RFP_SECHQ1-16-R-0023.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 - 03

WASHINGTON DC 20549

100 F STREET NE

MISSION SUPPORT BRANCH

OFFICE OF ACQUISITIONS

SECURITIES AND EXCHANGE COMMISSION

CODE 16. ADMINISTERED BYCODE

X

X

541720

SIZE STANDARD:

% FOR:SET ASIDE:UNRESTRICTED ORSEC-OA - 03

RFPIFB

10. THIS ACQUISITION ISCODE

RFQ

14. METHOD OF SOLICITATION

13b. RATING

NAICS:

SMALL BUSINESS

07/06/2016 1400 ES

06/21/2016

202-551-8295CONSUELA GINN

(No collect calls)

INFORMATION CALL:

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

4. ORDER NUMBER3. AWARD/ 6. SOLICITATION

SECHQ116R0023

5. SOLICITATION NUMBER

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

1 92 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

MISSION SUPPORT BRANCH

OFFICE OF ACQUISITIONS

9. ISSUED BY

7.

2. CONTRACT NO.

EFFECTIVE DATE

$20.50

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.

00001 Base Period: The Contractor shall provide the necessary personnel and resources to provide services in accordance with Section C -

DESCRIPTIONS/SPECIFICATIONS/STATEMENT OF WORK

00002 Base Period: Other Direct Costs (ODCs) including travel Not to Exceed $50,000.00

Continued ...

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

HEREIN, IS ACCEPTED AS TO ITEMS:

XX

DATED

JULIA MARIA GALLMON

. 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.

00003 Option Period 1: The Contractor shall provide the necessary personnel and resources to provide services in accordance with Section C -

DESCRIPTIONS/SPECIFICATIONS/STATEMENT OF WORK.

(Option Line Item)

00004 Option Period 1: Other Direct Costs (ODCs) including travel

Not to Exceed $50,000.00

(Option Line Item)

00005 Option Period 2: The Contractor shall provide the necessary personnel and resources to provide services in accordance with Section C -

DESCRIPTIONS/SPECIFICATIONS/STATEMENT OF WORK

(Option Line Item)

00006 Option Period 2: Other Direct Costs (ODCs) including travel .

Not to Exceed $50,000.00

(Option Line Item)

00007 Option Period 3: The Contractor shall provide the necessary personnel and resources to provide services in accordance with Section C -

DESCRIPTIONS/SPECIFICATIONS/STATEMENT OF WORK

(Option Line Item)

00008 Option Period 3 : Other Direct Costs (ODCs), Continued ...

32f. TELEPHONE NUMBER OF AUTHORIZED GOVERNMENT REPRESENTATIVE

32d. PRINTED NAME AND TITLE OF AUTHORIZED GOVERNMENT REPRESENTATIVE

92 2 of

ITEM NO. SUPPLIES/SERVICES QUANTITY UNIT UNIT PRICE AMOUNT

NAME OF OFFEROR OR CONTRACTOR

3 92

CONTINUATION SHEET

REFERENCE NO. OF DOCUMENT BEING CONTINUED PAGE OF

(A) (B) (C) (D) (E) (F)

SECHQ116R0023

including travel.

Not to Exceed $50,000.00 (Option Line Item)

00009 Option Period 4: The Contractor shall provide the necessary personnel and resources to provide services in accordance with Section C -

DESCRIPTIONS/SPECIFICATIONS/STATEMENT

(Option Line Item)

00010 Option Period 4 : Other Direct Costs (ODCs), including travel .

Not to Exceed $50,000.00 (Option Line Item)

NSN 7540-01-152-8067 OPTIONAL FORM 336 (4-86)

Sponsored by GSA

FAR (48 CFR) 53.110

RFQ SECHQ1-16-R-0023

SECTION B - SUPPLIES OR SERVICES AND PRICES/COSTS

B.1 General

This is an Indefinite Delivery, Indefinite Quantity (IDIQ) contract to provide the Securities and Exchange Commission non-personal, professional services. Specifically, the contractor shall provide assistance in the development and implementation of a new program of research and data collection for use in monitoring developments in household finance, better understanding conditions in financial markets, and improving performance and efficacy of SEC activities more broadly. The Contractor shall provide in accordance with issued Task Orders (TOs) and Technical Instructions (if applicable), all management, supervision, labor, facilities, and materials necessary to perform the services on an IDIQ basis.

B.2 Minimum and Maximum Amounts

(a) The Government will order a minimum amount of $2,000.00 for every contract awarded. The Government will have the entire term of the contract (to include all options) to fulfill the contract minimum. The specific Contract Line Item Numbers (CLIN) and quantities will be identified in the task/work orders issued under each contract. The exercise of the renewal options (see Section F.2) does not re-establish the contract minimum. During the life of this contract, the Government may order items in any quantity up to the maximum dollar amount specified in paragraph (b) below. If the minimum amount has not been ordered then the Government will exercise the option for the next year.

(b) There are no maximum quantities or amounts for each individual CLIN, task order, work order, contract period, or contract. It is anticipated that the maximum aggregate amount of all task orders issued under the OIAD survey services contracts will not exceed $6,500,000.00 for the entire term of the contracts, including all options which may be exercised. It is noted that this maximum amount is not representative of the amount to be obligated during the contract period of performance, it is a ceiling amount not to be exceeded based on the success of this project.

B.3 Contract Term

The term of the OIAD survey services IDIQ contract is a (1) one-year base period and four (4) one-year option periods. This is not a multi-year contract as defined in FAR Part 17.1, Multiyear Contracting. TOs may be issued at any time during the base and/or option periods.

The performance periods will be specified in the TOs and may include option periods which extend the TO up to twelve (12) months beyond the expiration date of this IDIQ contract.

B.4 Contract Pricing

a. All TOs may be issued on either a Time & Materials (T&M) or Firm Fixed Price (FFP) basis and will be subject to the pricing set forth in Section J – List of Attachments, Attachment B-1, Labor Rate Tables. The labor rates in this attachment reflect fully-burdened hourly rates for each labor category and will apply to all direct labor hours.

The fully-burdened labor rates include all direct labor and indirect costs applicable to that direct labor (such as fringe benefits, overhead, G&A), and profit. These fixed hourly rates are ceiling rates and will apply to the Prime Contractor. The Contractor may elect to propose lower hourly rates on a task-by-task basis. Proposed rates for TOs shall not exceed the ceiling rates established in the contract. The Task Order Contracting Officer (TO CO) may request certified cost or pricing data on orders less than $700,000 on an as needed basis.

The labor rate table shall include the Prime Contractor and each Subcontractor’s established accounting practices for recording work in excess of 40 hours per week. The accounting practices for each member shall be clearly identified (e.g., Prime Contractor records all hours; “Subcontractor A” records 40 hours per week; “Subcontractor B records all hours, etc.). The descriptions of the methods will be incorporated into the contract and will be effective for T&M Task Orders.

The indirect rates applicable to direct materials, subcontracts for supplies, and other direct costs established in Attachment B-1, Labor Rate Tables, are ceiling rates and shall apply to the Prime Contractor only. There are no indirect ceiling rates for Subcontractors.

However, the Contractor may elect to propose lower indirect rates on a task-by-task basis.

In accordance with FAR 52.216-31, Time and Materials/Labor-Hour Proposal Requirements- Commercial Item Acquisition, the Prime Contractor shall establish fixed hourly rates using separate rates for each category of labor to be performed by each Subcontractor and for each category of labor to be performed by the Contractor, and for each category of labor to be transferred between divisions, subsidiaries, or affiliates of the Contractor under a common control.

b. The labor rates set forth in the table reflect fully-burdened rates for performance at a Government site and for performance at a Contractor site.

(1) Government Site Rates. When performing at Government sites, the Contractor shall furnish fully-burdened labor rates and fully-burdened overtime labor rates. The Government will provide office space, furniture and office equipment, and as specified in the individual Task Orders. The Contractor shall be responsible for supplies in accordance with Section H.15, Supplies.

(2) Contractor Site Rates. When performing at a Contractor site, the fully-burdened labor rates and fully-burdened overtime labor rates shall include applicable indirect costs for office space and all normal supplies and services required to support the work. This includes, but is not limited to, telephones, faxes, copiers, personal computers, postage, including courier services such as Federal Express, ordinary business software, such as word processing, spreadsheets, graphics, etc., normal copying and reproduction costs.

c. Only Government-required labor categories are included in Attachment B-1, Labor

Rate Tables. Additional labor categories may be proposed and added to meet specific TO requirements, in accordance with Section B.5.3, Rate Refreshment, and Section G.10(G), Task Order Unique Labor Categories.

IDIQ Program Management Support Costs. IDIQ Contract-level program management support costs include contract-level management, reporting requirements (See Section F, Deliveries or Performance) and related travel and meeting attendance costs associated with the Contractor’s program management staff. This relates to overall management of the SEC-Wide OIAD survey services Indefinite Delivery Indefinite Quantity (IDIQ) contracts. As a result, these program management support costs shall be included within each fully burdened labor category rate, and shall not be proposed as separate labor categories or cost.

The contract-level “program management” support costs are differentiated from individual “Task Order Manager” or “Project Manager” support costs, which are to specifically support project management for individual task orders. The “Task Order Manager” or “Project Manager” support labor hours are billed at hourly labor rates against individual task orders for direct support to the effort performed under those task orders. This will result in direct billings at the task order level.

B.5.1 Firm-Fixed-Price (FFP) Task Orders

For FFP type task orders, travel and materials, if applicable, may be estimated for each TO, including applicable indirect costs, subject to the indirect ceiling rates established in the contract. Partial payment of FFP type TOs may be negotiated based on the completion of milestones/deliverables.

B.5.2 Time-and Materials (T&M) Task Orders

For T&M, the quantity of hours ordered from each labor category will be specified as deliverable hours billable at the ceiling rates specified in Attachment B-1, Labor Rate Tables, or as negotiated, if lower rates are proposed for the TO. Materials will be estimated for each TO and may include applicable indirect costs computed in accordance with the Contractor’s established accounting practices, subject to the indirect ceiling rates established in the contract. For T&M type task orders, profit on materials is not allowable. The cumulative extended total of all labor categories ordered plus materials/applicable indirect costs will define the TO rates up to the ceiling to allow flexibility. Reimbursement under the contract shall be governed by the clause FAR 52.232-7, Payments under Time and Materials and Labor-Hour Contracts.

(a) Labor. Attachment B-1, Labor Rate Tables, shall include descriptions of the Prime Contractor and each Subcontractor’s established accounting practices for recording and billing for labor hours under Task Orders. The table lists the Prime Contractor and each Subcontractor separately to assure that the accounting practices for each are clearly identified (e.g., Prime Contractor records all hours; “Subcontractor A” records forty (40) hours per week; “Subcontractor B” records all hours, etc.). The descriptions are incorporated into the contract and orders and are effective for T&M.

In the performance of T&M, the hours billed shall show the labor hours performed by the Prime Contractor and each Subcontractor separately. If the established accounting practices described in the contract are to record and bill a standard number of hours per week (e.g., forty (40) hours), the labor hours will be billed only on the basis of a standard number of hours. If the established accounting practices described in the contract are to record and bill all hours worked by employees, the labor hours billed will be based on all hours worked. If the Contractor provides that its established accounting practices are to record and bill all hours worked but it is found after award that the established accounting practices at the time of award were not based on recording all hours worked by employees, the Government shall be entitled to a price adjustment on all payments for labor hours under the T&M order. The amount of the price adjustment shall be the difference between the number of hours billed based on recording all hours worked and the hours that would have been recorded using a standard number of hours (e.g., forty (40) hours).

(b) Subcontractor Rates. All rates shall be proposed and billed at the Prime level.

(c) Materials. Materials are defined in the clause at FAR 52.232-7, Payments Under Time and Materials and Labor Hour Contracts.

Materials means—

• Direct materials, including supplies transferred between divisions, subsidiaries, or affiliates of the Contractor under a common control;

• Subcontracts for supplies and incidental services for which there is no labor category specified in the contract;

• Other direct costs (can be used for unusual expenses, such as incidental services for which there is no labor category specified in the contract, e.g., travel, long distance phone calls, incentive payments, data access, printing costs focus group facilities, postage, mailing, subcontracting, IRB computer usage charges, etc.); and,

• Applicable indirect costs.

Indirect costs allocated to any direct materials and other direct costs shall be proposed consistent with the payment requirements of FAR 52.232-7, Payments Under Time and Materials and Labor–Hour Contracts, paragraph (b)(5), as follows:

“The Contractor may include allocable indirect costs and other direct costs to the extent they are—

(i) Comprised only of costs that are clearly excluded from the hourly rate;

(ii) Allocated in accordance with the Contractor's written or established accounting practices; and

(iii) Indirect costs are not applied to subcontracts that are paid at the hourly rates.”

Indirect costs allocated to any direct materials and other direct costs shall be proposed consistent with FAR 52.216-7, Allowable Cost and Payment clause.

The cost of general purpose items required for the conduct of the Contractor’s normal business operations are not allowable materials in the performance of task orders under this contract. See also Section G and Section H for additional limitations on materials and mandatory support documentation.

Profit is not allowed on materials under a T&M type Task Orders.

(d) Travel (all order types). If authorized in the Task Order, travel will be reimbursed at actual direct costs in accordance with the limitations set forth in FAR 31.205-46, Travel Costs. No profit is allowed for travel. Subject to the ceiling rates in the table, indirect costs may be applied to travel in accordance with the Contractor’s established accounting practices consistent with FAR 31.2, Contracts with Commercial Organizations. Travel will be a separate Not-To- Exceed CLIN on orders.

B.5.3 Rate Refreshment

In accordance with Section B.5(c), additional labor categories may be proposed and added to meet specific requirements. The labor rates and indirect rates are fixed ceiling rates for all contract year periods for the IDIQ contract; although, the Contractor may submit a proposal reducing the fixed hourly rates and/or indirect rates applicable to materials at any time during the life of this contract. The Government will review these proposals and determine if the revised rates are realistic and in the best interests of the Government. If the rates are accepted, the Government will modify the contract by incorporating the new rates into Attachment B-1, Labor Rate Tables.

At any time and throughout the life of the contract, at the request of either the Contractor or the Government, the Contractor may propose additional labor categories, rates and descriptions in addition to the Government labor categories. These additional Task Order Unique labor categories, rates, and descriptions will be negotiated on a case-by-case basis (See Section G.10(G)).

B.6 Management Reports

B.6.1 Task Reporting

The Contractor shall be responsible for reporting progress on each task order it is working on.

The Contracting Officer, the Contracting Officer’s Representative (COR), and the OIAD point of contact for the individual tasks are the SEC employees authorized to request and receive reports from the contractor, and may require a variety of daily, weekly, and monthly reports. Examples include progress reports, monthly narratives of accomplishments, and contract funding and expenditures, invoices outstanding, and balance and burn rate status reports. The Contractor should note that specialized reports may be required, particularly on large and complex projects.

All reports described in this section are considered part of the company’s overhead costs for overall contract project management and are not separately billable. Costs for copying reports for distribution are not separately billable. Reports may also be required in electronic form, as specified by the SEC. Ad hoc reports must be provided in a timely fashion by the deadlines specified by the SEC. Meetings with the COR and/or OIAD point of contact will be required, sometimes with little or no advance notice, to discuss these reports. There may be a report required to provide an analysis of incentive delivery success rate for the quarter and for the contract to date.

B.6.2 Reporting Schedule: All reports must be provided according to the Deliverable Schedule. Ad hoc reports must be provided in a timely fashion by the deadlines specified by the Contracting Officer or COR. Weekly, or even daily meetings with the COR will often be required, often with little or no advance notice, to discuss these reports and project status.

Fiscal reporting must conform to the Government’s fiscal year, October 1 through September

30. See Section F.5 for deliverable requirements.

B.6.3 Tracking System: The Contractor shall, at a minimum, establish and maintain appropriate tracking systems which shall enable it to prepare and submit the reports required. Creation and maintenance of these tracking systems is not separately billable.

(End of Section B)

Section C – DESCRIPTIONS/SPECIFICATIONS/STATEMENT OF WORK

*SEE ATTACHMENT C-1 ENTITLED, SECTION C -

DESCRIPTIONS/SPECIFICATIONS/STATEMENT OF WORK FOR THIS SECTION

(End of Section C)

SECTION D: PACKAGING AND MARKING

D.1 (SEC 2001.00) Preservation, Packaging, Packing and Marking (Mar 2009)

Preservation, packaging, packing, and marking of all deliverable contract line items must conform to normal commercial packing standards to assure safe delivery at destination.

D.2 (SEC 2002.00) MARKING (MAR 2009)

All information submitted to the Contracting Officer (CO), the Contracting Officer’s Representative (COR), or his /her designated contact shall clearly indicate the number of the Contract and/or Task Order(s) for which the information is being submitted.

D.3 (SEC 2003.00) ADDITIONAL SHIPPING INSTRUCTIONS (MAR 2009)

The contractor shall include the SEC Contract and Task Order number on all packing slips that accompany items shipped to the SEC.

D.4 PAPERLESS REPORTING

The COR may require the Contractor to submit electronic (paperless) reporting, including Contract funding, expenditures, outstanding balance, and burn rate status reports and progress reporting. Creation and maintenance of any such report is not separately billable.

(End of Section D)

SECTION E: INSPECTION AND ACCEPTANCE

E.1 (SEC 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:

Securities and Exchange Commission Office of Acquisitions 100 F Street, NE Washington, DC 20549

E.2 INSPECTION AND ACCEPTANCE CLAUSES BY REFERENCE:

FAR CLAUSE TITLE

52.246-4 Inspection of Services-Fixed Price (AUG 1996) 52.246-6 Inspection of Services-Time-and-Material or Labor-Hour (MAY 2001)

E.3 INSPECTION AND ACCEPTANCE

E.3.1 Inspection and acceptance of all work and services performed under each Task Order will be in accordance with the FAR clauses incorporated at Section E, Inspection and Acceptance Clauses Incorporated by Reference, as applicable.

E.3.2 Inspection and Acceptance of supplies and/or services will be performed at the Task Order (TO) level by the Contractor Officer’s Representative (COR) or designated official, (subject to change for each TO). Inspection and acceptance will be performed at (to be determined at the Task Order Level). Services shall conform to the requirements set forth in the contract.

E.3.3 Final acceptance of all deliverables and or services performed as specified under each Task Order will be made in writing, at destination by the COR, or as detailed in individual Task Orders.

E.4 QUALITY CONTROL (To be determined at the Task Order level only if required or applicable)

E.4.1 Quality Control: The Contractor shall implement a complete quality control program that identifies potential and actual problem areas in providing requirements of the Contract as specified and results in corrective action throughout the life of the Contract. The Quality Control Plan shall be provided to the CO and COR within 20 days from Contract award.

Changes to the plan shall be submitted to the CO and COR not later than 10 calendar days prior to the effective date of the change. The Contractor is responsible for quality control during the performance of this Contract. All methods, procedures, and forms shall support this responsibility. Inspection by the SEC does not relieve the Contractor of its responsibilities.

Nothing expressed or implied in this Contract shall be interpreted to limit the Contractor’s responsibility to perform requirements to assure that all work meets the Contract requirements.

All work performed under this Contract shall be performed in accordance with the standards given in Section C to this Contract. Work failing to meet these standards shall be rejected, and the Contractor shall be required to perform the work again at no additional cost to the SEC.

See Section F.5 for deliverable requirements.

E.4.2 Implementation: To ensure all deliverables conform to Contract specifications, the Contractor shall implement quality control procedures for all tasks as delineated within its proposal. The Contractor shall stress to its Personnel the importance of quality control and quality assurance. The Contractor shall maintain quality control of all work performed, review the condition and appearance of output, check output for accuracy and consistency, ensure completion of all steps, and produce the required number of deliverables as specified in the

Task Order.

E.4.3 Importance: The importance to the SEC of quality work cannot be overstated. The SEC is committed to the production of deliverables that meet the Contract specifications when first presented to the SEC; the SEC will reject work not meeting Contract quality standards and will insist re-work be done at the Contractor's expense.

(End of Section E)

SECTION F: DELIVERIES OR PERFORMANCE

CLAUSES INCORPORATED BY REFERENCE

FAR CLAUSE TITLE

52.242-15 Stop-Work Order (AUG 1989)

52.242.17 Government Delay of Work (APR 1984)

52.247-34 F.O.B. Destination (NOV 1991)

52.247-35 F.O.B. Destination, Within Consignee’s Premises (APR 1984)

F.1 (SEC 4001.00) Period of Performance w/Option Years (Mar 2009)

The base period of performance under this contract shall be from date of award through one-year. This contract has Four (4) option periods. At the end of the base period, if exercised, the first option will begin. If all options are exercised, the period of performance will not exceed a total of Five (5) 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.

F.2 (SEC 4002.00) Period of Performance

The period of performance for the Base Period is from date of award through one-year.

The period of performance for Option Period 1, if exercised, is from date of exercise through one-year.

The period of performance for Option Period 2, if exercised, is from date of exercise through one-year.

The period of performance for Option Period 3, if exercised, is from date of exercise through one-year.

The period of performance for Option Period 4, if exercised, is from date of exercise through one-year.

F.3 TASK ORDERS PERFORMANCE PERIOD AND PRICING

Task Orders (TOs) may be issued at any time during the period of performance. Any TO issued hereunder may have a period of performance that continues up to twelve months beyond the period of performance (base and/or option period). The performance period will be specified in the TO and may include option periods. TO periods of performance may vary in duration.

Time-and-Materials TOs shall be priced using the rates provided in Section B, Supplies or Services and Price/Costs, that will be applicable to the TO’s anticipated period of performance. Note: Contractors are highly encouraged to propose discounted rates to the Labor Rates in the contract.

F.4 (SEC 4003.00) Place of Delivery – FOB Destination (Jun 2013)

All items to be delivered to the Government shall be sent to the address specified in individual task orders and received as specified in each TO.

F.5 (SEC 4003.01) Schedule of Deliverables (Feb 2012)

The contractor shall provide the following deliverables to the COR, unless otherwise specified, in a format compatible with Microsoft Office Suite products. The contractor shall return revised documents to the COR within 3 business days of receiving feedback on the draft document from the COR. If the contractor has not received feedback from the COR on a document within 14 days after the contractor submits the document, the contractor may consider the document approved.

Except for contract-level deliverables, all applicable TO deliverables, required delivery dates, destination of delivery, and schedule for completion of work to be performed will be specified in each TO issued under this contract, as applicable.

The following table represents the deliverables to be provided under this contract and subsequent task orders:

Section Deliverable Delivery Timeline Deliver To Delivery Schedule B.6.1 Task

Reporting After tasks are assigned Contracting

Officer’s Representati ve (COR)

TBD, to be established at Task Order Award

B.6.1 & B.6.2

Ad Hoc Reports

The Contractor shall be responsible for reporting progress on each task and subtask for each task order project it is working on.

Examples include data processing status reports, task reports, progress reports, monthly narratives of accomplishments, Task Order funding and expenditures, invoices outstanding, balance and burn rate status reports, incentive delivery report, COR As required by either the CO or

COR.

Contractor Personnel information such as labor categories, tasks assigned, dates on-board at the SEC and dates departed from the SEC.

Reports required for individual task orders will vary with the needs of the task order and project. The Contractor shall modify all reports to accommodate the needs of the individual task orders and projects. The Contractor should note that numerous specialized reports may be required, particularly on large task orders and projects. The Contractor shall also provide specified ad hoc reports and timely written minutes of ad hoc meetings as required by the

COR.

E.4.1 Quality Control (QC) Plan

(TBD at the task order level if required/applicable)

CO, COR (TBD at the Task Order)

F.6.1.1 Individual Subcontra cting Report

As specified in Section F.6.1.1 CO, COR As specified in Section F.6.1.1

F.6.1.2 Summary Subcontra ct Report

As specified in Section F.6.1.1 CO, COR As specified in Section F.6.1.2

F.6.1 SUBCONTRACTING PLAN REPORTS (applicable to non-small businesses)

Large Businesses shall submit periodic reports which show compliance with their subcontracting plan. The Contractor shall submit its report via the electronic Subcontracting Reporting System (eSRS) in accordance with the instructions on the website. The Contractor shall ensure that their Subcontractors agree to submit its report via the eSRS when applicable. The Individual Subcontracting Report (ISR) and the Summary Subcontracting Report (SSR) are available online at http://www.esrs.gov.

The work of the small businesses identified in the Subcontracting Plan shall be tracked against the Prime’s proposed goals. Creation and maintenance of any such report is not separately billable.

F.6.1.1 INDIVIDUAL SUBCONTRACTING REPORT (ISR)

The Contractor shall submit the Individual Subcontracting Report (ISR) electronically via the eSRS within thirty (30) calendar days after the close of each calendar period as follows: (1) April 30th, for the period October 1st, through March 31st; and (2) October 30th, for the period April 1st, through September 30th. Each semi-annual ISR reflects cumulative task order subcontracting accomplishments from the inception of the contract through the relevant ISR reporting period.

One (1) ISR is required at the contract level for all subcontract awards accomplished, (which is a roll-up of all task order awards) and submitted to the CO via eSRS for review and acceptance. When failing to meet the goals of the small business subcontracting plan of the contract, the Contractor shall state in the report (either remarks field or separate letter) what http://www.esrs.gov./ good faith effort has been made to meet the goals; and/or future plan on how to improve small business opportunities for future task orders.

No separate ISR submission at the task order level is required via eSRS. However, when the TO CO determines that the subcontracting status report is necessary to measure the extent of compliance by the Contractor, the Contractor shall manually submit periodic subcontracting status reports (SF-294) to the TO CO based on mutual agreement by both parties.

F.6.1.2 SUMMARY SUBCONTRACT REPORT (SSR)

The Contractor shall submit the SSR electronically via the eSRS. The report is due October 30th for the calendar period October 1 through September 30.

F.7 (SEC 4004.00) Documenting, Inspecting, and Accepting Contract Deliverables (Jun 2011)

The contractor shall submit all deliverables requiring a transmittal sheet with either the attached Deliverable Transmittal sheet or an alternative transmittal sheet that contains substantially the same information.

Except for contract-level deliverables, all applicable TO deliverables, required delivery dates, destination of delivery, and schedule for completion of work to be performed will be specified in each TO issued under this contract, as applicable. Each contract-level and TO-level deliverable shall be accompanied by a cover letter from the Contractor on its company letterhead. Multiple deliverables may be delivered with a single cover letter describing the contents of the package.

The contractor will develop a template cover sheet for the transmittal of all reports to the SEC. The cover sheet will identify: the Principal Investigator(s), OIAD as the owner and originator of the research product, OIAD’s logo and branding, a title, and a brief summary of the contents. This template may be further defined or refined going forward.

In the event the Contractor anticipates difficulty in complying with any contract-level or TO- level deliverable, the Contractor shall immediately provide written notice to the CO and the COR. The notification shall give pertinent details, including the date by which the Contractor expects to make delivery; provided, that this data shall be informational only in character and that receipt thereof shall not be construed as a waiver by the Government of any contract delivery schedule, or any rights or remedies provided by law or under this contract.

In the event that a Contractor is non-compliant in the submission of deliverables, the Government will reflect the non-compliance in the Contractor’s past performance report.

F.9 TRAVEL

Performance may require periods of travel, which requires prior COR approval.

F.10 RECOGNIZED HOLIDAYS

The Federal Government observes the holidays listed below.

New Year’s Day Martin Luther King’s Birthday Washington’s Birthday Memorial Day Independence Day Labor Day Columbus Day Veteran’s Day Thanksgiving Day Christmas Day Washington, DC only: Inauguration Day

(End of Section F)

SECTION G: CONTRACT ADMINISTRATION DATA

G.1 (SEC 5001.00) Contract Administration (Dec 2011)

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

U.S. Securities and Exchange Commission Office of Acquisitions Attn: Consuela Ginn, Contract Specialist 100 F Street, NE Washington, DC 20549 Email: ginnc@sec.gov

U.S. Securities and Exchange Commission Office of Acquisitions Attn: Julia Gallmon, Contracting Officer 100 F Street, NE Washington, DC 20549 Email: gallmonj@sec.gov mailto:ginnc@sec.gov mailto:OA-CLS@sec.gov

G.2 (SEC 5001.03) Contract Administration for Non-Severable Services (Aug 2013)

The services for the contract are considered non-severable services. Non-severable services are considered to be new tasks, each with details of the task and when it is due.

a. The task is described by SEC employees and e-mailed to the Contracting Officer’s Representative (COR).

b. COR ensures it is in scope and e-mails it to the contractor’s Project Manager (PM).

c. Vendor PM reviews it and assigns the task to the contractor personnel (CP).

d. SEC employees work with the assigned CP.

The COR will review deliverables within the time frames indicated in approved technical direction letter / e-mail.

G.3 (SEC 5003.00) Submission of Invoices (Apr 2012)

The Securities and Exchange Commission accepts only electronic/e-mail invoices.

Invoices shall be submitted on a Monthly basis.

Invoices shall be paid 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:

Company logo or letterhead

Company name and payment address

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

Invoice Number

SEC Contract or Order number

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

G.3.1 (SEC 5003.01) Invoice Scheduling (Mar 2009)

The contractor shall invoice for all Task Orders placed on a monthly basis.

G.3.2 (SEC 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.

G.4 (SEC 5004.00) Appointment of Contracting Officer's Representative (COR) (Nov 2012)

a. (TBD), TBD@sec.gov; is hereby designated the Securities and Exchange Commission COR for administration and information relating to this contract. (TBD), TBD@sec.gov; is hereby designated as the Alternate COR for this contract.

b. 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 mailto:9-AMC-AMZ-SEC-Invoices@faa.gov 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.

c. The COR will manage the contract in coordination with the CO and within the terms of the contract and 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.

d. Only the Contracting Officer 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.

G.5 (SEC 5005.00) Contract Options (Mar 2009)

(a) Award of an initial contract will not obligate the Government to exercise any contractual option. Prior to exercising any option, the Government will make a determination that (1) funds are available, (2) the requirement covered by the option fulfills an existing need of the Government, and (3) the exercise of the option is the most advantageous method of fulfilling the Government’s need, price and other factors considered.

(b) Failure to exercise an option shall not obligate the Government to pay any charges other than the contract price including exercised options.

G.6 Ordering

Services to be furnished under the OIAD Survey Data Collection and Other Related Services contract shall be ordered or confirmed by the placement of a task order by the Contracting Officer and subsequent Technical Instructions, if applicable, by the Contracting Officer’s Representative and Alternate Contracting Officer’s Representative as set forth in this Section.

G.7 (SEC 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.

G.8 TASK ORDER (TO) PLACEMENT PROCEDURES

The Contractor’s services shall be obtained on an as-needed basis (i.e., through the issuance of TOs). The Contractor shall perform the required effort for these services throughout the period of performance of the contract. Issued TOs will identify the services required, provide specific technical details (including the schedule for all deliverables and the identification of any applicable Government-Furnished Property (GFP), Government- Furnished Information (GFI) and/or Government furnished workspaces), and activate performance.

The following defines the process by which a fair opportunity will be afforded, and how a TO will be processed, priced, and awarded. It also defines specific, local provisions to be used for issues concerning task order consideration and payment. Careful attention should be paid to those areas in which the procedures, processes and provisions change due to use of a different contract type or pricing methodology.

Other Relevant Information: The Contractor shall assume all costs associated with preparation of proposals for TO awards under the fair opportunity process as an indirect charge. The Government will not reimburse awardees for fair opportunity proposals as a direct charge.

G.9 FAIR OPPORTUNITY PROCESS (if applicable)

G.9.1 Each TO will be issued in accordance with the Fair Opportunity procedures in FAR 16.505, Ordering, as supplemented below.

G.9.2 Each solicitation will include, at a minimum, the following information:

a. Task Order Solicitation number;

b. Date of Task Order

Request Package;

c. Statement of Work (SOW);

d. Instructions for submission of technical and cost/price proposals;

e. Evaluation criteria and relative order of importance

(if applicable);

f. Anticipated contract type;

g. Contracting organization POC: name, phone number, e-mail address and fax (CO and Contract Specialist); and,

h. Proposal Due Date.

G.9.3 FAIR OPPORTUNITY EXCEPTIONS (if applicable)

(A) In accordance with the Federal Acquisition Streamlining Act (FASA) and FAR Part 16.505(b), Orders Under Multiple Award Contracts, the CO will provide all awardees a “fair opportunity” to be considered for each order in excess of $3,500, unless one of the conditions below applies:

(1) The agency need for such services is so urgent that providing a fair opportunity would result in unacceptable delays.

(2) Only one awardee is capable of providing the services required and quality of services at the required level because the services ordered are unique or highly specialized.

(3) The order must be issued on a sole-source basis in the interest of economy and efficiency because it is a logical follow-on to a task order already issued under this contract, provided that all awardees were given a fair opportunity to be considered for the original order.

(4) It is necessary to place an order to satisfy a minimum guarantee.

(5) For orders exceeding the simplified acquisition threshold, a statute expressly authorizes or requires that the purchase be made from a specified source.

(6) In accordance with section 1331 of Public Law 111-240 (15 U.S.C. 644(r)), contracting officers may, at their discretion, set aside orders for any of the small business concerns identified in 19.000(a)(3). When setting aside orders for small business concerns, the specific small business program eligibility requirements identified in FAR Part 19 apply.

(7) In accordance with FAR 16.5, Indefinite-Delivery Contracts, when an exception to the fair opportunity to be considered exists, the task order will be processed as a sole source procurement and must include a sole source justification. The sole source justification must be approved by the TO CO. No justification is required for exception (A)(6) above.

G.10 TASK ORDER SOLICITATION PROCESS (if applicable)

(A) The TO CO will issue a proposal request to Prime Contractors, unless a fair opportunity exception applies. The proposal request will include a due date for proposal submission and requirements documentation (Statement of Objectives, Statement of Work, or Performance Work Statement) that will include either the Government’s objectives or a detailed description of work to be accomplished, the applicable task areas, a listing of the deliverables required and any additional data, as appropriate. The proposal request will also include specific instructions for the submission of proposals, selection criteria factors, the factors’ order of importance and other information deemed appropriate.

(B) Contractors will be provided an adequate time to prepare and submit responses based on the estimated dollar value and complexity of the proposed TO. The due date will be set forth in each proposal request. If unable to perform a requirement, Contractors shall submit a “no bid” justification in response to the proposal request. All no bid justifications shall include a brief statement as to why the Contractor is unable to perform (e.g., conflict of interest). This notification must be submitted to the TO CO by the proposal due date.

(C) Technical Proposals: The proposal request will state the submission requirements for a written technical proposal.

(D) Cost/Price Proposals: A written cost/price proposal shall always be required http://uscode.house.gov/ https://www.acquisition.gov/far/current/html/Subpart%2019_1.html#wp1101780 https://www.acquisition.gov/far/current/html/FARTOCP19.html#wp223561 and submission instructions will be detailed in the proposal request.

(E) Evaluation of TO Proposals: Proposals will be evaluated in accordance with the evaluation criteria set forth in the Task Order Request Package (TORP).

(F) Task Order Issuance: TOs shall be signed by a CO and may be issued by e-mail, regular mail or facsimile using an Optional Form 347 (Order for Supplies or Services), or a Standard Form 30 (Amendment of Solicitation/Modification of Contract) in the case of a modification to a TO. TOs issued shall include, but not be limited to the following information (when applicable):

(1) Date of Order;

(2) Contract and Order number;

(3) Type of Order;

(4) Appropriation and accounting data;

(5) Description of the Statement of Work services to be performed;

(6) Description of end item(s) to be delivered;

(7) Incorporate the terms and conditions of this contract by reference, as applicable;

(8) Contract Data Requirements List;

(9) The individual responsible for inspection/acceptance and the place or places where inspection and acceptance will be made by the Government;

(10) Period of performance/delivery date and the place of performance, indicating therein the Contractor’s facility to be utilized and, in the event travel is required in the performance of the work ordered (including a travel itinerary, if required), the locations at which such performance is necessary;

(11) The estimated firm fixed price or ceiling price for the order; and,

(12) Specify any GFE or GFI applicable to the TO.

(G) Task Order Unique Labor Categories: Task Order Unique Labor Categories are those categories not currently listed in the OIAD survey services contract but may be required to perform certain task orders within the scope of the contract. These additional labor categories and rates shall be approved by the CO prior to the award of the TO or TO modification. The CO will conduct a price reasonableness analysis of the proposed labor category and if approved, the CO will allow the additional labor category and rate for the specific TO only.

(H) Task Order Protests: In accordance with 41 U.S.C. § 4106(f), TASK AND DELIVERY ORDER CONTRACTS-Orders, a protest is not authorized in connection with the issuance or proposed issuance of a task or delivery…