RFQ ENCL 1 - SOW.pdf

STATEMENT OF WORK

Securities Industry Course Series

A. Background

The SEC’s mission is to protect investors, maintain fair, orderly and effective markets, and facilitate capital formation. In support of this mission, the College of Securities and Investor Protection (CSIP) works to provide the design, development, delivery and evaluation of technical skills/operations and instructional materials and programs in securities, legal, finance, accounting, regulation and economic analysis. Instructional products, materials and programs result from analyzing organization learning needs, job and target audience requirements, curriculum analysis, evaluation and redesign within the financial services industry including, but not limited to: Series 7, 6, or 63, current securities protection (hedge funds, CDs, etc.), fraud detection, advanced securities operations, current regulatory environment, market trends, risk assessment and analysis, accounting, finance, statistics, compliance, electronic and algorithmic trading, economic and business and other related evolving topics.

B. Scope

The training vendor shall provide the CSIP with instructor led off-the-shelf courses on a wide range of securities topics (such as: securities law, finance, accounting, regulations, economic analysis, compliance, risk management and anything else related to the securities industry) either virtually or at the location(s) listed below during the period of performance. It is expected that the majority of these courses will be virtual with the occasional class being held in one of our SEC offices.

C. Requirements

The Contractor shall provide instructor led off-the-shelf courses that meet the needs of the SEC as set forth in section A of this document. In order to fulfill this requirement the Contractor must be able to provide the following:

1. The Contractor shall provide training events in several segmented course options (e.g., courses up to 1, 2, 3, 4, 6, and 8 hours/day in length). The Government is seeking an alternate solution for courses that may last less than 8 hours. This requirement shall also include webinars or classes via an electronic means (e.g., WebEx and any other proposed Contractor training platform).

2. All training shall be delivered virtually or in person at the SEC’s Washington, DC/Headquarters and Regional Offices (including: Atlanta, Boston, Chicago, Denver, Fort Worth, Los Angeles, Miami, New York, Philadelphia, Salt Lake City and San Francisco).

3. The Contractor shall offer courses in varying levels of expertise (e.g., basic, intermediate and advanced, when applicable). The target audience will be all SEC professionals

RFQ Enclosure 1 throughout the Commission who need to understand various aspects of the securities industry to fulfill their mission.

4. The Government anticipates offering up to 120 sessions per fiscal year depending upon the availability of funding.

5. Each training shall accommodate up to approximately 50 Securities and Exchange Commission Employees virtually or in person with larger classes being approved in advance by the Contractor and SEC Contracting Officer (CO).

6. The Contractor shall provide and arrange the delivery of all course materials, e.g. texts, handouts, etc. The Government requests that remote participants receive the materials electronically.

7. When requested the Contractor will allow an SEC subject matter expert (SME) to meet virtually with the instructor 1 – 2 months in advance of the class to discuss the course outlines so that they might tailor the class more to SEC needs.

8. The learning objectives for these training courses will be to enhance knowledge and understanding of securities, law, finance, accounting, regulations or economic analysis in a way that is industry and position specific and supports the operational programs and goals of the SEC.

9. The Contractor shall provide continuing professional education (CPE) certificates for all applicable National Association of State Board of Accountancy (NASBA) certified courses delivered.

10. Although it is preferred but not required, the Government welcomes the ability to provide eLearning course options such as courses available at any time via Contractor’s website or SEC’s internal learning management system.

D. Remote Vendor Requirements, Government-Furnished Equipment and

Government-Furnished Information

For remote sessions the Contractor shall provide an effective, safe virtual platform such as WebEx, Adobe Connect or other online platform that meets the security standards of the SEC.

For live events at SEC locations the Government shall provide meeting space for these training events to include: computer projection equipment, projection screen, tables and chairs. Course materials shall be the responsibility of the vendor.

E. Place of Performance

While the majority of courses will be virtual, the SEC will occasionally request classes live in one of our offices. Addresses for SEC HQ and Regional Offices are below:

SEC Headquarters: 100 F Street, NE, Washington, DC 20549 New York: 100 Pearl St., Suite 20-100, New York, NY 10004-2616 Boston: 33 Arch Street, Boston, MA 02110-1424 Philadelphia: 1617 JFK Boulevard, Suite 520, Philadelphia, PA

19103

Miami: 801 Brickell Ave., Miami, FL 33131 Atlanta: 950 East Paces Ferry, N.E., Atlanta, GA 30326-1382

Chicago: 175 W. Jackson Boulevard, Chicago, IL 60604 Denver: 1961 Stout Street, Denver, CO 80294-1961 Fort Worth: 801 Cherry Street, Fort Worth, TX 76102 Salt Lake: 351 S. West Temple Street, Salt Lake City, UT 84101

Los Angeles: 444 South Flower Street, Suite 900, Los Angeles, CA 90071

San Francisco: 44 Montgomery Street, San Francisco, CA 94104

F. Period of Performance

The period of performance shall be for five ordering periods of 12 months each.

Delivery orders or task orders will not be issued prior to the availability of appropriate funds from which expenditures there under may be made.

G. Associated Funding

Pricing for books and other instructor-related expenses (travel, etc.) shall be inclusive of all training within this contract.