ISS_RFP_Final.docx

The US Securities and Exchange Commission (SEC) are issuing a solicitation for the re-competition of its current Infrastructure Support Services (ISS) contract.

The SEC is currently releasing this Final RFP with the following process and key dates:

*All dates proposed are subject to change at the sole discretion of the SEC.

SEC anticipates notification to each Offeror of their satisfaction of the Go/No-Go factors and eligibility to further participate in the RFP by COB, August 28, 2015.

The SEC anticipates responding to Offerors Question and Answer (Q&A) by COB, September 18, 2015.

Proposal Response Format:

Volume 1 - Go/No-Go Submission

· Offerors must submit a response to the Go/No-Go factors as detailed in Attachment 8, Go/No-Go Factor Response Form.

Volume 2: Technical Proposal – RFP Section L.3.2.1

· Volume 2-A: Oral Presentation –The Oral Presentation Slides will be submitted and subsequently presented in MS PowerPoint format not to exceed fifty (50) letter sized (8.5x11 in.) pages with a font size no smaller than ten (10) points, excluding the cover page but including all appendix material.

· Volume 2-B: Key Personnel – The Offeror shall submit a MS word resume for each key personnel proposed.

· Volume 2-C: Small Business Subcontracting Plan – The Offeror shall prepare and submit a proposed Small Business Subcontracting Plan in accordance with the format provided as Attachment 2.

Volume 3 Price Proposal – RFP Section L.3.2.2

· The Price Proposal containing pricing shall be submitted as a separate volume from the Technical Proposal. The Offerors shall submit the Price Proposal using Attachment 7 – Pricing Support Sheets.

The following elements of the RFP are key considerations for potential Offerors as they prepare to respond to this RFP:

· Go No-Go Criteria: The Offerors must complete the form provided in Attachment 8 and satisfy the criteria to participate further in this RFP. Only Offerors that are determined by the SEC to pass all Go/No-Go Factors will be permitted to submit full RFP responses under Volumes 2 and 3.

· Contract and Term: The SEC intends to award a multi-year Combination type (Time and Materials (T&M) and Fixed Price) contract. The initial award will include a four (4) month Firm Fixed Price Transition and a 24 month Combination type (Time and Materials (T&M) and Fixed Price) period. The base period will be followed by 92 months of potential option periods. This contract will not exceed 120 months in total duration.

· Cancellation Ceiling: The SEC plans to incrementally fund the multi-year base period contract, and any multi-year option periods. A cancellation ceiling of $500,000 is established for the multi-year base period and any applicable multi-year option periods, to be reduced for each program year in direct proportion to the remaining requirements subject to cancellation.

· Oral Presentation: The Government requires the Offerors to participate in oral presentations to the Government evaluation team. The oral presentations have to be delivered by the Key Personnel proposed by the Offeror. The detailed requirements for the oral presentation are found in this RFP.

· Conversion to Fixed Price: The SEC anticipates awarding a Time and Materials (T&M) contract for ISS Services defined in this RFP. The SEC expects that the contractor will mirror the current ISS staffing in place today (and as provided in Attachment 7) on Day 1 of the contract. No major staffing structure changes are expected on Day 1. However, the SEC fully expects the contractor to work with the SEC to transition and transform the current staffing and delivery model over time to a Fixed Price contract that lowers the staff count and gains operational and cost efficiencies. The SEC anticipates moving to a Fixed Price contract for certain task areas in the near future and the proposed approach and timeline are specified in Attachment 20. The selected Offeror will propose a plan to implement a Fixed Price conversion for selected task areas over the time specified within Attachment 20. The SEC anticipates that these Fixed Price tasks will provide the SEC with significant cost and operating benefits over the course of the contract.

· Operational Pricing: The rates provided by Offeror in Attachment 7 will be used to assess the post Transition staffing model. For subsequent years, starting Base Period Year 2 and all option periods thereafter, the any annual rate adjustment will be based on the US Department of Labor’s Bureau of Labor Statistics’ Employment Cost Index (ECI) for Civilian Labor (DOL ECI – Civilian Labor). Since the ECI index for future dates is not available today, the SEC will use the Operational Base Period year 1 rates for evaluation purposes in all subsequent years. While price is an important evaluation factor, the technical evaluation is significantly more important in the evaluation than the price, and the Offeror should focus on proposing a high quality of service to the SEC.

· Transition Pricing: The Offeror shall propose and price a fixed price Transition plan as presented in the Oral Presentation Scenario to the SEC. The Transition pricing shall be clearly outlined in Attachment 7. The payment of transition services shall only be made upon achieving successful transition and meeting all milestones identified in the incoming transition plan. The Offerors should assume a Transition period of four months for evaluation purposes.

· Service Level Agreement: The Service Level Agreement (SLA) as outlined in Attachment 9 will be a key aspect of the contract. The SLAs will govern the level of performance to be delivered by the selected contractor, and failure to meet the target levels will trigger financial credits to the SEC for non-performance. Delivery and reporting of Service Levels are outlined in Attachment 9. These are the SEC SLA Targets as formulated for this solicitation; however, the final SLAs will be validated and agreed upon with the successful Offeror during the Transition Period, and prior to Day 1 of full Operations.

· Performance Incentives: If the Contractor performs at a high level, the SEC may award the Contractor either a two (2) year or three (3) year option period, based on the Contractor’s performance against the Performance Criteria as outlined in Attachment 17. The intent of the Performance Incentives is to reward strong contractor performance with longer contract terms.

Page 1 of 106 SECHQ1-15-R0015

The Government anticipates a single-award Time and Materials (T&M) contract

SECTION B – SUPPLIES OR SERVICES AND PRICES / COSTS

Note to Offerors:

Provide a proposal to include labor categories and rates for a Fixed Price Transition and an initial Time and Materials (T&M) base period. See Section L.3.2.2 for complete instructions on preparing your price proposals.

On-site and off-site Hourly Rates should be based on a Full-Time Equivalent (FTE) with 1,880 hours. Offerors must submit pricing by completing Attachment 7 – Pricing Sheet. Failure to complete the Pricing Sheet will result in exclusion of Offeror for consideration of award.

Page 3 of 106 SECHQ1-15-R0015

SECTION C - DESCRIPTION/SPECIFICATIONS/STATEMENT OF WORK

C.1 Introduction This is a single award to a Contractor to provide Infrastructure Support Services (ISS) and related services for all Divisions and Offices of the U.S. Securities and Exchange Commission (SEC) both in Washington, DC and its regional locations and data centers.

C.1.1 General Description of Services Provide comprehensive Infrastructure Support Services (ISS) in support of the SEC Office of Information Technology (OIT) in the area of Enterprise Operations, Enterprise Infrastructure, Enterprise Architecture, and Common Services. Support shall span across all locations, to include the SEC Headquarter Offices in Washington, DC, the SEC Data Centers, the eleven Regional Offices, and in any location where the SEC operates in the future.

C.1.2 Limits of Services This is not a Personal Services Contract. The Government will not exercise any supervision or direct control of the Contractor’s staff during the performance of the services herein. The Contractor shall provide direct control and supervision of their staff during the execution of the Contract.

C.1.3 Background The mission of the U.S. Securities and Exchange Commission (SEC) is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.

The SEC’s Strategic goals include:

· Establish and Maintain an Effective Regulatory Environment

· Foster and Enforce Compliance with the Federal Securities Law

· Facilitate Access to the Information Investors Need to Make Informed Decisions

· Enhance the Commission’s Performance through Effective Alignment and Management of Human Information and Financial Capital.

Federal securities law and regulation is rapidly changing as is the commercial securities markets and industry. In order to meet these challenges, the SEC must continually innovate and improve its technologies and internal business process. More information on the SEC’s mission, strategic plan and organizational structure may be found at: www.sec.gov.

C 1.4 Needs The SEC requires Information Support Services (ISS), commission-wide, to provide the Office of Information Technology (OIT) support in all aspects of information technology. These services primarily include, but are not limited to, the management and operations of all SEC IT Infrastructure operations for the Service Desk, End User Computing, Asset Management, as well as Infrastructure Support for Engineering and Operations.

C.1.5 Objectives The Contractor shall provide the U.S. Securities and Exchange Commission (SEC) and all its subordinate Offices and Divisions with Information Technology and Infrastructure Support Services in the following areas described in detail in Section 5.

With information technology pervading all aspects of its business, the SEC depends on Contractor support for problem resolution and support services to meet its business needs. The SEC expects the Contractor to deliver optimal daily performance of the SEC IT operations and take day-to-day responsibility for the SEC IT operations, achieving the minimum performance objectives on a daily basis, and taking a proactive approach with the SEC in improving the operations and efficiencies of the SEC IT environment.

The Contractor will perform functions that are operational in nature, and will not be expected or permitted to perform any inherently government functions.

Under this contract, the Contractor shall provide the SEC support for the following task areas and tasks:

Task Area 1.0 – Enterprise Operations

· Task 1.1 – Service Desk Support

· Task 1.2 – End User Computing (EUC)

· Task 1.3 – Network Operations Center (NOC) Task Area 2.0 – Enterprise Infrastructure

· Task 2.1 – Managed Network Support

· Task 2.2 – Server and Storage Support

· Task 2.3 – Electronic Data Warehouse (EDW) Support

· Task 2.4 – Data Center Operations Support and Engineering

· Task 2.5 – Contingency Planning Support Task Area 3.0 – Enterprise Architecture

· Task 3.1 – Enterprise Engineering

· Task 3.2 – Preproduction Environment

· Task 3.3 – Testing and Development Task Area 4.0 – Common Services

· Task 4.1 – Asset Management

· Task 4.2 – Transition Support

· Task 4.3 – Other Project and Operations Support

· Task 4.4 – Audit Remediation

· Task 4.5 – eDiscovery

· Task 4.6 – Infrastructure Delivery Management

· Task 4.7 – Overarching Process Support

C.1.6 Scope The Office of Information Technology (OIT) supports the Commission and staff of the SEC in all aspects of information technology. OIT has overall management responsibility for the Commission's IT program including, but not limited to, infrastructure operations and engineering, user support, and enterprise architecture.

The Contractor will support all current and any future SEC locations. Contractor support will span across the SEC Headquarters building, located in the Washington, D.C. metropolitan area, its primary and alternate data centers, and its 11 regional offices located throughout the country. The Contractor will support all SEC employees now and in the future, which is approximately 6000 current users.

The Contractor shall provide services for the entire life-span of desktop, mobile hardware and software, telephones, and audio / video resources. The Contractor shall develop and maintain desktop images, patches, and upgrades. The Contractor shall deploy, maintain, and replace equipment and software. The Contractor shall manage equipment and software assets. The Contractor shall also communicate with employees about the equipment and software, including planned and unplanned changes in the IT environment, retirement, and disposal of all equipment and software.

The Contractor shall manage and operate all SEC IT Infrastructure facilities, hardware, software, and systems as defined. The Contractor shall manage and operate the Network Operations Centers (NOC) and Data Centers. The Contractor shall manage and operate the operations management services for the SEC IT Servers, Storage, and Network. The Contractor shall manage and operate technology deployments. The Contractor shall manage and operate the Infrastructure Engineering function in designing as well as implementing SEC IT solutions.

The Contractor shall be responsible to maintain and support the underlying infrastructure supporting the SEC operated applications, to include the Electronic Data Gathering Analysis and Retrieval (EDGAR) system, which electronically receives, processes, and disseminates more than 500,000 financial statements every year. The Contractor shall also support the underlying infrastructure for a very active website that contains a wealth of information about the Commission and the securities industry, and also hosts the EDGAR database for free public access.

The Contractor shall respond to current requirements and proactively anticipate new requirements. The Contractor shall work with the SEC to assess the impact of new requirements on the SEC operating environment. The Contractor shall handle requirements for new services through the SEC Change Control process and shall adjust services accordingly.

The Contractor shall transition the current SEC IT Infrastructure Support to the contractor's Support while ensuring the continuity of operations at each SEC location. The Contractor shall minimize disruption to the existing operations, optimize the use of existing assets, and improve customer satisfaction.

C.2 Service Levels The Contractor shall develop and maintain effective service levels as defined in Attachment 9 – Service Levels ISS. The Contractor will measure and report on the Service Levels as defined in Attachment 9. The Contractor shall develop and implement procedures to identify, prevent, and ensure non-recurrence of defective services. The Contractor’s quality control program is the means by which the Contractor ensures that work complies with the requirement of the contract.

C.2.1 Security Requirements The security classification for work performed under this Contract is Unclassified. The documents and information that will be reviewed and produced are non-public and sensitive in nature and shall be protected from unauthorized disclosure. Work on this Contract requires that personnel may have access to Privacy Act information. Personnel shall adhere to the Privacy Act, 5 U.S.C. Section 552a and applicable agency rules and regulations.

C.2.2 Physical Security The Contractor shall be responsible for safeguarding all government equipment, information and property provided for contractor use. At the close of each work period, government facilities, equipment, and materials shall be secured.

C.2.3 Key Control The Contractor shall establish and implement methods of making sure all keys/key cards issued to the Contractor by the Government are not lost or misplaced and are not used by unauthorized persons. NOTE: All references to keys include key cards. No keys issued to the Contractor by the Government shall be duplicated. The Contractor shall develop procedures covering key control that shall be included in the Quality Control Plan, as defined in section C.5.4.7.5. Such procedures shall include turn-in of any issued keys by personnel who no longer require access to locked areas. The Contractor shall immediately report any occurrences of lost or duplicate keys/key cards to the Contracting Officer.

In the event keys, other than master keys, are lost or duplicated, the Contractor shall, upon direction of the Contracting Officer, re-key or replace the affected lock or locks; however, the Government, at its option, may replace the affected lock or locks or perform re-keying. When the replacement of locks or re-keying is performed by the Government, the total cost of re-keying or the replacement of the lock or locks shall be deducted from the monthly payment due the Contractor. In the event a master key is lost or duplicated, all locks and keys for that system shall be replaced by the Government and the total cost deducted from the monthly payment due the Contractor.

The Contractor shall prohibit the use of Government issued keys/key cards by any persons other than the Contractor’s employees. The Contractor shall prohibit the opening of locked areas by Contractor employees to permit entrance of persons other than Contractor employees engaged in the performance of assigned work in those areas, or personnel authorized entrance by the Contracting Officer.

C.2.4 Staff Controls Using the SEC established procedures, the Contractor shall report weekly the staff on board and changes in staff working under the contract. The Contractor will enter data daily in the Contractor Time Management System (CTMS) and follow On/Off Board procedures provided in supplemental documentation.

C.2.5 Quality Assurance/Government Surveillance The government shall evaluate the Contractor’s performance under this contract in accordance with a Quality Assurance Surveillance Plan (QASP). This plan sets forth specific surveillance methods the Government will perform to ensure that the Contractor has performed in accordance with the performance standards. The QASP is authored by the government upon acceptance of the Contractor’s Quality Control Plan and is shared with the Contractor. See section C.5.4.7.5.

C.3 Post Award Conference/Periodic Progress Meetings The Contractor agrees to attend any post award conference convened by the contracting activity or contract administration office in accordance with Federal Acquisition Regulation Subpart 42.5. The Contracting Officer, Contracting Officers Representative (COR), and other Government personnel, as appropriate, may meet periodically with the Contractor to review the Contractor's performance. At these meetings the Contracting Officer will apprise the Contractor of how the Government views the Contractor's performance and the Contractor will apprise the Government of problems, if any, being experienced. Appropriate action shall be taken to resolve outstanding issues. These meetings shall be at no additional cost to the government.

C.4 Organizational Conflict of Interest Contractor and subcontractor personnel performing work under this Contract may receive, have access to or participate in the development of proprietary or source selection information (e.g., cost or pricing information, budget information or analyses, specifications or work statements, etc.) or perform evaluation services which may create a current or subsequent Organizational Conflict of Interests (OCI) as defined in FAR Subpart 9.5. The Contractor shall provide the Government an Organizational Conflict of Interest Plan for purposes of identifying, mitigating, or avoiding Organizational Conflicts of Interest (OCIs) in accordance with FAR Subpart 9.5. Contractors shall identify any possible OCI issues and provide a mitigation plan for them and for any other OCI issues that may subsequently arise during performance of the contract. Contractor analysis should include, but is not necessarily limited to, financial interests, and any contract work that involves the review of goods or services produced by industry competitors. The Contractor shall be excluded from any and all follow-on work related to all programmatic/portfolio data from this contract. If during the course of performing the requirements under this Contract, where those requirements are used for future acquisitions, the Contractor shall not respond or participate as a prime contractor, sub-contractor, or team member against those future acquisitions. The Contractor’s mitigation plan will be determined to be acceptable solely at the discretion of the Contracting Officer and in the event the Contracting Officer unilaterally determines that any such OCI cannot be satisfactorily avoided or mitigated, the Contracting Officer may affect other remedies as he or she deems necessary, including prohibiting the Contractor from participation in subsequent contracted requirements which may be affected by the OCI.

C.4.1 Phase In/Phase Out Period The Contractor shall provide an Exit Transition Plan that shall identify transition support activities for all transition efforts for follow-on requirements to minimize disruption of services. The Exit Transition Plan and support shall include the following:

· Inventory all Government Furnished Equipment (GFE) and Government Furnished Information (GFI) in Contractor possession

· Status of all deliverables

· Current issues, problems, or activities in process that require immediate action

· The most current and up to date Policy and Procedures Manual

· The most current and up to date Operations Manual for each sub task

· The plan on how the Contractor intends to support the transition to the new follow-on contractor, and

· the list of key personnel involved in this effort

The COR shall approve this plan and transition support. Upon award of a follow-on contract, the Contractor shall work with the new Contractor to provide knowledge transfer and transition support as required by the COR.

C.5 Specific Tasks The Contractor shall perform management support services in all task areas below. Under the scope of this SOW, the Contractor shall assist the SEC with developing project and program plans, making recommendations to the SEC in improving existing management processes and practices, and executing government decisions upon approval of the plan by SEC officials. The Contractor cannot exercise discretion in applying Federal government authority or commit the government to a course of action without approval.

C.5.0 Task Area 0.0 – Incoming Transition Support The Contractor shall provide a comprehensive Transition Plan facilitating a smooth transfer of responsibility from the current provider of Infrastructure Support Services.

The Contractor's transition plan shall include the following at a minimum:

· A comprehensive communications plan to inform the SEC OIT and other management of transition objectives and on-going status and key deliverables identification of all in-flight project and the underlying technical requirements to keep the projects on schedule

· Identification of any change management barriers that could complicate the transition and remedial plans to effectively overcome the barriers

· Risks and risk mitigation strategies associated with the change in contractors

· Plan for knowledge transfer

· Define the general means for measuring the on-going progress against the Transition Plans including, measurement criteria and tools; milestone dates and deliverables

· Recommendations for improving the SEC IT infrastructure architecture support

· Review, evaluation, and transition of current SEC hardware, software, data, and workflow

· Orientation phase and program to introduce SEC personnel, programs, and users to the Contractor's team, tools, methodologies, and business processes

· Closure strategy for open Service Desk trouble tickets

The Contractor shall adapt its draft Transition Plan as required to address any changes resulting from additional information and due diligence.

Successful transition will be measured by the seamless transfer of responsibility from the current provider of Infrastructure Support Services to the new contractor, without impact to end users, and while meeting agreed upon service levels.

Payment of transition services shall only be made upon achieving successful transition and meeting all milestones identified in the incoming transition plan.

C.5.1 Task Area 1.0 – Enterprise Operations The Contractor shall provide Enterprise Operations support to the SEC OIT management personnel, which range from Service Desk support (including Regional Field Office Support), End User Computing, and Network Operations Center (NOC). The Contractor shall provide services and personnel who meet the minimum requirements as defined in each Task.

Enterprise Operations provides support services that entail incident and request management, executive users support, regional field office support, NOC management and monitoring, access control, technology deployment and refresh, computer imaging, and administration of the SEC’s Service Management system. They further research, develop, and implement new technologies to satisfy business requirements in an effective and efficient way.

C.5.1.1 Task 1.1 – Service Desk Support The Contractor shall operate a 24x7x365 Service Desk as the single point of contact for SEC employees and contractors, with incidents received via telephone call, by a web-based self-service portal, chat, by walk-up, and by email from all office locations.

The Contractor shall provide the SEC with a Service Desk environment that adheres to the following core principles:

· The Contractor shall provide a comprehensive Service Desk that serves as a single point of contact for all IT related issues.

· The Service Desk shall deliver service in a customer focused method with an emphasis on active communication that sets and then exceeds customer expectations. This customer focused method shall provide an experience in which the Service Desk appears to have an intimate knowledge of the customer and their issues.

· The Service Desk shall engage all IT teams (internal/external) on behalf of the user needs and remain as a customer advocate throughout the resolution of the service.

· The Service Desk shall develop technical expertise within the Service Desk staff to allow for prompt and comprehensive resolution of issues to minimize the need for escalation and customer delay and to reduce overall incident volume.

· The Service Desk shall perform with the same expected degree of expertise after normal business hours and on weekends.

· The Service Desk shall engage in aggressive problem management and process improvement to deliver high quality customer service.

Service Desk call volume and statistics are provided in Attachment 16 – ISS Demand Volume[footnoteRef:2]. [2: The call volume and statistics listed in Attachment 16 are for estimation purposes only and do not represent a binding number of problems anticipated by the SEC. ]

Subtask Areas: The Contractor shall provide Service Desk support in the following areas:

· General Service Desk Support

· Productivity Application Support

· Access Control

· Identity Management System Support

· Executive Users Support

· Regional Field Office Support

· Division/Office Focused Support

· Service Desk Reports and Deliverables

An overview of the current SEC Service Desk environment can be found in Attachment 18 - Service Desk Overview.

C.5.1.1.1 General Service Desk Support The following table identifies general roles and responsibilities the Contractor will be responsible for to support the Service Desk under the ISS contract.

Contractor Roles and Responsibilities for General Service Desk Support

1. Provide both proactive and reactive 24x7x365 global support and technical assistance to all SEC employees and contractors, including remote users (virtual workforce)

· When an on-site presence is necessary to resolve an after-hours or weekend incident, the vendor may provide on-site services via on-call resources from 9:00 p.m.-6:30 a.m. ET Monday-Friday and from 9:00 p.m. Saturday to 6:30 a.m. Monday. Up to a 2 hour transit time exception for SLAs would be allowed. Federal holidays may also utilize on-call resources

2. Provide support for end user and all requests are documented and tracked in the SEC’s Service Management system. Support includes, but may not be limited to, the following:

· Fielding and resolving questions related to all user hardware and software

· Fielding and resolving questions related to network connectivity including the Internet

· Installing user-requested desktop software when authorized

· Mobile device support including deployment, incidents, questions and retirement

· Fielding and resolving telephone problems

· Workstation hardware troubleshooting and repair

· First level SEC Application software support

· Account management

· Installations, moves, adds refreshes and retirement

Maintain Service Desk processes and procedures and review with SEC annually to ensure documentation is up-to-date

Develop a plan to provide on a daily basis, a walk around service (mobile service desk) inside the SEC HQ building to proactively assist and support end users with Service Desk supported functions. After approval of plan from SEC, implement mobile service desk

3. Provide full data recovery services on failed hard drive media using contractor resources and available tools. When recovery is deemed necessary by the SEC and cannot be accomplished with current contractor resources and software tools available, utilize 3rd party vendor to recover data, when approved by SEC. SEC will be responsible for third party costs (directly or indirectly)

4. Minimize SEC equipment costs by various means, to include working with manufactures and third party vendors to replace parts to support break/fix of equipment that are under warranty or are covered by a maintenance agreement

5. Ensure that all Service Desk personnel involved in the movement, deployment, and refreshment of any and all desktop equipment, software or mobile computing devices update relevant data asset inventory databases, SEC service management system, or Spare Parts database as appropriate. Ensure SEC processes are being followed during asset recapture, ensuring tracking of recaptured equipment

6. Develop and maintain an ongoing Knowledge Management plan to include such factors as creation, categorization, approval, review, and retirement of knowledge, with an emphasis on ensuring ongoing review of all knowledge articles

7. Support all areas of the SEC service management system, including but may not be limited to, incident, request, change, knowledge, and problem

8. Provide day to day administration of the SEC service management system to include, at minimum, account management, report generation, modification of existing workflow, creation of new workflow, requested enhancement, and self-service support

9. Provide to the SEC and authorized users, appropriate training in using the SEC service management system

10. Perform all database administration support on the SEC service management system

11. Proactively coordinate with all other internal and external third parties to resolve incidents and action service requests.

12. Classify all Incident Management tickets based on the four-tiered priority system detailed in Attachment 9 – Service Level Agreements

13. Ensure that appropriate approvals for new hardware and software requests are obtained as necessary, as well as follow any SEC policies for the distribution of any hardware and software

14. Provide full lifecycle support for all local and network printers and faxes. Support includes, but may not be limited to:

· Performing remedial and preventive maintenance of designated systems and components

· Coordinating with warranty and maintenance services from third party vendors

· Configuration / Security

· Monitoring for all issues such as paper jams, low toner and hardware errors

· Toner replacement

· Installations, moves, refreshes and retirement

· Ensure proper signage is deployed for all devices.

· Perform on-site inspection of all network devices at a minimum interval of 45 days to ensure proper functionally and print quality

· Provide enhanced support for up to 100 devices that will include on-site checks every 3 days.

· Provide a monthly report of all devices including relevant information.

· Maintain a website that allows users to easily add network printers by listing by floor or a map

15. Proactively identify, resolve, or escalate to SEC any issues or special requirements needed to execute the Scheduled Service Requests so that customer requested schedules are met

16. Provide broadly skilled engineers to maximize single point of contact resolution

17. Provide full lifecycle support for all copiers. This support will include first line of hardware support for all SEC copiers, to include performing simple maintenance (e.g. clearing paper jams). A hardware support contract is maintained by external vendor. In addition, support for copiers shall include but not limited to:

· Performing remedial and preventive maintenance of designated systems and components

· Coordinate with external copier vendor any problems requiring hardware repairs

· Configuration / Security

· Monitoring for all issues such as paper jams, low toner and hardware errors

· Toner replacement

· Installations, moves, refreshes and retirement

· Ensure proper signage is deployed for all devices.

· Perform on-site inspection of all network devices at a minimum interval of 45 days to ensure proper functionality and print and scan quality

· Provide enhanced support for up to 20 devices that will include on-site checks every 3 days.

· Provide a monthly report of all devices including relevant information.

· Maintain a website that allows users to easily add network printers by listing by floor or a map

18. Manage the SEC remote access token program and any future remote access technologies the SEC may adopt

19. Monitor and process requests for new or replacement tokens, manage the database of issued tokens, and perform assignment and network configuration for issued tokens

20. Track the expiration dates of issued tokens and ensure users receive new tokens prior to the token’s expiration date

21. Ensure adequate license levels of remote access tokens to ensure the availability of tokens when requested

C.5.1.1.2 Productivity Application Support The SEC Service Desk provides support for common office productivity applications. The Contractor will be responsible for providing Level I and Level II application support on common office productivity tools and devices. Such support shall include basic “how do I” type questions as well as more complex questions. The Contractor shall perform research as needed to answer more complex questions. Examples of the type of support expected to be provided include the answering questions related to:

· Formulas in Excel

· Pivot Tables in Excel

· Creation of complex rules in Outlook

· Complex formatting in Word

· Customization of Windows 7 environment

Common office applications include, but may not be limited to:

· Microsoft Office Suite (Word, Excel, Outlook, PowerPoint, Access)

· Telecom tools (Jabber, WebEx)

· Approved mobile applications for SEC mobile devices (Blackberry, IOS)

Application support call volume and statistics are provided in Attachment 16 – ISS Demand Volume.

C.5.1.1.3 Access Control The Contractor shall provide access control services and activities associated with managing and coordinating account activation, termination, changes, and expiration of SEC user’s accounts. The following table identifies the Contractor’s roles and responsibilities for access control:

Contractor Roles and Responsibilities for Access Control

1. Perform account and group/list administration related functions in Active Directory and any other SEC designated systems to ensure end users have access to all authorized resources

2. Ensure the following of all SEC process and procedures to ensure no unauthorized access is granted. Provide timely, accurate, and auditable support for all access related functions and services

3. Provide quarterly reviews of all top level groups (All Employees, all interns, etc.) to ensure all accounts are in the proper classification

4. Maintain, create and update process and procedure to ensure all work performed under the Access control team is performed following written guidance

C.5.1.1.4 Identify Management System Support The Contactor shall provide support for the administration, configuration, and enhancement of the SEC Identity Management System (IMS). The contractor shall enhance the IMS by providing integration with other SEC systems. The Contractor shall create, modify, and enhance the roles in the IMS system to provide more efficient onboarding and off-boarding.

The Contractor shall serve as an expert resource on the IMS system. The current SEC Identity Management System is Avatier.

C.5.1.1.5 Executive User Support The Contractor shall provide enhanced Service Desk support to certain executive level employees to ensure continuity of services and relationship with these designated employees. The SEC will designate Executive Users at its sole discretion and may change the list of designated Executive Users at its sole discretion from time to time. The SEC currently has approximately 100 designated executive users that would require executive user support.

The Contractor shall provide 24x7x365 global support and technical assistance to designated SEC executives, ensuring the following support is met for all request made by executive users:

· Ensure executive users are contacted within 15 minutes of initiating a service request

· Ensure issue resolution is begun immediately and worked continuously until resolved

The executive users as well as office/divisions requiring executive level support will be provided upon contract start.

C.5.1.1.6 Regional Field Office Support The Contractor shall provide onsite Service Desk support to the SEC 11 Regional Field Offices. The Contractor shall provide support for all SEC users agency-wide, as described in this SOW and in accordance with the Service Desk Standard Operating Procedures (SOP).

a) For all SEC locations where there is not an on-site service desk, the Contractor shall provide technical support staff for operations and maintenance support that must be performed on-site. The Contractor will be expected to provide walk-up support using on-site resources at the regional office. Additionally, the regional on-site resource(s) is expected to field phone calls from users within their regional office.

b) Hours of Operation: In the SEC Regional office the Contractor shall generally work during SEC business hours. The hours shall be negotiated and mutually agreed upon between the Contractor and the SEC.

c) When an on-site presence is necessary to resolve an after-hours or weekend incident, the Contractor may provide on-site services via on-call resources. Federal holidays may also utilize on-call resources when required.

C.5.1.1.7 Division/Office Focused Support The SEC requires the Contractor to provide Division/Office focused desk side support personnel to designated divisions/offices at the SEC Headquarters building. These personnel are expected to co-locate with the division/office and provide the same services as the Service Desk. The divisions/offices currently being supported by IT Specialist are as follows:

· Office of the Chief Accountant (OCA), who is responsible for establishing and enforcing accounting and auditing policy to enhance the transparency and relevancy of financial reporting, and for improving the professional performance of public company auditors in order to ensure that financial statements used for investment decisions are presented fairly and have credibility. OCA is divided primarily into three major groups; Accounting, Professional Practice and International Affairs.

· Office of International Affairs (OIA), who promotes investor protection in the global capital market by advancing international regulatory and enforcement cooperation, promoting the adoption of converged high regulatory standards worldwide, and facilitating technical assistance programs to strengthen the regulatory infrastructure in emerging market countries. Using OIA staff's specialized knowledge of international markets and foreign law and regulations, the office provides the Commission and staff with advice and assistance in international enforcement and regulatory matters.

· Division of Economic and Risk Analysis (DERA), formerly RiskFin, who provides sophisticated analysis that integrates economic, financial, and legal disciplines. The division’s responsibilities cover three broad areas: risk and economic analysis; strategic research; and financial innovation.

· Office of Compliance Inspections and Examinations (OCIE). OCIE’s mission is to conduct and coordinate the nationwide examination program for entities over which the Commission has regulatory authority. These entities include brokers, dealers, municipal securities dealers, self-regulatory organizations, transfer agents, investment companies, and investment advisers. Examinations are conducted in order to assure the registrants' compliance with the federal securities laws. The examination staff provides the information and oversight link between the Commission and its regulated entities.

· Office of Financial Management (OFM) administers the financial management and budget functions of the SEC. The office assists in formulating budget and authorization requests, monitors the utilization of agency resources, and develops, oversees, and maintains SEC financial systems. These activities include cash management, accounting, fee collections, travel policy development, and oversight and budget justification and execution.

· Office of Support Operations (OSO) offers a variety of programs to manage the agency’s facilities and assets. OSO is responsible for the processing of requests under the Freedom of Information and Privacy Acts, the management of all agency records in accordance with the Federal Records Act, maintaining the security and safety of all SEC facilities, as well as property and equipment management and overall building operations.

· Division of Corporation Finance’s (CF) mission is to see that investors are provided with material information in order to make informed investment decisions - both when a company initially offers its stock to the public and on a regular basis as it continues to give information to the marketplace. The Division also provides guidance to companies on SEC rules and forms and proposes new and revised rules to the Commission.

The SEC reserves the right to change the divisions/offices supported when required. Additionally, when requested by the SEC, these IT Specialists may be required to provide short-term support at the SEC Service Desk.

C.5.1.1.8 Service Desk Reports and Deliverables The following table identifies reports and deliverables the Contractor shall be responsible to provide the SEC in support of the Service Desk:

Service Desk Reports and Deliverables

1. Develop a quarterly Action Plan to include suggested improvements from SEC employees and contractors on the services provided by the Contractor and plans to address suggested improvements with specific steps that the Contractor shall take to adopt such recommendations for service improvement

2. Maintain list of supported printers and copiers to include, but not limited to, IP addresses, make and model, serial number, bar code, location, and queue name. Ensure list is aligned with Asset Management system. Provide SEC with audit of list monthly

3. Develop a quarterly report on problem management, to include, list of all problem reported by the Service Desk, status of opened problems, and plan of action for the upcoming quarter

4. Provide a report to the SEC showing inactive account usage in a monthly interval or as designated by the SEC

5. Perform an annual audit to ensure the accuracy of the Active Directory system, to include comparisons to external systems such as HR Databases

6. Report on previous business day’s service desk call volume and SLAs to be incorporated into the OIT Morning Meeting report slides. Content may change as the Government reporting requirements change over time. Due daily by 7:30am.

7. Report monthly on outstanding tickets dependent on third party action. Report to include ticket, item awaiting action, third party, duration and if known estimated resolution time

8. Develop monthly service desk reporting for SLAs and KPIs. Can be delivered as a report or government accepted dashboard

9. Develop a Help Desk SOP to be delivered to the SEC within 90 days after contract award date (or as agreed upon by the Government) and updated as appropriate

10. Develop a User Account Management SOP to be delivered to the SEC within 60 days after contract award date (or as agreed upon by the government) and updated as appropriate

11. Develop a Hardware and Asset Management Plan to be delivered to the SEC within 30 days after contract award date (or as agreed upon by the government) and updated as appropriate

12. Develop a monthly Customer Satisfaction report base on the results of customer satisfaction surveys for the previous month

13. Provide a monthly Regional Field Office report tracking the previous months response and resolution times for all on-site service desk tickets per regional field office. Report shall include analysis of response and resolution times measured against SLA metrics.

C.5.1.2 Task 1.2 – End User Computing (EUC) The SEC End-User Computing environment encompasses approximately 6,000 employees and contractors in one HQ location in Washington, DC and 11 regional offices. In addition to these core sites, the End User Computing environment has hardware installed and managed in two off-site data centers. The EUC supports desktops, laptops, tablets, mobile devices, standalone and network printers; standalone and network scanners, fax machines, a collection of core and non-core SEC approved workstation applications; and a number of infrastructure management servers and applications.

The SEC End User Computing staff constantly reviews upgrades to SEC existing technology and reviews new and emerging technology trends in the attempt to identify opportunities for the Commission to satisfy business requirements in a more efficient manner. Research, development and implementation of new technologies is completed to meet OIT directive as well as to satisfy customer driven requests that satisfy SEC business requirements.

The Contractor under this task will provide the SEC with End User Computing support services to manage and operate all SEC end user hardware and software. The Contractor shall support the achievement of SEC performance objectives in the areas of foundation management; commercial-off-the-shelf (COTS) software management; desktop and laptop hardware management; patch management and deployment; management of infrastructure support tools; end user policy and information technology usage compliancy; adaptive technologies; and new and emerging end user hardware and software technologies.

Subtask Areas: The Contractor shall provide Service Desk support in the following areas:

· General EUC Support

· Computer Imaging

· Software Support

· Technology Refresh

· EUC Security

· EUC Reports and Deliverables

An overview of the current SEC EUC environment can be found in Attachment 19 – End User Computing (EUC) Overview. Current SEC EUC asset counts and volumes are provided in Attachment 16 – ISS Demand Volumes.

C.5.1.2.1 General EUC Support The following table identifies general roles and responsibilities the Contractor would be responsible for to support the EUC under the ISS contract:

Contractor Roles and Responsibilities for General EUC Support

1. Provide recommendation to improve services and standards for supporting the desktop computing and End-User environment

2. Coordinate activities with the Service Desk, and provide Tier 3 Support to the Service Desk and authorized users

3. Provide Tier 3 resolution for incidents and problems associated with EUC equipment and software

4. Provide support onsite or dispatch support specialists as necessary to offsite locations to provide authorized users with operational and technical support

5. Provide both proactive and reactive troubleshooting to effectively identify potential incidents or problems, and attempt to eliminate them before they occur

6. Support authorized users in correctly using EUC equipment and software, and in accessing and using related technologies and services

7. Deploy and manage desktop and laptop hardware and software

8. Promptly report to SEC management on End User violations of SEC policies related to End User devices and peripheral equipment in accordance with SEC policies

9. Provide Incident Determination, Resolution and Root Cause Analysis

10. Support SEC employees who require the use of Adaptive Technologies, to include the use of sign-language and specialized equipment for those who are hearing and vision impaired

11. Support, install, and configure Adaptive Technology tools for all employees requiring their use through specialized equipment and software

12. Maintain a document that describes the minimum equipment and software requirements and/or the…