RFQ ENCL 1 - SOW.pdf

U.S. Securities and Exchange Commission

OHR – Office of Human Resources SOW for Enterprise License for Live and On‐Demand Legal, Regulatory and Compliance Conferences and Training

RFQ Enclosure 1 Statement of Work (SOW)

C.1 Background

The mission of the Securities Exchange Commission (SEC) is to protect investors, maintain fair, orderly and effective markets, and facilitate capital formation. In support of this mission, SEC University works to enhance SEC staff’s knowledge and understanding of securities laws and financial regulation in a way that better equips staff for their day‐to‐day responsibilities. SEC University does this by supporting staff participation in a wide range of internal and external courses, programs, conferences, and seminars. The SEC employs many attorneys who must satisfy Continuing Legal Education (CLE) requirements that vary by jurisdiction. The SEC also employs accountants, certified fraud examiners, and other financial professionals who require Continuing Professional Education (CPE) credits in accordance with requirements identified by the National Association of State Boards of Accountancy (NASBA). Additionally, the SEC hires other professionals who need to understand various aspects of securities laws, financial regulation and government regulation to fulfill their mission. The SEC seeks to provide access to legal and regulatory programs in a variety of formats on an array of substantive areas of law, federal regulation, professionalism and legal skills, including programs, materials and handbooks that offer CLE credit as permitted under varying bar requirements as well as CPE credit as recognized by

NASBA.

C.2 Scope This requirement is for the Contractor to provide the purchase of an annual enterprise membership to include an all‐access pass for all staff members of the US Securities and Exchange Commission to unlimited live day‐ long or multi‐day seminars as well as unlimited access to recorded versions of the live seminars, webcasts of the live programs, groupcasts of the live programs, and audio programs in downloadable versions which fulfill CLE and CPE requirements. The requirement is for live programs, seminars, and/or conferences and program materials and subject‐matter handbooks in substantive areas such as accounting, securities laws, corporate law, financial services, economic analysis, administrative law, antitrust, banking, ethics and professional responsibility, government regulation, government contracting, health care, insurance, intellectual property, litigation, municipal law, privacy, and tax as well as ethics, professionalism, and professional legal skills.

C.3 Business Requirements: The Contractor shall provide this requirement as follows:

C.3.1 ‐ The Contractor shall provide the following minimum functionalities:

C.3.2 – The Contractor shall provide SEC staff an enterprise membership through which they have access to programs in a variety of formats on substantive areas of law, federal regulation, professionalism and legal skills including program materials and handbooks. By virtue of the license, SEC staff will not pay registration or materials fees for all programs sponsored by the Contractor.

C.3.3 – The Contractor shall provide programs in‐person and on‐demand. The format for these programs may include: (a) live seminars, (b) web‐casts, (c) group casts, (d) audio download, (e) web segments, (f) video download, (g) on‐demand web, and (h) audio only web programs, and may include additional formats. The issues and topics covered by the programs span both the breadth of subject areas addressed by the SEC in pursuing its mission and the variety of businesses reviewed, regulated or affected by the work of the SEC such as accounting, securities laws, corporate law, financial services, economic analysis, administrative law, antitrust, banking, ethics and professional responsibility, government regulation, government contracting, health care, insurance, intellectual property, litigation, municipal law, privacy, and tax as well as ethics, professionalism, and professional legal skills.

C.3.4 – The Contractor shall provide a minimum of 100 live, day‐long or multi‐day programs to be held annually around the United States, including the following cities: New York, New York; Chicago, Illinois; San Francisco, California; and Washington, D.C. and should include live programs for securities industry participants and securities lawyers featuring speakers employed by financial industry entities, law firms and federal financial regulators, including the U.S. Securities and Exchange Commission (SEC). The contractor shall offer a minimum of one annual conference focused primarily on the mission and initiatives of the SEC that includes staff from the SEC.

C.3.5 – The Contractor shall provide program content to include recent legal updates that allow SEC staff to stay on top of industry trends as well as new legislation and regulatory changes. The Contractor shall provide programs, program materials and subject‐matter handbooks that offer in‐depth information and are archived on the Contractor’s website for delivery on‐demand and provide CLE credit as permitted under varying bar requirements and CPE credit as permitted by the NASBA. The Contractor shall provide the categories of CLE credit offered to include, but not be limited to, the following: a) Elimination of Bias, b) Ethics, c) General, d) Practice Management, e) Professionalism, f) Professional Practice, g) Skills, and h) Trial.

C.3.6 The Contractor shall provide information regarding available programs, materials and subject‐matter handbooks on a website that offers a user the ability to search for programs, materials and handbooks by a variety of means including but not limited to program format, date, topic, location and CLE or CPE credit. The Contractor shall issue CLE certificates, in accordance with varying CLE regulations. The Contractor shall also issue CPE credits in accordance with the requirements of NASBA. Contractor’s training systems will not be interfacing with SEC Systems, and that SEC staff will access the training modules using the contractor’s own IT System for viewing training materials. The website must not require users to login through the SEC network and shall be managed outside of the SEC network.

C.3.7 The Contractor shall maintain and make accessible all training records for staff for a five (5) year period. Training records include correspondence, reports, attendance records, CLE certificates, CPE Certificates and other records relating to staff’s participation in the Contractor’s training programs

C.3.8 – The Contractor shall provide a customer service representative during normal business hours (9:30 am and 4:00 pm Eastern Time) who will be available to assist SEC University staff in resolving issues in resetting passwords, designing reports and any other assistance that may be required during the life of the contract. Also, the Contractor shall provide usages reports and additional information as may be reasonably requested by SEC University staff.

C.3.9 – The Contractor shall provide membership licenses for programs, materials and subject‐matter handbooks for all SEC staff throughout the SEC who need to understand various aspects of securities laws, financial regulation and government regulation to fulfill their mission, regardless of whether they are seeking CLE or CPE credit.

C.3.10 The Contractor shall provide course content (Live and webcast) that is accessible to individuals with disabilities in compliance with Section 508 of Rehabilitation Act of 1973, as amended (29 U.S.C.

794d) for system accessibility requirements, including those are deaf or hard of hearing. The Contractor shall provide documentation verifying its accessibility and compatibility with assistive technology tools for individuals with disabilities. Federal Requirements & SEC Regulations.

D.4.7 Requirements Management

The Contractor shall provide all necessary personnel, administrative, financial, and managerial resources necessary to perform all tasks issued against this contract.

SECTION D ‐ DELIVERIES OR PERFORMANCE

D.1 Place of Performance. The Contractor shall perform development work at the Contractor’s work site location (off‐site). Desk, phone, and computer will be made available to Contractor personnel at the SEC for temporary use in the performance of this contract if needed.

D.1 Schedule of Deliverables. The Contractor shall prepare and provide deliverables in electronic format to the COR. The COR will review all deliverables and provide comments and/or approvals/disapprovals in a timely manner so as not to adversely impact the project schedule. Deliverable schedules may include, but will not be limited to, the following:

ITEM Due Date Schedule

SEC Enterprise Membership Access

Within 10 days of award of contract

In person and On‐Demand Programs (Day Long/Multi‐Day) Access

Within 15 days of award of contract4

Training Reports

Within 45 days of award of contract

Monthly

Training Records (Correspondence Reports, Attendance Records, CLE and CPE Certificates

10/01/2024