RFQ_SECHQ1-15-Q-0185_-_Combined_Synopsis_Solicitation_for_XBRL_Subscription_Services_for_130_user_licenses.pdf

SEE ADDENDUMIS CHECKED

CODE 18a. PAYMENT WILL BE MADE BY

CODE

FACILITYCODE

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

OFFEROR

SEC-OA - 01

WASHINGTON DC 20549

100 F STREET NE

IT - 01 SUPPORT BRANCH

OFFICE OF ACQUISITIONS

SECURITIES AND EXCHANGE COMMISSION

CODE 16. ADMINISTERED BYCODE

X

X

518210

SIZE STANDARD:

% FOR:SET ASIDE:UNRESTRICTED ORSEC-OA - 01

RFPIFB

10. THIS ACQUISITION ISCODE

RFQ

14. METHOD OF SOLICITATION

13b. RATING

NAICS:

SMALL BUSINESS

09/02/2015 1200 ES

08/26/2015

202-551-7418JULIA JONES

(No collect calls)

INFORMATION CALL:

FOR SOLICITATION 8. OFFER DUE DATE/LOCAL TIMEb. TELEPHONE NUMBER a. NAME

4. ORDER NUMBER3. AWARD/ 6. SOLICITATION

SECHQ115Q0185

5. SOLICITATION NUMBER

SOLICITATION/CONTRACT/ORDER FOR COMMERCIAL ITEMS 1. REQUISITION NUMBER PAGE OF

1 15 OFFEROR TO COMPLETE BLOCKS 12, 17, 23, 24, & 30

MAIL STOP 4226

TELEPHONE NO.

17a. CONTRACTOR/

15. DELIVER TO

WASHINGTON DC 20549

MAIL STOP 4226

100 F STREET NE

IT - 01 SUPPORT BRANCH

OFFICE OF ACQUISITIONS

9. ISSUED BY

7.

2. CONTRACT NO.

EFFECTIVE DATE

$32.5

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

ISSUE DATE

DELIVERY FOR FOB DESTINA-

TION UNLESS BLOCK IS

MARKED

11.

SEE SCHEDULE

12. DISCOUNT TERMS

THIS CONTRACT IS A

RATED ORDER UNDER

DPAS (15 CFR 700)

13a.

SERVICE-DISABLED

VETERAN-OWNED

SMALL BUSINESS

HUBZONE SMALL

BUSINESS

8(A)

SECURITIES AND EXCHANGE COMMISSION

WOMEN-OWNED SMALL BUSINESS

(WOSB) ELIGIBLE UNDER THE WOMEN-OWNED

SMALL BUSINESS PROGRAM

EDWOSB

24.

AMOUNT

23.

UNIT PRICE

22.

UNIT

21.

QUANTITY

20.

SCHEDULE OF SUPPLIES/SERVICES

19.

ITEM NO.

The purposes of this combine/synopsis solicitation is to procure an XBRL Subscription Service for 130 user licenses that will enable SEC staff to use interactive data in their regulatory work. See attach details.

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

HEREIN, IS ACCEPTED AS TO ITEMS:

X

XX

DATED

JOHN B. BOVA

. YOUR OFFER ON SOLICITATION (BLOCK 5),

INCLUDING ANY ADDITIONS OR CHANGES WHICH ARE SET FORTH

COPIES TO ISSUING OFFICE. CONTRACTOR AGREES TO FURNISH AND DELIVER

ARE

ARE

31c. DATE SIGNED

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

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

30c. DATE SIGNED 31b. NAME OF CONTRACTING OFFICER (Type or print)

ALL ITEMS SET FORTH OR OTHERWISE IDENTIFIED ABOVE AND ON ANY ADDITIONAL

SHEETS SUBJECT TO THE TERMS AND CONDITIONS SPECIFIED.

27a. SOLICITATION INCORPORATES BY REFERENCE FAR 52.212-1, 52.212-4. FAR 52.212-3 AND 52.212-5 ARE ATTACHED. ADDENDA

26. TOTAL AWARD AMOUNT (For Govt. Use Only)

OFFER

STANDARD FORM 1449 (REV. 2/2012)

Prescribed by GSA - FAR (48 CFR) 53.212

ARE NOT ATTACHED.

ARE NOT ATTACHED.

AUTHORIZED FOR LOCAL REPRODUCTION

PREVIOUS EDITION IS NOT USABLE

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

30a. SIGNATURE OF OFFEROR/CONTRACTOR

28. CONTRACTOR IS REQUIRED TO SIGN THIS DOCUMENT AND RETURN

25. ACCOUNTING AND APPROPRIATION DATA

29. AWARD OF CONTRACT:

REF.

32e. MAILING ADDRESS OF AUTHORIZED GOVERNMENT REPRESENTATIVE

32c. DATE 32b. SIGNATURE OF AUTHORIZED GOVERNMENT REPRESENTATIVE

ACCEPTED, AND CONFORMS TO THE CONTRACT, EXCEPT AS NOTED:

32a. QUANTITY IN COLUMN 21 HAS BEEN

RECEIVED INSPECTED

40. PAID BY39. S/R VOUCHER NUMBER38. S/R ACCOUNT NUMBER

37. CHECK NUMBER

FINALPARTIAL

36. PAYMENT

FINALPARTIAL

35. AMOUNT VERIFIED

CORRECT FOR

34. VOUCHER NUMBER33. SHIP NUMBER

COMPLETE

32g. E-MAIL OF AUTHORIZED GOVERNMENT REPRESENTATIVE

42d. TOTAL CONTAINERS42c. DATE REC'D (YY/MM/DD)

42b. RECEIVED AT (Location)

42a. RECEIVED BY (Print)

41c. DATE41b. SIGNATURE AND TITLE OF CERTIFYING OFFICER

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

STANDARD FORM 1449 (REV. 2/2012) BACK

24.

AMOUNT

23.

UNIT PRICE

22.

UNIT

21.

QUANTITY

20.

SCHEDULE OF SUPPLIES/SERVICES

19.

ITEM NO.

00001 Base Year: XBRL Subscription Services (130 user licenses)

Period of Performance: 09/27/2015 to 09/26/2016

00002 Option Year 1: XBRL Subscription Services (130 user licenses)

(Option Line Item)

09/27/2016

Period of Performance: 09/27/2016 to 09/26/2017

00003 Option Year 2: XBRL Subscription Services (130 user licenses)

(Option Line Item)

09/27/2017

Period of Performance: 09/27/2017 to 09/26/2018

00004 Option Year 3: XBRL Subscription Services (130 user licenses)

(Option Line Item)

09/27/2018

Period of Performance: 09/27/2018 to 09/26/2019

00005 Option Year 4: XBRL Subscription Services (130 user licenses)

(Option Line Item)

09/27/2019

Period of Performance: 09/27/2019 to 09/26/2020

32f. TELEPHONE NUMBER OF AUTHORIZED GOVERNMENT REPRESENTATIVE

32d. PRINTED NAME AND TITLE OF AUTHORIZED GOVERNMENT REPRESENTATIVE

15 2 of

Page 3 of 15 RFQ: SECHQ1-15-Q-0185

A. Combined Synopsis/Solicitation:

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; quotes 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).

The Request for Quote (RFQ) number is SECHQ1-15-Q-0185 and shall be referenced on any offer submitted.

This solicitation document and incorporated provisions and clauses are those in effect through

Federal Acquisition Circular (FAC) 2005-83, effective August 03, 2015.

The North American Industry Classification System (NAICS) code for this acquisition is 518210 and the business size standard is $32.5 million. This RFQ is being solicited on an unrestricted basis.

The U.S. Securities and Exchange Commission (SEC) intends to award a firm fixed price contract in accordance with FAR Subpart 13.5, Test Program for Certain Commercial Items in conjunction with FAR Part 12, Acquisition of Commercial Items for XBRL subscription services in accordance with the below Statement of Work. The period of performance is from September 27, 2015 through September 26, 2016 with four (4) one (1) year option periods.

B. Statement of Work:

B.1. Scope. Through this synopsis/solicitation, the SEC intends to procure a commercial subscription agreement for vendor-hosted standardized XBRL data subscription and analytic services. The data set accessed through the service must include the following:

1. All public XBRL filings submitted to the SEC via the EDGAR disclosure system since

June 30, 2009.

2. Data set must be available at the time Offeror responds to this solicitation.

3. Going forward, the service must add XBRL data and exhibits subsequently filed with the

SEC to the repository on a timely basis.

4. The cost of maintaining a complete, up-to-date set of XBRL filings shall be included in the pricing proposal.

5. Encouraged to provide access to additional publicly available interactive data files (e.g.

XML, XBRL) from the SEC such as the Forms 3/4/5 and the Mutual Funds Risk/Return

Forms (starting in December 2010), and from other U.S. Government sources such as the

FDIC.

6. Services shall be accessible via the Internet. It must have an intuitive and user-friendly interface for accessing and analyzing the service's data via any computer connected to the Internet through a standard browser (e.g., Internet Explorer) and an Excel application plug-in. If the w eb-based interface is used, users must be able to download their analyses from the Internet -based interface into a spreadsheet format.

7. Services shall provide robust analysis and reporting features that will maximize the utility to the SEC of interactive SEC filing data, including ratio analyses, trend analysis across time for a single company and across multiple user selected or industry-specific companies.

8. Services shall keep the associated technologies, data, and services up-to-date with relevant technology standards, and must keep the methodology (of searches and data http://farsite.hill.af.mil/reghtml/regs/far2afmcfars/fardfars/far/12.htm#P292_49018

Page 4 of 15 RFQ: SECHQ1-15-Q-0185 requests), stored searches and analyses, and search and analysis history, secure and up-to-date.

9. Service shall allow for full access to a downloadable feed via an application programming interface (API). The API should be able to be integrated into multiple programming platforms and configurable to allow a user to extract information by specific data sets, fields and filters. The API must be able to return populations ranging from single-company specifications to database-wide downloads and in a format that allows users to render and analyze the information in external database platforms.

10. Service shall provide training, in either live, web-based live, or video-based format (or a combination of the three formats) to users, as well as timely phone or email technical support.

B.1.1 System Performance . Service shall allow users to do the follow ing:

1. Perform financial data searches for a supplied search term such as company name.

2. Perform metadata or financial searches for a supplied company ticker, CUSIP or CIK to build company profiles and financial statements for analysis.

3. Perform targeted searches that match user defined tags and location terms.

4. Retrieve individual company’s descriptive information, financials and/or ratios.

5. Query for companies based on specific filters or screening criteria.

6. Retrieve insider rosters and trading activity.

7. Access institutional ownership data for investor targeting.

8. Access a downloadable feed of the entire population of standardized XBRL data available by the Offeror via an application programming interface (API).

9. Provide live, web-based live, or video-based training.

B.2 Applicable Documents. The Contractor shall comply with all applicable laws, regulations, federal mandates, and SEC policies and procedures in performing the Contract. Applicable documents include the following:

1. Federal Requirements and Industry Standards:

a. ‘ T it le II1 of the E-Government Act of2002 (Pub. L. 107-347,44 U.S.C.

Chapter 36), Federal Information Security Management Act of2002 (FISMA);

b. Section 508 of the Rehabilitation Act of 1973, as amended (29 U.S.C.

794d) for system accessibility requirements;

c. Office of Management and Budget (OMB) Memorandum M-09-29, FY

2009 Reporting Instructions for the Federal Information Security

Management Act and Agency Privacy Management;

d. OMB Memorandum M-03-22, OMB Guidance for Implementing the Privacy Provisions

[Section 208] of the E-Govemment Act of 2002, September 30, 2003;

e. OMB Memorandum M-00-13, Privacy Policies and Data Collection on

Federal Web Sites, June 22, 2000;

f. OMB Memorandum M-99-18, Privacy Policies on Federal Web Sites, June 2, 1999;

g. OMB Circular A-130, Appendix III, Security of Federal Automated

Information Systems, http:/Icsrc.ncsl.nist.gov/secplcy/a130app3.txt;

h. NIST, Guide to Secure Web Services, SP 800-95, Aug 2007;

i. NIST, Guide to Computer Security Log Management, SP 800-92, Sep

2006;

Page 5 of 15 RFQ: SECHQ1-15-Q-0185

j. NIST, Guidelines for Media Sanitization, SP 800-88, Sep 2006;

k NIST, Computer Security Incident Handling Guide, SP 800-61 Rev. 1, Mar2008;

1. NIST, Recommended Security Controls for Federal Information Systems and

Organizations, SP 800-53 Rev. 3, Aug 2009;

m. NIST, Guide for Assessing the Security Controls in Federal Information

Systems, SP 800-53 A, Jul2008;

n. NIST, Guidelines on Securing Public Web Servers, SP 800-44 Version 2, Sep 2007;

o. NIST, Risk Management Guide for Information Technology Systems, SP

800-30, Jul 2002.

2. SEC Rulemakings:

a. Interactive Data to Improve Financial Reporting, Securities Act Release

No. 33-9002;

b. Interactive Data for Mutual Fund Risk/Return Summary, Securities Act

Release No. 33-9006;

c. Amendments to Rules for Nationally Recognized Statistical Ratings

Organizations, Exchange Act Release No. 34-59342.

3. SEC Administrative Regulations (available upon request):

SECR No. Title Date

24-1.2 Introduction of New Technology Into the Agency 04/15/2004

24-1.6 Enterprise Architecture 11/25/2002

24-04 Information Technology Security Program 10/04/2005

24-04.A01 Rules of the Road 06/23/2010

24-08 Management and Protection of Privacy Act Records and other Personally Identifiable Information

4/14/2010

4. Other relevant security policies and procedures (available upon request):

Document No. Title Date

OD 24-04.01 Security Policy, Program Management, and Organizational

Security

12/14/2005

OD 24-04.04 IT Security Operations and Communications Security Management Program

03/20/2006

OD 24-04.06 IT Security Access Management Program 12/12/2005

II 24-04.06.01 Identification and Authentication 07/09/2008

Page 6 of 15 RFQ: SECHQ1-15-Q-0185

II 24-04.06.03 Access Control 04/06/2006

OP24-

04.08.01.03

Information Security Impact Analysis 09/09/2009

OD 24-04.09 IT Security Business Continuity Management Program 12/12/2005

OD 24-04.10 IT Security Compliance Program 04/12/2006

II 24-04.10.01 IT Security Certification and Accreditation 06/29/2005

II 24-04.10.02 IT Security Risk Management 12/22/2005

II 24-04.01.01 System Security Planning 12/29/2005

5. OIT Section 508 Policies and Procedures (available upon request):

00-35-010-

001.0

Access to Electronic and Information Technology 10/09/2001

00-35-011-

001.0

OIT Section 508/Rehabilitation Act Compliance Standards and Guidelines

10/09/2001

00-35-012-

001.0

Section 508/Rehabilitation Act Design Guidelines 10/09/2001

00-35-015-

001.0

Section 508/Rehabilitation Project Management Checklist 10/09/2001

0IT-00020-

001.1

OIT Section 508/Rehabilitation Act Technical Testing

Reference Guide

10/31/2002

II24-

06.06.03.T01

Section 508/Rehabilitation Act Compliance Certification 07/30/2008

The Contractor shall use any documents and standards that supersede the above-cited documents during the course of work under this contract.

C. List of Attachments:

Attachment A Tax-Liability Certification

Attachment B VPAT Section 508 Template Attachment C Non-Disclosure Agreement (Contractor)

Attachment D Non-Disclosure Agreement (Contract Personnel)

D. Submission of Quotes:

The following addenda to FAR provision 52.212-1, Instructions to Offerors –Commercial applies to this acquisition:

Offerors shall follow the guidelines below in preparing its response. All documents should be submitted electronically in MS Word/Excel or compatible format.

Page 7 of 15 RFQ: SECHQ1-15-Q-0185

Offerors shall submit their quote in accordance with their standard commercial practices (including providing brochures, web links, written or graphic descriptions, sample reports, or any combination of these or similar means that succinctly describes their product), and include the following information:

1. Complete Business Name and Mailing Address;

2. Contract Number, phone number, and email address;

3. DUNS of company providing the services;

4. Discounts for prompt pay if applicable;

5. Dun & Bradstreet number;

6. Taxpayer ID number;

7. Copy of Representations and Certifications from www.sam.gov

Factor 1Technical Quote: Offerors shall submit a technical quote that demonstrates the Offerors technical ability to meet all the requirements outlined in the Statement of Work for the commercial XBRL subscription service for 130 user licenses, including features such as the breadth and types of data that can be accessed, analysis and reporting capabilities, user training and support (including wizards, formula-builders, and automated processes), the availability of notifications and alerts, the ability to personalize the user interface for individual users, and the ease of service access both within and outside the SEC network.

Offerors must include completed attachment A, B, C, and D prior to commencing work under this solicitation.

Factor 2 Price Quote:

a. Provide a Firm Fixed Price (FFP) quote in accordance with SF 1449 that includes a price quote for each CLIN for the Base and Option Periods. Offerors must include costs for all services, whether included in the Offeror’s annual subscription fee or provided under a separate charge.

b. The price quote shall be complete and accurate in all respects and provide all pricing data to demonstrate Offeror’s ability to satisfactorily perform the work called for by the solicitation.

c. The Price Quote shall include:

A completed and signed Page 1 of the SF 1449 with the Contractor’s Tax Payer Identification number (TIN) and DUNS number typed.

The Offeror must meet all requirements as listed in Sections A-J and be registered in SAM. A copy of the current SAM registration shall be included in the Price Quote submitted.

The Price Quote must include the Tax Identification Number (TIN) of the Offeror.

A statement of the financial qualifications of the Offeror and its ability to financially support and fulfill the requirements of the contract. The Offeror must submit its latest financial statements and/or D&B report. This section shall not exceed 5 pages.

A statement explaining how the price was derived.

http://www.sam.gov/

Page 8 of 15 RFQ: SECHQ1-15-Q-0185

Offerors shall submit offers electronically to Julia Jones at jonesjl@sec.gov with a copy to John Bova at bovaj@sec.gov no later than 12PM EST, September 2, 2015. All questions shall be submitted to jonesj@sec.gov no later than 12PM EST, August 28, 2015. Oral questions (telephone) will not be addressed or entertained.

IMPORTANT NOTICE TO CONTRACTORS: All prospective awardees are required to register at

SAM and to maintain active registration during the life of the contract. SAM can be accessed at https://www.sam.gov.

The following addenda to FAR provision, 52.212-2, Evaluation –Commercial Items applies to this acquisition:

E. Evaluation of Quotes:

(a) The Government will award a contract 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 factor(s) shall be used to evaluate offers:

(i) Technically Acceptable

(ii) Price

F. Contract Clauses:

The offeror shall include a completed copy of the provision at 52.212-3, Offeror Representations and Certification –Commercial Items, with its offer. An offeror shall complete only paragraphs (b) of this provision if the offeror has completed the annual representations and certificates 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.

FAR clause 52.212-4, Contract Terms and Conditions –Commercial Items, applies to this acquisition.

FAR clause 52.212-5, Contract Terms and Conditions Required to Implement Statutes or Executive

Orders –Commercial Items applies to this acquisition of which the additional FAR clauses are applicable to the acquisition:

52.203-6, Restrictions on Subcontractor Sales to the Government (Sept 2006), with Alternate I (Oct

1995);

52.204-10, Reporting Executive compensation and First-Tier Subcontract Awards (Jul 2013);

52.209-6, Protecting the Government’s Interest When Subcontracting with Contractors Debarred, Suspended, or Proposed for Debarment (Aug 2013);

52.219-8, Utilization of Small Business Concerns (Jul 2013);

52.219-28, Post Award Small Business Program Rerepresentation (Jul 2013);

52.222-3, Convict Labor (June 2003) (E.O. 11755);

52.222-21, Prohibition of Segregated Facilities (Feb 1999);

52.222-26, Equal Opportunity (Mar 2007);

mailto:jonesjl@sec.gov mailto:bovaj@sec.gov mailto:jonesj@sec.gov http://www.acquisition.gov/

Page 9 of 15 RFQ: SECHQ1-15-Q-0185

52.222-35, Equal Opportunity for Veterans (Sep 2010);

52.222-36, Affirmative Action for Workers with Disabilities (Oct 2010);

52.222-37, Employment Reports on Veterans (Sep 2010);

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

52.223-18, Encouraging Contractor Policies to Ban Text Messaging while Driving (Aug 2011);

52.225-13, Restrictions on Certain Foreign Purchases (Jun 2008); and

52.232-33, Payment by Electronic Funds Transfer— System for Award Management (Jul 2013).

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

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 six (6) months. The Contracting Officer may exercise the option by written notice to the Contractor within the preceding period of performance.

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 15 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 four (4) years, and six (6) months.

52.232-40 Providing Accelerated Payments to Small Business Subcontractors (DEC 2013)

(a) Upon receipt of accelerated payments from the Government, the Contractor shall make accelerated payments to its small business subcontractors under this contract, to the maximum extent practicable and prior to when such payment is otherwise required under the applicable contract or subcontract, after receipt of a proper invoice and all other required documentation from the small business subcontractor.

(b) The acceleration of payments under this clause does not provide any new rights under the Prompt

Payment Act.

(c) Include the substance of this clause, including this paragraph (c), in all subcontracts with small business concerns, including subcontracts with small business concerns for the acquisition of commercial items.

G. Special Contact Requirements:

3001.01 Inspection and Acceptance by the Contracting Officer’s Representative (COR) (Aug 2013)

Inspection and Acceptance of supplies and/or services to be furnished under this contract will be performed by the Contracting Officer’s Representative (COR) – TBD. Inspection and Acceptance will be performed at the U.S. Securities and Exchange Commission, 100 F Street, NE Washington, DC 20549.

Page 10 of 15 RFQ: SECHQ1-15-Q-0185

4001.00 Period of Performance w/Option Years (Mar 2009)

The base period of performance under this contract shall be from 08/01/2014 through 07/31/2015. This contract has four (4) option years. At the end of the base year, if exercised, the first option will begin. If all options are exercised, the period of performance will not exceed a total of five years. If exercised, the period of performance for each successive option will begin the day after expiration of the previous period. Exercise of any option requires a contract modification signed by the SEC Contracting Officer.

Base Period: 09/27/2015 – 09/26/2016.

Option Year 1: 09/27/2016 – 09/26/2017

Option Year 2: 09/27/2017 – 09/26/2018

Option Year 3: 09/27/2018 – 09/26/2019

Option Year 4: 09/27/2019 – 09/26/2020

4003.00 Place of Delivery- FOB Destination (June 2013)

The deliverables to be furnished under this contract shall be delivered to the following address:

U.S. Securities and Exchange Commission

Attn: TBD

Contracting Officer Representative (COR) 100 F Street NE

Washington DC, 20549

5001.00 Contract Administration (Aug 2011)

This contract/delivery order will be administered by the SEC's Office of Acquisitions. All inquiries should be directed to the following address:

Securities and Exchange Commission

Office of Acquisitions

Attn: Julia Jones

Phone: 202-551-7418 Email: jonesjl@sec.gov

100 F Street, NE

Washington, DC 20549

5003.00 Submission of Invoices (April 2012)

The Securities and Exchange Commission accepts only electronic/e-mail invoices. Invoices shall be submitted on a submission of deliverable basis.

Contractors should submit invoices in accordance with the SEC Prompt Payment Provision of the contract. Contractors are cautioned against submitting an invoice prior to goods and services being received/accepted. Invoices submitted prematurely may be rejected.

Electronic/e-mail Invoice Instructions:

Invoices must be in PDF Format and may not exceed 10MB

Subject Line: Company name and the invoice number.

e-mail Message:

mailto:jonesjl@sec.gov

Page 11 of 15 RFQ: SECHQ1-15-Q-0185 o Company logo or letterhead;

o Company name and payment address;

o Company point of contact (POC) for the invoice with phone and e-mail;

o Invoice Number;

o SEC Contract or Order number; and o SEC COR.

For supplies: Contract line item number, item description, quantity delivered, and unit and extended price, per Section B CLIN structure

For services: Contract line item number, item description, period of performance and associated costs, per Section B, contract line item, CLIN, structure.

Shipping and handling charges, if applicable.

Clearly mark duplicates of previous invoice submissions with "DUPLICATE."

Clearly mark the final invoice with "FINAL INVOICE."

Attach the invoice and any supporting documents in a secure tamper-proof or tamper-resistant format compatible with Adobe Acrobat.

Electronic signatures are acceptable in scanned documents. Each page of a document must be clearly marked with information identifying it with the company, the contract, the invoice, and any other information required by the contract.

E-mail invoices to the following address: 9-AMC-AMZ-SEC-Invoices@faa.gov

5003.02 Software license Maintenance and Subscription Service Invoicing (Mar 2009)

It is customary commercial practice to pay for software licenses maintenance at the beginning of the contract period of performance, after submittal of a proper invoice.

5003.03 Option Period Invoicing (Mar 2009)

Option periods may be paid only after (1) an option modification has been issued by the Contracting

Officer; and (2) the Government’s receipt of a proper invoice from the Contractor. An invoice received by the Government prior to issuance of an option modification will be rejected as an improper invoice.

5004.00 Appointment of Contracting Officer’s Representative (COR) (Nov 2012)

The Contracting Officer (CO) shall appoint, in writing, a Contracting Officer’s Representative (COR) and, if possible, an Alternate COR for this award. The COR and Alternate COR shall have a current Federal Acquisition Certification for CORs (FAC-COR) at the appropriate certification level for the contract. A COR may serve on a contract requiring certification at or below his/her level, but not on one requiring a higher level. The CO shall provide the Contractor with a copy of the COR appointment letter(s). The COR may not re-delegate his or her authority; only the CO has this authority.

The COR will manage the contract in coordination with the CO and within the terms of the contract and mailto:9-AMC-AMZ-SEC-Invoices@faa.gov

Page 12 of 15 RFQ: SECHQ1-15-Q-0185 the boundaries of a COR’s duties as outlined in the document “Instructions for CORs and Their

Supervisors.” The COR’s responsibilities include reviewing invoices and charges by the Contractor and informing the CO of areas where exceptions are taken. If this is an award for services and contractor personnel are brought on-site to SEC facilities, the COR must adhere to SECR 10-24.

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.

5007.00 Payment Information (Feb 2012)

Payment will be made to small business contractors within 15 days of receipt of a valid invoice.

Unless otherwise stated, and the contractor is not a small business, payment will be made within the guidelines of the Prompt Payment Act and requires that payment is made within 30 days from receipt of a valid invoice.

6002.00 Type of Contract (Mar 2009)

This is a firm-fixed price (FFP) type contract.

6003.00 Representations and Certifications (Mar 2009)

The Contractor’s completed Representations, Certifications, and Other Statements of Offerors or

Respondents is incorporated herein by reference.

6012.02 Section 508 Requirements (Mar 2011)

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 electronic and information technology (EIT) products and services developed, acquired, maintained, and/or used under this contract/order must comply with the Electronic and Information Technology Accessibility Provisions set forth by the Architectural and Transportation Barriers Compliance Board (also referred to as the “Access Board”) in FAR 39.2.The complete text of

Section 508 Final Provisions can be accessed at http://www.access-board.gov/sec508/provisions.htm.

All EIT products must comply with the following standards. Descriptions of the standards are viewable at the link Section 508 Standards.

36 CFR 1194 Section 21-Software applications and operating systems

36 CFR 1194 Section 22-Web-based Intranet and Internet Information and Applications

36 CFR 1194 Section 23-Telecommunication Products

36 CFR 1194 Section 24-Video and Multimedia Products

36 CFR 1194 Section 25-Self contained, closed products

36 CFR 1194 Section 26-Desktop and Portable Computers

36 CFR 1194 Section 31-Functional Performance Criteria

36 CFR 1194 Section 41-Information, documentation, and support

Offerors that fail to demonstrate compliance with the above standards, or provide equivalent salient characteristics, may be eliminated from further consideration for award.

http://www.access-board.gov/sec508/provisions.htm http://www.section508.gov/index.cfm?fuseAction=stdsSum

Page 13 of 15 RFQ: SECHQ1-15-Q-0185

The Contractor shall indicate for each line item in the schedule whether each product or service is compliant or non-compliant with the accessibility standards at 36 CFR 1194 using a Voluntary Product

Accessibility Template (VPAT). Further, the quote must indicate where full details of compliance can be found (e.g., vendor’s website or other exact location). The offeror further represents that all EIT products and services that are less than fully compliant have been reviewed and plans to correct are in place.

Respondents to this solicitation must provide any additional detailed information necessary for determining applicable Section 508 standards conformance, as well as for documenting EIT products and/or services that are incidental to the project, which would constitute an exception to Section 508 requirements. If a vendor claims its products and/or services, including EIT deliverables such as electronic documents and 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 Contractor at its expense.

6012.02 *A.01 Electronic and Information Technology (Mar 2009)

In accordance with Section 508 of the Rehabilitation Act of 1973 (29 U.S.C. 794d), all EIT supplies or services provided under this contract must comply with the applicable accessibility standards issued by the Architectural and Transportation Barriers Compliance Board at 36 CFR Part 1194 (see FAR Subpart

39.2). Electronic and information technology (EIT) is defined at FAR 2.101.

6012.04 Electronic and Information Technology Accessibility (Mar 2011)

Each Electronic and Information Technology (EIT) product or service furnished under this contract shall comply with the Electronic and Information Technology Accessibility Standards (36 CFR 1194 ). If the

Contracting Officer determines any furnished product or service is not in compliance with the contract, the Contracting Officer will promptly inform the Contractor in writing. The Contractor shall, without charge to the Government, repair or replace the non-compliant products or services within the period of time to be specified by the Government in writing. If such repair or replacement is not completed within the time specified, the Government shall have the following recourses:

The right to Termination of the contract, delivery or task order, purchase or line item without termination liabilities pursuant to the contract termination clauses; or In the case of custom Electronic and Information Technology (EIT) being developed for the Government, the Government shall have the right to have any necessary changes made or repairs performed by itself or by another firm and the contractor shall reimburse the Government for any expenses incurred thereby.

For every EIT product or service accepted under this contract by the Government that does not comply with 36 CFR 1194, the contractor shall, at the discretion of the Government, make every effort to replace or upgrade it with a compliant equivalent product or service, if commercially available and cost neutral, on either the planned refresh cycle of the product or service, or on the contract renewal date, whichever shall occur first.

In the event of a modification(s) to this contract/order, which adds new EIT products and services or revises the type of, or specifications for, products and services the Contractor is to provide, including EIT deliverables such as electronic documents and reports, the Contracting Officer may require that the contractor provide an update of information provided in the solicitation to identify EIT compliance.

Under any maintenance agreement, Contractor agrees to maintain compliance with Section 508 of the

Rehabilitation Act of 1973 for all EIT.

In order to comply with 36 CFR 1194 Section 41, the Contractor shall submit all soft copies (e.g., user manuals, product documentation, etc.) in a format that will be readable using assistive technology, (e.g., http://www.itic.org/index.php?src=gendocs&ref=vpat&category=resources http://www.itic.org/index.php?src=gendocs&ref=vpat&category=resources http://www.access-board.gov/sec508/standards.htm#Subpart_b

Page 14 of 15 RFQ: SECHQ1-15-Q-0185 screen reader). All imbedded charts, graphs, pictures, etc ., must be accessible and understandable using a screen reader.

6012.05 Personally Identifiable Information (PII) (Jun 2013)

A Contractor that designs, develops, or operates a system of records on individuals, or otherwise collects or has access to personally identifiable information (PII) in the performance of this contract shall, prior to taking such action, comply with the following requirements:

(a) The Contractor shall have established policies and procedures in place to safeguard SEC PII. The policies and procedures shall provide the Contractor’s processes for identifying, assessing and mitigating privacy risks associated with PII. The policies and procedures shall also cover training of employees on their roles and responsibilities for safeguarding SEC PII and incident management of suspected or confirmed loss of SEC PII in accordance with OMB’s

Recommendations for Identity Theft Related Data Breach Notification, September 20, 2006, and OMB Memorandum M-07-16, Safeguarding Against and Responding to the Breach of Personally

Identifiable Information, May 22, 2007.

(b) The Contractor shall also ensure that all processes, procedures and equipment associated with PII comply with all laws, regulations, and security mandates as defined by National Institute of Standards and Technology (NIST) Special Publication (SP) 800-61 Revision 1 and are aligned with the incident categories and timelines referenced in Table J-1 of NIST SP 800-61, as well as

U.S. government and SEC policies developed to safeguard the confidentially, integrity and availability of SEC data that may contain PII. In support of these requirements, the Contractor shall have:

policies, procedures, and mechanisms designed to restrict access to SEC data on

Contractor, subcontractor, or SEC inter/intra agency partner systems exclusively to authorized personnel;

policies, procedures, and mechanisms that prevent transmission or disclosure of SEC data to an unauthorized party;

policies, procedures, and mechanisms that ensure SEC data on portable devices are encrypted using methods compliant with Federal Information Processing Standard 140-2;

and policies, procedures, and mechanisms that ensure SEC data transmitted across public networks (i.e., the Internet) by the Contractor, or its employees, agents or subcontractors, are protected using encryption compliant with Federal Information Processing Standard

140-2.

(c) The Contractor shall provide quarterly assessments to the SEC demonstrating that the policies, procedures, and mechanisms required by (b) continue to be functional, that the Contractor is compliant with these requirements, and that these requirements are effective.

(d) The Contractor shall provide a copy of its privacy policies to the Contracting Officer. The

Contractor shall also provide a copy of the policies and procedures (or otherwise make such policies and procedures available) to all of its employees, agents, and subcontractors assigned to perform the requirements set forth in this contract.

Page 15 of 15 RFQ: SECHQ1-15-Q-0185

(e) The Contractor shall ensure that those individuals adhere to the Contractor’s policies and procedures relating to PII and to SEC-prescribed policies and procedures for the safe handling of SEC PII, including privacy and security training requirements and privacy incident management.

(f) The Contractor’s employees, agents, and subcontractors shall immediately alert the SEC of any event, including the suspected or confirmed loss of SEC PII, that could potentially affect the privacy rights of individuals or which violates any federal law, regulation, mandate or requirement as defined in NIST 800-122 by contacting the SEC Information Systems Security point of contact and the SEC Incident Response Team at cops@sec.gov. The Contractor shall act in accordance with its policies and procedures in the event of any suspected loss of SEC PII and shall support the SEC’s investigation and resolution of reported incidents as requested by the

SEC. For purposes of this Clause, a “suspected loss of PII” shall be interpreted liberally to mean any situation in which the loss of PII or unapproved access to PII is deemed a reasonable possibility.

6014.00 Use of Contractor Data and/or Materials (Mar 2009)

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.

Attachment A

Certification by Corporations Regarding an Unpaid Delinquent Tax Liability or a Felony Conviction under Federal Law (FEB 2012)

(a) In accordance with sections 630 and 631 of Division C of the Consolidated

Appropriations Act, 2012 (Publ. L. 112-74), none of the funds made available by the Act may be used to enter into a contract with any corporation that –

(1) Was convicted (or had an officer or agent of such corporation acting on behalf of the corporation) of a felony criminal violation under any Federal law within the preceding 24 months, where the awarding agency is aware of the conviction, unless the agency has considered suspension or debarment of the corporation, or such officer or agency and made a determination that this further action is not necessary to protect the interests of the Government.

(2) Has any unpaid Federal tax liability that has been assessed, for which all judicial and administrative remedies have been exhausted or have lapsed, and that is not being paid in a timely manner pursuant to an agreement with the authority responsible for collecting the tax liability, where the awarding agency is aware of the unpaid tax liability, unless the agency has considered suspension or debarment of the corporation and made a determination that this further action is not necessary to protect the interest of the Government.

(b) The Offeror certifies that –

(1) It is [ ] is not [ ] a corporation that has any unpaid Federal tax liability that has been assessed, for which all judicial and administrative remedies have been exhausted or have lapsed, and that is not being paid in a timely manner pursuant to an agreement with the authority responsible for collecting the tax liability; and

(2) It is [ ] is not [ ] a corporation that was convicted (or had an officer or agency of such corporation acting on behalf of the corporation) of a felony criminal violation under any Federal law within the preceding 24 months.

Corporate Officer’s Signature Date

Name of Corporation Solicitation Number

Attachment B (VPAT)

Table of Contents Updated July 31, 2008

Originally provided by the Social Security Administration Section 508 Program

Guide to Completing the Section 508 Evaluation Template

Section 508 Evaluation Template

Guide to Completing the Section 508 Evaluation Template

Purpose:

This document provides Vendors with instructions on completing the Section 508 Evaluation Template for the US Security and Exchange Commission

Background:

In 2001, the Information Technology Industry Council partnered with the General Services Administration to create a tool that would assist Federal contracting and procurement officials in fulfilling the market research requirements specified in Section 508. The result of their collaboration was the 508 Evaluation Template – a simple, web-based checklist that allows Vendors to document how their product did or did not meet the various Section 508 Requirements.

How the Section 508 Evaluation Template is organized:

This template is also known as the Voluntary Product Accessibility Template (VPAT)

The Section 508 Evaluation Template consists of a long series of tables. The Summary Table is used to provide a sense of your product’s overall “level-of-conformance” with the Section 508 Standards. Subsequently, the Section 1194.xx Tables contain the detailed subparagraphs that a Section 508 Standard is composed of. It is within these Section 1194.xx Tables that you will define in detail how your product did or did not comply with a specific requirement.

Understanding the columns

Use the following to understand the use of the three columns in the Section 508 Evaluation Template’s tables:

Summary Table

Column Name Use

Criteria: Describes Subparts B, C, and D of the Section 508 Standards.

Supporting Features:

Enter information summarizing a product’s overall “level-of support” for the corresponding Subpart or, when appropriate, to specify Not Applicable. DO NOT ENTER REMARKS OR

EXPLANATIONS IN THIS COLUMN.

Remarks/Explanations:

Enter general comments regarding a product’s overall “level-of-conformance” with the Applicable Subpart.

Section 1194.xx Tables

Column Name Use

Criteria: Describes a specific guideline that a Subpart is composed of.

Supporting Features: Enter information summarizing a product’s “level-of-support” for a specific guideline.

Remarks/Explanations: Enter detailed information on how the product did or did not support a specific guideline.

What information do I enter in columns 2 and 3?

The Supporting Features and Remarks/Explanations columns are used to document exactly how a product did or did not meet the Section 508 Standards.

Supporting Features (second column on 508 Evaluation Template)

Language What It Means…

Supports Product FULLY meets the letter and intent of the Criteria.

Supports with Exceptions Product does not ENTIRELY meet the letter and intent of the Criteria, but does provide some level of access.

Supports through Equivalent Facilitation Product provides alternative methods to meet the intent of the Criteria.

Does not Support Product does not meet the letter or intent of the Criteria.

Not Applicable The Criteria does not apply to the product.

Remarks & Explanations (third column on 508 Evaluation Template)

If 2nd column states… Then…

Supports List exactly what features of the product do meet and describe how they are used to support the Criteria.

Supports with Exceptions

List exactly what features of the product do meet and describe how they are used to support the Criteria.

AND

List exactly what parts of the product do not meet and describe how they fail to support the Criteria.

Supports through Equivalent Facilitation List exactly what other methods exist in the product and describe how they are used to support the Criteria.

Does not Support Describe exactly how the product does not support the Criteria.

Not Applicable Describe exactly why the criterion is not applicable to the product.

Typical Scenario for Completing a Section 508 Evaluation Template:

To complete the Section 508 Evaluation Template, enlist the services of your company’s technical specialist for the product being sought for purchase. SEC requires a measure of technical detail in the responses. Once you have enlisted their assistance:

1) Determine which sections of the Technical Standards (Subpart B-1194.21-26) apply to your product.* Keep in mind that you always must complete the Functional Performance Criteria (Subpart C – 1194.31) and Information, Documentation, and Support (Subpart D – 1194.41) sections of the Section 508 Evaluation Template.

2) For each section that applies, determine if the product does or does not meet the specific Criteria elements.

3) Using the information found in the How the Section 508 Evaluation Template is organized section, document in the Section 1194.xx Tables exactly how your product did or did not meet the applicable standard.

If the product supports the standard, provide detailed examples of what accessibility features exist and how they are used to support the standard.

If the product does not support the standard, remember that Section 508 allow s products to meet the Access Board

Standards in innovative, non-traditional w ays. The product can meet the standard by providing an innovative solution, as long as the feature performs in the same manner as it does for any other user w ithout a disability.

If the product does not possess an innovative, non-traditional way of supporting the standard, provide detailed examples of exactly how the product did not meet the standard.

4) Once documented in the Section 1194.xx Tables exactly how the product did or did not meet, return to the

Summary Table and document the product’s overall “level-of-conformance” in each of the applicable sections.

5) Post the final Section 508 Evaluation Template on your company's web site or on the GSA Buy Accessible

Wizard.

6) It is the Vendor's responsibility to maintain the integrity of the data on the Section 508 Evaluation Template. The information provided on the Section 508 Evaluation Template is considered a self-representation unless expressly affirmed otherwise. Even so, SEC uses this form to complete required Market Research associated with the agency complying with Section 508 and may use the form to eliminate this product compared to other more accessible products that meet the SEC business needs.

* Please Note: Any WEB application being purchased by SEC also requires the Vendor to complete Section

1194.21 of the Section 508 Evaluation Template in addition to Sections 1194.22, 1194.31, and 1194.41.

SEC reserves the right to reject a PAT and corresponding proposal/offering if the answers do not address the standards. SEC needs the PAT to address the standards in order to evaluate it for conformance.

Please answer honestly and be prepared to work with SEC to improve accessibility for your product if it is purchased.

Submission of this documentation constitutes a warrant on behalf of the vendor of the conformance of their product. Remediation of a product or service to the specified conformance shall be the responsibility of the vendor.

http://www.buyaccessible.gov/ http://www.buyaccessible.gov/

SEC Section 508 Evaluation Template

Date:

Name of Product:

Contact for more Information:

Refer to the ITIC Best Practices for filling out the following form.

Summary Table

Criteria Supporting Features Remarks and explanations

Section 1194.21 Software Applications and Operating Systems

Section 1194.22 Web-based internet information and applications

Section 1194.23 Telecommunications Products

Section 1194.24 Video and Multi-media Products

Section 1194.25Self-Contained, Closed Products

Section 1194.26 Desktop and Portable Computers

** Section…