Exception_to_Fair_Opportunity_-_NEP_TO_Extension_(Mod_0001)_FINAL_Redacted.pdf

JUSTIFICATION FOR AN EXCEPTION TO FAIR OPPORTUNITY

Orders under Multiple Award Contracts / Fair Opportunity – FAR 16.505

Requisition Number:

Contract/Order Number: SECHQ1-13-D-0045/0001 Procurement Title: National Examination Program Systems Contracting Office: Office of Acquisitions Estimated Value of Total Increases: $ Authority: FAR 16.505(b)(2)(i)(C)

JUSTIFICATION FOR AN EXCEPTION TO FAIR OPPORTUNITY

Number: - Modification 0001

The purpose of this modification is to revise the original Justification for An Exception to Fair Opportunity to complete the RTS/Trends Pilot. Section 1 is restated herein for record-keeping purposes but remains unchanged. Sections 2, 3, 4, 6 and 7 are amended as shown below, all other sections remain unchanged.

1. Identification of the agency and the contracting activity.

U.S. Securities and Exchange Commission (SEC) Office of Acquisitions 100 F Street, NE Washington, DC 20549

2. Nature and/or description of the action being approved.

This task order provides SEC with application development, enhancements, and system integration support for the National Examination Program (NEP) Systems which are comprised of systems such as: (1) Tracking Reporting Examination National Documentation System (TRENDS), which manages the NEP processes to include tracking and reporting of examination data and management of electronic documents, (2) Exam Feedback System (EFS), which is a Microsoft SharePoint application that integrates with TRENDS to retrieve Exam Information, (3) Registrant Tracking System (RTS) for pre-exam and examination processes, and (4) Rule 19D1 Filing Tracking System, which automates the collection of Rule 19d-1 filings from self-regulatory organizations and maintains the information.

This justification is to extend the period of performance of this task order to complete the RTS/Trends Phase II as an exception to fair opportunity.

The period of performance is extended through 31 December 2020 with one (1) 12-month option period through 31 December 2021. The estimated total increase via this modification is $ The estimated total value under this justification is increased by $ from $ to $ .

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3. A description of the supplies or services required to meet the agency’s needs (including the estimated value).

The SEC requires the following services:

(a) Application Development, System Integration, Reports Development, Enhancements of the NEP Systems (TRENDS, RTS, 19D-1, and the Exam Scheduling System)

(b) Implementation of Enhanced Reporting Functionality for the DataMart, TRENDS, and

RTS

(c) Design and Development of TRENDS and RTS on New Target Architecture (Phase II)

(d) Migration of data from Sybase to Oracle database

The estimated additional value of the extension through 31 December 2020 is , provided in FY19 funding.

The total estimated additional value for the extension through 31 December 2021 is

4. Identification of the exception to fair opportunity (see 16.505(b)(2)) and the supporting rationale, including a demonstration that the proposed contractor’s unique qualifications or the nature of the acquisition requires use of the exception cited. If the contracting officer uses the logical follow-on exception, the rationale shall describe why the relationship between the initial order and the follow-on is logical (e.g., in terms of scope, period of performance, or value:

(a) Exception to Fair Opportunity:

This order will be extended on a sole-source basis in the interest of economy and efficiency because it is a logical follow-on to an order already issued under the contract, provided that all awardees were given a fair opportunity to be considered for the original order pursuant to the authority of FAR 16.505(b)(2)(i)(C).

(b) Supporting Rationale:

As part of the initial task order extension, the contractor began to plan the development and migration of TRENDS and RTS off the Oracle Fusion Middleware platform to improve usability due to technical limitations of the existing platform, application and environment stability, and application scalability.

Phase I, the TRENDS Pilot, which includes the proof of concept, will prove that the envisioned technology for the re-engineered application is feasible. Phase I was projected to be completed by 31 December 2019 with the goal to move the applications to the SEC’s cloud environment.

The Migration Planning Task was delayed due to unforeseeable circumstances such as the Government Shutdown in January 2019 as well as unanticipated feedback that was received which required additional time to address the concerns and come to resolution and approval to move forward.

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. These events will lead to a delay in the completion of the Planning Task until approximately April 2020.

Following completion of the proof of concept in Phase I, the buildout of the application as well as the required business process reengineering is set to result in a production-ready application (Phase II).

This ultimate completion date of this order is currently on 14 August 2020. Phase II work will still be ongoing at that time. Re-competing the task order at this time would pose a number of challenges:

- Re-competing the work in the middle of on-going development activities would not allow for fair competition due to the intimate knowledge by the incumbent of the work currently performed and the work that would be needed to successfully complete the development.

- Transitioning the project in the middle of on-going, complex development would complicate the transition from one contractor to the next increasing the risk of cost overruns and extended timelines.

The migration of TRENDS and RTS (Phase II) is projected to take until August 2021. After the go-live date, there will be an O&M warranty period and necessary retirement activities to be completed. To allow for these activities to be completed and to provide for sufficient time to transition to a potentially new contractor, this task order must be extended through 31 December 2021.

6. Any other facts supporting the justification.

n/a

7. A statement of the actions, if any, the agency may take to remove or overcome any barriers that led to the exception to fair opportunity before any subsequent acquisition for the supplies or services is made.

(a) Procurement History:

SECHQ113D0045/0001 was competitively awarded to Pyramid Systems on 9 June 2014 for a period of performance of one year with four (4) one-year option periods through 8 June 2019.

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(b) Subsequent Acquisitions:

The work represented by this proposed modification to the justification reflects work within the referenced task order, which has not yet been completed. The SEC intends to use competitive procedures for any future support needed at the completion of this task order given that there will be more certainty regarding the new platform.

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TECHNICAL AND CERTIFICATION: I certify that the supporting data under my cognizance which are included in the justification are accurate and complete to the best of my knowledge and belief.

NAME: SIGNATURE: ________________

(Print/Type)

TITLE/ORGANIZATION: PHONE:

(Print/Type)

CONTRACTING OFFICER CERTIFICATION: I certify that this justification is accurate and complete to the best of my knowledge and belief.

NA or SIGNATURE: _ _ _

TITLE:

GENERAL COUNSEL REVIEW: Based upon the facts and rationale presented herein, this justification appears legally sufficient.

NA n SIGNATURE: _ _ _______

PROCURING ACTIVITY COMPETITION ADVOCATE: I have reviewed this justification and find it to be accurate and complete to the best of my knowledge and belief.

NA ld SIGNATURE: _ ___

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0 6:47:23

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SENIOR PROCUREMENT EXECUTIVE APPROVAL: I have reviewed this justification and find it to be accurate and complete to the best of my knowledge and belief. Since this justification does not exceed $68M, this review serves as approval.

NA ll SIGNATURE:

e)