on the permissible scope of training AI and/or AI Models under this section, the contractor shall consult with the COR.

F. Training AI

If this contract is not for the training of AI and/or AI Models, then Contractor shall not use provided SEC-data or SEC-generated data including but not limited to prompts, improvements (cleaning, labels), outputs, source code, Metadata, usage logs, NPI, PII, or confidential data for the purpose of training, developing, building, fine-tuning, or otherwise enhancing any Covered AI, algorithms, or Covered AI-related commercial services, unless authorized in writing by the Contracting Officer.

G. New AI Feature Notification

The Contractor shall notify the SEC in writing 30 days prior to the deployment of any new Covered AI enhancements, features, versions, or components that provide or rely on Covered AI beyond standard updates to any procured Covered AI. The notification shall include a detailed description of the Covered AI, its intended functionality, and potential impacts on existing systems and operations. The SEC may request additional information, conduct reviews, or require modification to ensure compliance with relevant laws, regulations, standards, and guidance. The Contractor shall not deploy the Covered AI without approval by the Contracting Officer. This paragraph applies to Embedded AI only to the extent necessary to determine whether the AI feature qualifies as Embedded AI or not.

H. No Use of High-Impact AI

The Contractor agrees not to use High-Impact AI in the performance of this contract. If Contractor uses or otherwise discovers the use of High-Impact AI, Contractor shall notify the SEC in accordance with paragraph C. Unauthorized Use of AI.

I. SEC Audits

The SEC reserves the right to audit the Covered AI's behavior, performance, and data handling.

This includes but is not limited to:

1. Usage logs

2. Data transformations

3. Prompt and output histories

4. Metadata, training data, design documentation

5. Governance frameworks

6. Model performance metrics

7. Contractor testing and results of testing

8. Independent testing and results of testing

The Contractor shall cooperate fully with any SEC-requested audit or review. This section applies to Incidental Use of AI and Embedded AI only to the extent needed to reasonably determine if the use of Covered AI qualifies as Incidental Use of AI or the Covered AI qualifies as Embedded AI.

J. Independent Evaluation

At least annually, the Contractor agrees to provide the SEC with access and time necessary to complete independent evaluations of the Covered AI used to fulfill this contract. The Contractor agrees not to access any data the SEC utilizes to conduct the independent evaluation. In the alternative, the Contractor may provide complete testing and provide at least annually. The results of this testing must be detailed enough for the testing to be independently verified or reproduced.

K. AI Vendor Lock-In Protections - Interoperability and Model Portability

A Contractor that designs, develops, operates or maintains Covered AI shall make best efforts to ensure that the Covered AI is capable of interoperating with existing AI functionality used by the SEC. The Contractor shall also make best efforts to consider interoperating capabilities of Covered AI with future AI functionality at the SEC. This includes the transferability and portability of SEC owned or licensed Covered AI into SEC designated IT systems, cloud computer environments, and other designated storage; related Contractor knowledge of the Covered AI; and Contractor knowledge needed to transfer the Covered AI.

L. AI Vendor Lock-In Protections - Transitions Out

At the expiration or termination of this contract and/or at the SEC's request, the Contractor shall provide all reasonable assistance to facilitate the orderly transition of SEC owned or licensed Covered AI to the SEC's IT systems, cloud computer environments, and/or other designated storage. These transition services include but are not limited to:

1. A written transition plan subject to SEC approval unless designated otherwise by the Contracting Officer;

2. Actions, plans, procedures, and timelines necessary to ensure a smooth transition from the Contract and transition-out to the follow-on Contractor;

3. Transition information and briefings to the COR prior to expiration dates;

4. Continued service for the transition period to ensure the orderly transitioning and transferring of the SEC owned or licensed Covered AI;

5. To the extent possible, uninterrupted services during transitions and transfers;

6. If the SEC owned or licensed Covered AI includes physical assets, accessibility to physical assets for transportation;

7. Transfer of relevant documentation, data, configurations, license information, specialist knowledge, policies and procedures, desktop procedures, manuals, and other relevant materials related to the SEC owned or licensed Covered AI and transition of the SEC owned or licensed Covered AI;

8. Maintain sufficient qualified staff to meet all requirements of this effort;

9. Cooperation with the SEC and/or its designee(s) as necessary to complete and finalize the transition of the SEC owned or licensed Covered AI; and

10. Identification of third-party contracts or licenses related to the SEC owned or licensed Covered AI that are necessary for the continued operation of the SEC owned or licensed Covered

AI.

The Contractor agrees not to take any direct or indirect action that would interfere with, hinder, or slow the transition of the SEC owned or licensed Covered AI, including but not limited to withholding access to systems, data, personnel, or supporting documentation.

M. Exceptions for the Embedded AI and Incidental Use of AI

For all references to Covered AI within this contract, none of the provisions or requirements outlined apply to the use of Embedded AI or the Incidental Use of AI unless otherwise noted.

What constitutes as Embedded AI or the Incidental Use of AI is determined by the SEC.

7001.00 COMMERCIAL SUPPLIER AGREEMENTS - UNENFORCEABLE CLAUSES

(a) Purpose

The purpose of this SEC Instruction (SECI) is to implement the FAR 12.302(c) Class Waiver approved by the SEC Senior Procurement Executive that addresses conflicting and/or problematic terms in Commercial Supplier Agreements (CSAs) (e.g., license agreements, terms of service (TOS), terms of sale or purchase, End User License Agreements (EULAs), and similar agreements).

(b) Order of Precedence

When FAR 52.212-4 is present in the solicitation or contract at issue, its paragraphs are tailored to reflect:

(s)(2) ('The Assignments, Disputes, Payments, Invoice, Other Compliances, Compliance with Laws Unique to Government Contracts, Unauthorized Obligations paragraphs of this clause, and SECI 7001.00, Commercial Supplier Agreements - Unenforceable Clauses.'), and

(s)(4) ('Addenda to this solicitation or contract, including any license agreements as amended by SECI 7001.00, Commercial Supplier Agreements - Unenforceable Clauses.')

(c) Unenforceable Clauses

When any supply or service acquired under this contract is subject to a CSA, the following language shall be deemed incorporated into the CSA. As used herein, 'this agreement' means the

CSA:

(1) Notwithstanding any other provision of this agreement, when the end user is the SEC, the following shall apply:

(i) Applicability. This agreement is a part of a contract between the commercial supplier and the U.S. Government for the acquisition of the supply or service that necessitates a license or other similar legal instrument (including all contracts, task orders, and delivery orders under FAR Part 12.)

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

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

(A) Any language purporting to subject the U.S. Government 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 Government except as allowed by this contract. If the supplier or licensor believes the ordering activity 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 per FAR 52.212-4(d).

(v) 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 unless specifically authorized by agency guidance, and equitable or injunctive relief, including the award of attorney fees, costs or interest, may be awarded against the U.S. Government only when explicitly provided by statute (e.g., Prompt Payment Act or Equal Access to Justice Act).

(vi) Updating terms.

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

(1) Terms that change Government rights or obligations;

(2) Terms that increase Government prices;

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

(4) Terms that limit any other Government right addressed elsewhere in this contract.

(B) For revisions that will materially change the terms of the contract, the revised CSA 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 Government, and the Government shall not be deemed to have consented to them.

(vii) 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 Government representative.

(viii) Indemnification (by licensor). 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 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.

(ix) 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 SEC. Any resulting invoice must comply with the proper invoicing requirements specified in the underlying Government contract or order.

(B) This charge, if disputed by the SEC, will be resolved in accordance with FAR 52.212-4(d) (Disputes); no payment obligation shall arise on the part of the SEC 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 Government.

(x) Taxes or surcharges. Any taxes or surcharges which the commercial supplier or licensor seeks to pass along to the Government as end user will be governed by the terms of the underlying Government 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 Government contract.

(xi) Non-assignment. This agreement may not be assigned, nor may any rights or obligations thereunder be delegated, without the Government's prior approval, except as expressly permitted under FAR 52.212-4(b).

(xii) Confidential information. If this agreement includes a confidentiality clause, such clause is hereby amended to state that neither the agreement nor the contract price list, as applicable, shall be deemed 'confidential information'. Issues regarding release of 'unit pricing' will be resolved consistent with the Freedom of Information Act. Notwithstanding anything in this agreement to the contrary, the Government may retain any confidential information as required by law, regulation or its internal document retention procedures for legal, regulatory or compliance purposes; provided, however, that all such retained confidential information will continue to be subject to the confidentiality obligations of this agreement.

(2) If any language, provision, or clause of this agreement conflicts or is inconsistent with the preceding paragraph (1), the language, provisions, or clause of paragraph (1) shall prevail to the extent of such inconsistency.

Applicable FAR Provision and Clauses

52.203-17 CONTRACTOR EMPLOYEE WHISTLEBLOWER RIGHTS. (NOV 2023)

52.204-7 SYSTEM FOR AWARD MANAGEMENT. (NOV 2024)

52.204-13 SYSTEM FOR AWARD MANAGEMENT-MAINTENANCE. (OCT 2018)

(DEVIATION NOV 2025)

52.209-6 PROTECTING THE GOVERNMENT'S INTEREST WHEN

SUBCONTRACTING WITH CONTRACTORS DEBARRED, SUSPENDED, PROPOSED

FOR DEBARMENT, OR VOLUNTARILY EXCLUDED. (JAN 2025) (DEVIATION NOV

2025)

52.209-10 PROHIBITION ON CONTRACTING WITH INVERTED DOMESTIC

CORPORATIONS. (NOV 2015) (DEVIATION NOV 2025)

52.212-4 TERMS AND CONDITIONS-COMMERCIAL PRODUCTS AND

COMMERCIAL SERVICES. (NOV 2023) (DEVIATION NOV 2025)

52.219-6 NOTICE OF TOTAL SMALL BUSINESS SET-ASIDE. (NOV 2020)

(DEVIATION FEB 2026)

52.222-3 CONVICT LABOR. (JUN 2003)

52.222-35 EQUAL OPPORTUNITY FOR VETERANS. (JUN 2020) (DEVIATION DEC

2025)

52.222-36 EQUAL OPPORTUNITY FOR WORKERS WITH DISABILITIES. (JUN 2020)

(DEVIATION DEC 2025)

52.222-37 EMPLOYMENT REPORTS ON VETERANS. (JUN 2020) (DEVIATION DEC

2025)

52.222-41 SERVICE CONTRACT LABOR STANDARDS. (AUG 2018)

52.222-42 STATEMENT OF EQUIVALENT RATES FOR FEDERAL HIRES. (MAY

2014)

52.222-50 COMBATING TRAFFICKING IN PERSONS. (OCT 2025) (DEVIATION DEC

2025)

52.222-62 PAID SICK LEAVE UNDER EXECUTIVE ORDER 13706. (JAN 2022)

52.222-90 ADDRESSING DEI DISCRIMINATION BY FEDERAL CONTRACTORS

(DEVIATION) (APRIL 2026)

52.225-25 PROHIBITION ON CONTRACTING WITH ENTITIES ENGAGING IN

CERTAIN ACTIVITIES OR TRANSACTIONS RELATING TO IRAN-

REPRESENTATION AND CERTIFICATIONS. (JUN 2020)

52.226-8 ENCOURAGING CONTRACTOR POLICIES TO BAN TEXT MESSAGING

WHILE DRIVING. (MAY 2024)

52.232-33 PAYMENT BY ELECTRONIC FUNDS TRANSFER - SYSTEM FOR AWARD

MANAGEMENT. (OCT 2018)

52.232-40 PROVIDING ACCELERATED PAYMENTS TO SMALL BUSINESS

SUBCONTRACTORS. (MAR 2023)

52.233-3 PROTEST AFTER AWARD. (AUG 1996) (DEVIATION NOV 2025)

52.233-4 APPLICABLE LAW FOR BREACH OF CONTRACT CLAIM. (OCT 2004)

(DEVIATION NOV 2025)

52.240-90 SECURITY PROHIBITIONS AND EXCLUSIONS REPRESENTATIONS AND

CERTIFICATIONS. (DEVIATION NOV 2025)

52.240-91 SECURITY PROHIBITIONS AND EXCLUSIONS. (DEVIATION NOV 2025)

52.252-1 SOLICITATION PROVISIONS INCORPORATED BY REFERENCE. (FEB

1998)

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

Attachments

Attachment Number Title

1 SEC Statement of Work 2 Pricing Spreadsheet note: to be returned with Offeror response)

Instructions for responding to this RFQ

The provisions at FAR 52.212-1, Instructions to Offerors – Commercial Items (SEP 2023) (Deviation NOV 2025), applies to this acquisition. The following addenda applies to this acquisition:

Note: This RFQ is set-aside 100% for Small Businesses. The NAICS code is 513120 (Periodical Publishers). Offerors must meet the small business size standard in order to provide a response.

The SEC is requesting a technical quote and pricing spreadsheet per the requirements below:

Technical Quote:

The technical quote shall include a cover page that provides the following information: business name and address, SAM Unique Entity Identifier (UEI) number, name of company representative and their contact info, business size and listing of any current socio-economic classifications (e.g. HUBZone). The technical quote shall clearly describe your company’s technical capability to meet the SEC’s requirements in the Statement of Work (Attachment 1).

The technical quote shall be limited to 7 pages (inclusive of cover page).

Price Spreadsheet:

Offerors shall return a copy of excel Attachment 2 – Pricing Spreadsheet with a price input for each subscription listed in the spreadsheet, and a total firm fixed price, inclusive of all fees. See Attachment 2 for complete instructions.

Question and Quote Submission Deadline: All questions for this RFQ shall be submitted electronically to garrettj@sec.gov by no later than 3:00 PM ET, on Nov. 5, 2026. The SEC’s responses to questions will be posted on SAM.gov.

The quote submission deadline for this RFQ is 3:00 PM ET, on Nov. 19, 2026. Offerors shall submit both the technical quote and pricing spreadsheet electronically to garrettj@sec.gov by this deadline.

Evaluation of Offers The provision at FAR 52.212-2, Evaluation – Commercial Items (NOV 2021)(Deviation NOV 2025) applies to this acquisition.

(a) Evaluation factors: The Government will award a purchase order resulting from this solicitation to the responsible Offeror whose offer conforming to the solicitation will be most advantageous to the Government, price and other factors considered. The following factors will be used to evaluate offers: Technical Capability, Price, and Past Performance. In accordance with RFO 12.203(c)(2), the SEC contracting officer has broad discretion in establishing how quotations will be evaluated. The SEC intends to use comparative evaluation of quotes to determine the best response. The SEC will compare quotes with each other in a fair and efficient manner to determine which quote is most advantageous to the SEC.

(b) Options: N/A

(c) Notice of award: A written notice of award or acceptance of an offer furnished to the successful Offeror within the time for acceptance specified in the offer, shall result in a binding contract without further action by either party. Before the offer’s specified expiration time, the Government may accept an offer (or part of an offer), whether or not there are negotiations after its receipt, unless a written notice of withdrawal is received before award.

End of document.