SECHQ117Q0023_Combined_Synopsis-Solicitation.pdf

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The Securities and Exchange Commission, 100 F Street, NE, Washington, DC 20549, intends to procure a subscription to a commercial of the shelf (COTS) web-based system that provides compliance and regulatory information.

(i) This is a Combined Synopsis/Solicitation for commercial items prepared in accordance with the format in Subpart 12.6 of the Federal Acquisition Regulation (FAR), as supplemented with additional information included in this notice. This announcement constitutes the only solicitation; quotes are being requested and a written solicitation will not be issued. Solicitation # SECHQ117Q0023 is issued as a request for quote (RFQ).

(ii) Solicitation # SECHQ117Q0023 is issued as a request for quote (RFQ).

(iii) The solicitation document and incorporated provisions and clauses are those in effect through Federal Acquisition Circular 2005-95. Provisions and clauses incorporated by reference have the same force and effect as if they were given in full text.

(iv) The NAICS code is 519190 “All Other Information Services” and the business size standard is $27.5 million. This combined synopsis/solicitation is issued unrestricted.

(v) This combined synopsis/solicitation contains the following line item numbers (CLIN):

CLIN Description QTY Unit of Issue

Unit Price Total Price

00001 BASE PERIOD (4/1/2017 – 3/31/2018):

Subscription to a commercial of the shelf (COTS) web-based system that provides compliance and regulatory information in accordance with the Statement of Work.

12 MONTHS

00002 OPTION PERIOD I (4/1/2018 – 3/31/2019):

Subscription to a commercial of the shelf (COTS) web-based system that provides compliance and regulatory information in accordance with the Statement of Work.

12 MONTHS

00003 OPTION PERIOD II (4/1/2019 – 3/31/2020):

Subscription to a commercial of the shelf (COTS) web-based system that provides compliance and regulatory information in accordance with the Statement of Work.

12 MONTHS

00004 OPTION PERIOD III (4/1/2020 – 3/31/2021):

Subscription to a commercial of the shelf (COTS) web-based system that provides compliance and regulatory information in accordance with the Statement of Work.

12 MONTHS

00005 OPTION PERIOD IV (4/1/2021 – 3/31/2022):

Subscription to a commercial of the shelf (COTS) web-based system that provides compliance and regulatory information in accordance with the Statement of Work.

12 MONTHS

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(vi) Description of requirements: See attached Statement of Work

(vii) Period of Performance: 1 April 2017 – 31 March 2018 plus four (4) one-year option periods.

Place of Delivery: Securities and Exchange Commission, Office of Strategic Initiatives (OSI), 100 F Street, NE, Washington DC, 20549.

FAR PROVISIONS & CLAUSES:

(viii) The provisions at FAR 52.212-1, Instructions to Offerors – Commercial Items (Jan 2017), applies to this acquisition.

(ix) The provision at FAR 52.212-2, Evaluation – Commercial Items (Oct 2014), applies and the following factors shall be used to evaluate offers:

(i) Technical capability of the items offered to meet the Government requirement:

Ability to meet the requirements of the attached Statement of Work

(ii) Price

(iii) Past Performance

Technical and past performance, when combined, are significantly more important than price.

(x) The provision at FAR 52.212-3, Offeror Representations and Certifications-Commercial Items (Jan 2017) is applicable to this requirement.

(xi) The clause at FAR 52.212-4, Contract Terms and Conditions – Commercial Items (Jan 2017), applies to this acquisition.

(xii) The clause at FAR 52.212-5, Contract Terms and Conditions Required To Implement Statutes Or Executive Orders – Commercial Items, applies to this acquisition. The following additional clauses cited in this clause are applicable to the acquisition: 52.203-6, Restrictions on Subcontractor Sales to the Government (Sept 2006); 52.204-10, Reporting Executive Compensation and First-Tier Subcontract Awards (Oct 2016); 52.209-6, Protecting the Government’s Interest When Subcontracting with Contractors Debarred, Suspended, or Proposed for Debarment. (Oct 2015); 52.209-9, Updates of Publicly Available Information Regarding Responsibility Matters (Jul 2013); 52.219-8, Utilization of Small Business Concerns (Nov 2016) ; 52.219-28, Post Award Small Business Program Rerepresentation (Jul 2013); 52.222-3, Convict Labor (June 2003); 52.222-21, Prohibition of Segregated Facilities (Apr 2015); 52.222- 26, Equal Opportunity (Sept 2016); 52.222-35, Equal Opportunity for Veterans (Oct 2015);

52.222-36, Equal Opportunity for Workers with Disabilities (Jul 2014); 52.222-37, Employment Reports on Veterans (FEB 2016); 52.222-40, Notification of Employee Rights Under the National Labor Relations Act (Dec 2010); 52.222-50, Combating Trafficking in Persons (Mar 2015);

52.222-60, Paycheck Transparency (Executive Order 13673) (OCT 2016); 52.223-18, Encouraging Contractor Policies to Ban Text Messaging While Driving (AUG 2011); 52.225-5, Trade Agreements (OCT 2016); 52.225-13, Restrictions on Certain Foreign Purchases (June 2008); 52.232-33, Payment by Electronic Funds Transfer—System for Award Management (Jul 2013); 52.239-1, Privacy or Security Safeguards (Aug 1996);

https://www.acquisition.gov/sites/default/files/current/far/html/52_200_206.html#wp1137622 https://www.acquisition.gov/sites/default/files/current/far/html/52_200_206.html#wp1141649 https://www.acquisition.gov/sites/default/files/current/far/html/52_207_211.html#wp1140926 https://www.acquisition.gov/sites/default/files/current/far/html/52_207_211.html#wp1145644 https://www.acquisition.gov/sites/default/files/current/far/html/52_217_221.html#wp1136032 https://www.acquisition.gov/sites/default/files/current/far/html/52_217_221.html#wp1139913 https://www.acquisition.gov/sites/default/files/current/far/html/52_222.html#wp1147479 https://www.acquisition.gov/sites/default/files/current/far/html/52_222.html#wp1147656 https://www.acquisition.gov/sites/default/files/current/far/html/52_222.html#wp1147711 https://www.acquisition.gov/sites/default/files/current/far/html/52_222.html#wp1147711 https://www.acquisition.gov/sites/default/files/current/far/html/52_222.html#wp1158632 https://www.acquisition.gov/sites/default/files/current/far/html/52_222.html#wp1162802 https://www.acquisition.gov/sites/default/files/current/far/html/52_222.html#wp1148123 https://www.acquisition.gov/sites/default/files/current/far/html/52_222.html#wp1160019 https://www.acquisition.gov/sites/default/files/current/far/html/52_222.html#wp1151848 https://www.acquisition.gov/sites/default/files/current/far/html/52_222.html#wp1169137 https://www.acquisition.gov/sites/default/files/current/far/html/52_223_226.html#wp1188603 https://www.acquisition.gov/sites/default/files/current/far/html/52_223_226.html#wp1169151 https://www.acquisition.gov/sites/default/files/current/far/html/52_223_226.html#wp1169608 https://www.acquisition.gov/sites/default/files/current/far/html/52_232.html#wp1153351 https://www.acquisition.gov/sites/default/files/current/far/html/52_233_240.html#wp1113650

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All FAR clauses and provisions incorporated by reference may be viewed in full text via the Internet at https://www.acquisition.gov/?q=browsefar.

(xiii) Additional provisions and clauses applicable to this acquisition: FAR 52.204-7, System for Award Management (Oct 2016); 52.204-16 Commercial and Government Entity Code Reporting (Jul 2016); 52.204-21 Basic Safeguarding of Covered Contractor Information Systems (Jun 2016); 52.209-7 Information Regarding Responsibility Matters (Jul 2013); 52.209-5 Certification Regarding Responsibility Matters (Oct 2015); 52.217-5 Evaluation of Options (Jul 1990);

52.232-39 Unenforceability of Unauthorized Obligations; 52.232-40 -- Providing Accelerated Payments to Small Business Subcontractors (Dec2013); 52.252-2--Clauses Incorporated by Reference.

52.217-8 Option to Extend Services (Nov 1999)

The Government may require continued performance of any services within the limits and at the rates specified in the contract. These rates may be adjusted only as a result of revisions to prevailing labor rates provided by the Secretary of Labor. The option provision may be exercised more than once, but the total extension of performance hereunder shall not exceed 6 months. The Contracting Officer may exercise the option by written notice to the Contractor within 7 days.

52.217-9 Option to Extend the Term of the Contract (Mar 2000)

(a) The Government may extend the term of this contract by written notice to the Contractor within contract performance; provided that the Government gives the Contractor a preliminary written notice of its intent to extend at least 7 days before the contract expires. The preliminary notice does not commit the Government to an extension.

(b) If the Government exercises this option, the extended contract shall be considered to include this option clause.

(c) The total duration of this contract, including the exercise of any options under this clause, shall not exceed 60 months.

(xiv) The following SEC Instructions apply to this acquisition:

2002.00 Marking (Mar 2009)

All information submitted to the Contracting Officer, the POC, or his/her designated contact shall clearly indicate the number of the contract for which the information is being submitted.

3001.01 Inspection and Acceptance (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) – Caroline Early. Inspection and Acceptance will be performed at the Securities and Exchange Commission, Headquarters.

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

The period of performance for this contract shall be April 1, 2017 through March 31, 2018. This contract includes four (4) Option Periods which may be unilaterally exercised by the SEC in https://www.acquisition.gov/?q=browsefar http://farsite.hill.af.mil/reghtml/regs/far2afmcfars/fardfars/far/52_000.htm#P824_120716 http://farsite.hill.af.mil/reghtml/regs/far2afmcfars/fardfars/far/52_000.htm#P1198_177215

4 of 12 SECHQ117Q0023 accordance with FAR Clause 52.217-9. The period of performance for each option period shall be twelve (12) months. At the end of the base period, if exercised, the first Option period will begin. If exercised, the period of performance for each successive option will begin the day after expiration of the previous Option Periods.

Exercise of any option requires a contract modification signed by the SEC Contracting Officer.

The SEC is not contractually bound to exercise any of the Option Periods. If all Option Periods are exercised, the period of performance for this contract shall not exceed five (5) years.

4003.00 Place of Delivery – FOB Destination (Jun 2013)

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

U.S. Securities and Exchange Commission Office of Strategic Initiatives 100 F Street NE Washington, DC 20549

5001.00 Contract Administration (Aug 2011)

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

Securities and Exchange Commission Office of Acquisitions Attn: Jeremy Garrett Phone: 202-551-7472 Email: garrettj@sec.gov 100 F Street, NE Washington, DC 20549

5003.00 Submission of Invoices (April 2012)

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

Invoices shall be submitted on a submission of deliverable basis.

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

Electronic/e-mail Invoice Instructions:

Invoices must be in PDF Format and may not exceed 10MB Subject Line: Company name and the invoice number e-mail Message:

Company logo or letterhead Company name and payment address Company point of contact (POC) for the invoice with phone and e-mail Invoice Number

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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.

If you have questions regarding submission of invoices, the SEC’s Office of Financial Management may be reached at (202) 551-7860.

5003.01 Invoice Scheduling (Mar 2009)

The contractor shall invoice according to the following schedule.

The contractor shall submit invoices on a quarterly basis.

5003.03 Option Period Invoicing (Mar 2009)

Option periods may be paid only after (1) an option modification has been issued by the Contracting Officer; and (2) the Government’s receipt of a proper invoice from the Contractor.

An invoice received by the Government prior to issuance of an option modification will be rejected as an improper invoice.

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

a. To be Determined is hereby designated the Securities and Exchange Commission COR for administration and information relating to this contract. To be Determined 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 mailto:9-AMC-AMZ-SEC-Invoices@faa.gov

6 of 12 SECHQ117Q0023 provide the Contractor with a copy of the COR appointment letter(s). The COR may not re-delegate his or her authority; only the CO has this authority.

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 CO has the authority to change the terms and conditions of this contract. The COR may request a contract modification, but the CO will make the final determination. The COR may not agree to or issue a change to the contract terms and conditions. In the event the Contractor effects changes to the contract at the direction of any person other than the CO, the changes will be considered to have been made without any authority and no adjustments will be made to the contract.

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.

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.

6001.00 SEC Non-Disclosure Requirements and Agreements (Jul 2012)

Required non-disclosure agreements are attached and must be completed and returned to the Contracting Officer before starting work under this contract.

Provisions of the SEC Regulation Concerning Conduct of Members and Employees and Former Members and Employees of the Commission expressly prohibit unauthorized disclosure and improper use of confidential or non-public information or documents. See 17 C.F .R. § 200.7353(b)(1) & (b)(2). The Contractor, and its employees, agents, subcontractors, and subcontractor personnel who will have access to confidential or non-public information or documents in the performance of the contract, agree to be bound by the provisions of Sections

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200.735-3(b)(1) and 200.735-3(b)(2) of the SEC's Regulation Concerning Conduct and the terms set forth in the attached non-disclosure agreements (Attachments 2 & 3). For purposes of this clause, “confidential or non-public information,” is defined as information generated by or in the possession of the SEC that is commercially valuable, trade secret, market sensitive, proprietary, related to an SEC enforcement or examination matter, subject to privilege, protected by the Privacy Act (5 U.S.C. § 552a), or otherwise deemed confidential or non-public by an SEC division director or office head, and is not otherwise available to the public.

An officer or executive authorized to bind the Contractor shall execute the non-disclosure agreement (Attachment 2) on behalf of the Contractor and return it to the Contracting Officer prior to the Contractor accessing any SEC confidential or non-public information during performance of the contract, for example, when engaged in any SEC usage review. The Contractor shall submit to the Contracting Officer a list of its employees, agents, and subcontractors that will be authorized access to SEC information by virtue of performing the requirements set forth in this contract. Each person identified on the list shall then sign the non-disclosure agreement on behalf of themselves (Attachment 3) and submit it to the Contracting Officer before accessing any SEC confidential or non-public information.

The Contractor shall also ensure that all of its employees, agents, and subcontractors accessing any SEC confidential or non-public information adhere to the terms of the non-disclosure agreement, protecting all confidential or non-public information, and to not divulge to any unauthorized person. Assignment of staff who has not executed the non-disclosure agreement or failure to adhere to this statement shall result in action by the Contracting Officer, as deemed appropriate. Violation of this clause or the attached non-disclosure agreements by the Contractor, its employees, agents, subcontractors, or subcontractor personnel may result in default of the contract and/or civil suits and/or criminal prosecution.

(End of clause)

6001.01 Restrictions on Use, Disclosure, and Duplication of Confidential and Non- Public Information (Nov 2010)

Confidential or non-public information, for purposes of this clause includes but is not limited to, all financial, statistical, personnel and/or technical data which is furnished, produced, generated, or otherwise available to the Contractor, during the performance of this contract. Unless otherwise specified, confidential or non-public information shall not be used for purposes other than performance of work under this contract without the prior written consent of the Contracting Officer. The Contractor, and its employees, agents, subcontractors, and subcontractor personnel are restricted from duplicating or disclosing confidential or non-public information, in whole or in part, outside the Securities and Exchange Commission (SEC) for purposes other than fulfillment of the requirements set forth in this contract. Any presentation of any confidential or non-public information, or any reports or material derived from confidential or non-public information shall be subject to review of the Contracting Officer prior to publication or dissemination. Any questions about whether information is confidential or non-public shall be referred to the Contracting Officer prior to use disclosure or duplication.

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(End of clause)

6002.00 Type of Contract (Mar 2009)

Firm Fixed Price.

6003.00 Representations and Certifications (Mar 2009)

The Contractor’s completed Representations, Certifications, and Other Statements of Offerors or Respondents is incorporated herein by reference.

6012.02 SEC 508 Requirements (March 2011)

Pursuant to Section 508 of the Rehabilitation Act of 1973 (29 U.S.C. 794d), as amended by the Workforce Investment Act of 1998, all electronic and information technology (EIT) products and services developed, acquired, maintained, and/or used under this contract/order must comply with the Electronic and Information Technology Accessibility Provisions set forth by the Architectural and Transportation Barriers Compliance Board (also referred to as the “Access Board”) in FAR 39.2.The complete text of Section 508 Final Provisions can be accessed at http://www.access-board.gov/sec508/provisions.htm.

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

• 36 CFR 1194 Section 21-Software applications and operating systems

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

• 36 CFR 1194 Section 23-Telecommunication Products

• 36 CFR 1194 Section 24-Video and Multimedia Products

• 36 CFR 1194 Section 25-Self contained, closed products

• 36 CFR 1194 Section 26-Desktop and Portable Computers

• 36 CFR 1194 Section 31-Functional Performance Criteria

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

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

The Contractor shall indicate for each line item in the schedule whether each product or service is compliant or non-compliant with the accessibility standards at 36 CFR 1194 using a Voluntary Product Accessibility Template (VPAT). Further, the SECHQ117Q0023 must indicate where full details of compliance can be found (e.g., vendor’s website or other exact location). The offeror further represents that all EIT products and services that are less than fully compliant have been reviewed and plans to correct are in place.

Respondents to this solicitation must provide any additional detailed information necessary for determining applicable Section 508 standards conformance, as well as for documenting EIT products and/or services that are incidental to the project, which would constitute an exception to Section 508 requirements. If a vendor claims its products and/or services, including EIT deliverables such as electronic documents and reports, meet applicable Section 508 standards, and it is later determined by the Government – i.e., after award of a contract/order, that products and/or services delivered do not conform to the described accessibility, remediation of the products and/or services to the level of conformance specified in the contract will be the responsibility of the Contractor at its expense.

http://www.access-board.gov/sec508/provisions.htm http://www.section508.gov/index.cfm?fuseAction=stdsSum http://www.itic.org/index.php?src=gendocs&ref=vpat&category=resources http://www.itic.org/index.php?src=gendocs&ref=vpat&category=resources

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

In accordance with Section 508 of the Rehabilitation Act of 1973 (29 U.S.C. 794d), all EIT supplies or services provided under this contract must comply with the applicable accessibility standards issued by the Architectural and Transportation Barriers Compliance Board at 36 CFR Part 1194 (see FAR Subpart 39.2). Electronic and information technology (EIT) is defined at

FAR 2.101.

6012.04 Electronic and Information Technology Accessibility (Mar 2011) Each Electronic and Information Technology (EIT) product or service furnished under this contract shall comply with the Electronic and Information Technology Accessibility Standards (36 CFR 1194 ). If the Contracting Officer determines any furnished product or service is not in compliance with the contract, the Contracting Officer will promptly inform the Contractor in writing. The Contractor shall, without charge to the Government, repair or replace the non-compliant products or services within the period of time to be specified by the Government in writing. If such repair or replacement is not completed within the time specified, the Government shall have the following recourses:

The right to Termination of the contract, delivery or task order, purchase or line item without termination liabilities pursuant to the contract termination clauses; or

In the case of custom Electronic and Information Technology (EIT) being developed for the Government, the Government shall have the right to have any necessary changes made or repairs performed by itself or by another firm and the contractor shall reimburse the Government for any expenses incurred thereby.

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

In the event of a modification(s) to this contract/order, which adds new EIT products and services or revises the type of, or specifications for, products and services the Contractor is to provide, including EIT deliverables such as electronic documents and reports, the Contracting Officer may require that the contractor provide an update of information provided in the solicitation to identify EIT compliance. Under any maintenance agreement, Contractor agrees to maintain compliance with Section 508 of the Rehabilitation Act of 1973 for all EIT.

In order to comply with 36 CFR 1194 Section 41, the Contractor shall submit all soft copies (e.g., user manuals, product documentation, etc.) in a format that will be readable using assistive technology, (e.g., screen reader). All imbedded charts, graphs, pictures, etc., must be accessible and understandable using a screen reader.

6012.05 Personally Identifiable Information (PII) (Jun 2013)

A Contractor that designs, develops, or operates a system of records on individuals, or otherwise collects or has access to personally identifiable information (PII) in the performance of this http://www.access-board.gov/sec508/standards.htm#Subpart_b

10 of 12 SECHQ117Q0023 contract shall, prior to taking such action, comply with the following requirements:

(a) The Contractor shall have established policies and procedures in place to safeguard SEC PII. The policies and procedures shall provide the Contractor’s processes for identifying, assessing and mitigating privacy risks associated with PII. The policies and procedures shall also cover training of employees on their roles and responsibilities for safeguarding SEC PII and incident management of suspected or confirmed loss of SEC PII in accordance with OMB’s Recommendations for Identity Theft Related Data Breach Notification, September 20, 2006, and OMB Memorandum M-07-16, Safeguarding Against and Responding to the Breach of Personally Identifiable Information, May 22, 2007.

(b) The Contractor shall also ensure that all processes, procedures and equipment associated with PII comply with all laws, regulations, and security mandates as defined by National Institute of Standards and Technology (NIST) Special Publication (SP) 800-61 Revision 1 and are aligned with the incident categories and timelines referenced in Table J-1 of NIST SP 800-61, as well as U.S. government and SEC policies developed to safeguard the confidentially, integrity and availability of SEC data that may contain PII. In support of these requirements, the Contractor shall have:

• policies, procedures, and mechanisms designed to restrict access to SEC data on Contractor, subcontractor, or SEC inter/intra agency partner systems exclusively to authorized personnel;

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

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

• policies, procedures, and mechanisms that ensure SEC data transmitted across public networks (i.e., the Internet) by the Contractor, or its employees, agents or subcontractors, are protected using encryption compliant with Federal Information Processing Standard 140-2.

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

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

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

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

11 of 12 SECHQ117Q0023 incident management.

(f) The Contractor’s employees, agents, and subcontractors shall immediately alert the SEC of any event, including the suspected or confirmed loss of SEC PII, that could potentially affect the privacy rights of individuals or which violates any federal law, regulation, mandate or requirement as defined in NIST 800-122 by contacting the SEC Information Systems Security point of contact and the SEC Incident Response Team at cops@sec.gov. The Contractor shall act in accordance with its policies and procedures in the event of any suspected loss of SEC PII and shall support the SEC’s investigation and resolution of reported incidents as requested by the SEC. For purposes of this Clause, a “suspected loss of PII” shall be interpreted liberally to mean any situation in which the loss of PII or unapproved access to PII is deemed a reasonable possibility.

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

The Contractor acknowledges and agrees to the following: The SEC anticipates using the data and/or materials to conduct analyses for use in reports, studies, memoranda, and presentations.

The SEC anticipates the following types of situation where analyses based on underlying data may be made public: by the SEC itself (E.g., SEC rulemaking and/or analysis done as part of an inspection or enforcement action), by SEC staff where the SEC is directing or facilitating the publication (e.g., a staff study in response to a Congressional request), by SEC staff facilitating their own private publication where the Commission has not taken a position regarding the publication of the analysis(e.g., a research report to be submitted by the individual staff to an academic conference or journal), and a former employee of the SEC who has substantially completed the analysis while on staff and is facilitating his/her own private publication( e.g., a research report to be submitted to an academic conference or journal). In all of these situations, only “insubstantial amounts” of the licensed data and/or material would be made public and no raw data would be made public, the authors would agree to abide by all contractual terms and conditions, and as the owner/licensor of the data the Contractor would receive attribution and be cited as the data source. “Insubstantial amounts” means an amount that has no independent commercial value and could not be used as a substitute for the service or product or any part of it.

(xv) The Defense Priorities and allocations System (DPAS) and assigned rating is not applicable.

(xvi) General Information: Any questions regarding this solicitation must be submitted in writing and sent via email to Jeremy Garrett (GarrettJ@sec.gov) and Anke Taylor (TaylorAnk@sec.gov) by 5:00 PM EST on February 24, 2017. The SEC reserves the right to not make award resulting from this solicitation and the SEC will not pay any contractor quote/bid costs for this solicitation. The SEC intends to make award without discussion but reserves the right to hold discussions with vendors if determined necessary.

Quote Requirements: A written technical quote and a separate written price quote are required for this solicitation. Any exceptions, deviations or conditional assumptions to the requirements of the solicitation must be clearly stated and explained within the first two pages of both the mailto:GarrettJ@sec.gov mailto:TaylorAnk@sec.gov

12 of 12 SECHQ117Q0023 technical and price quote. Exceptions, Deviations, and conditional assumptions may render your company’s offer non-compliant and in-eligible for award.

The technical quote shall clearly describe your company’s solution and demonstrate that the solution meets all technical requirements of this solicitation. There is a 10 page limitation for the written technical quote.

The price quote shall include a firm-fixed price for the base period of the contract (CLIN 00001) and a firm-fixed price for each of the four (4) option periods of the contract (CLINs 00002, 00003, and 00004, 00005). The price for each CLIN shall be inclusive of all fees. The price quote shall also include a breakdown of the price elements for each CLIN (i.e. price of subcontractor license agreement), so that the SEC can understand how the pricing was derived for each CLIN. There is no page limitation for the price quote. The SEC requests all available price discounts.

Quote Submission and Deadline: The response deadline for this solicitation is 5:00 PM EST March 2, 2016. Your company’s response must be submitted via email to Jeremy Garrett (GarrettJ@sec.gov) and Anke Taylor (TaylorAnk@sec.gov) by the response deadline.

Attachments:

Attachment 1 – Statement of Work Attachment 2 – Company Non-Disclosure Agreement Attachment 3 – Contractor Employee Non-Disclosure Agreement mailto:GarrettJ@sec.gov mailto:TaylorAnk@sec.gov

SECHQ117Q0023

ATTACHMENT # 1

STATEMENT OF WORK

Financial Compliance and Regulatory Information

The U.S. Securities and Exchange Commission (SEC) requires subscription to a commercial off the shelf (COTS) web-based system that provides compliance and regulatory information with access to real-time data, news and analysis, and rules and regulations, combined with application tools and communications. The online subscription shall provide daily compliance news, analysis, practical guidance, and regulatory change information for North America that enable users to monitor developments in broker-dealer, investment adviser and mutual fund industry sectors.

This subscription shall provide the following:

• Current announcements of rule proposals

• Up-to-date rulebooks by self-regulatory organizations

• Analyses of the latest topics including expert guidance and advice

• Articles and features from leading experts in the securities industry

• The latest practice notes from law firms, accounting firms, investment firms and other compliance-related businesses

• Subject guides that consist of a combination of news, analysis, and practice notes on a wide variety of topics

• Policy statements, speeches, rule filings, and consultation papers of US regulatory bodies, SROs, and exchanges

• Country guides that consist of a country profile, contacts directory, and news on each individual country

• A regulatory calendar that keeps track of current and upcoming regulatory deadlines

The subscription shall deliver to users customized daily email alerts with electronic links to full-text articles. The subscription shall provide key word searching capability, a searchable archive of news stories, international information, and access to a message board that permits staff to learn what is of concern to others in the industry. The subscription shall be for up to 85 SEC users.

Revised 7/19/13 1

Attachment 2

NON-DISCLOSURE AGREEMENT (CONTRACTOR ENTITY)

A. Intending to be legally bound, _________________________ (the “Contractor”) hereby accepts the obligations contained in this Agreement in consideration of being granted conditional access to SEC confidential or non-public information. For purposes of this Agreement, “confidential or non-public information” is defined as SEC information that is not available to the public and that is commercially valuable, trade secret, market sensitive, proprietary, subject to privilege, protected by the Privacy Act (5 U.S.C. § 552a), or otherwise deemed confidential or non-public by an SEC division director or office head. “SEC information” includes information that is generated by or in the possession of the SEC, as well as information that is collected on behalf of the SEC or that is otherwise accessible by virtue of performing an SEC contract. The definition of SEC confidential or non-public information applies to information in any form, including documents, electronic mail, computer files, conversations, and audio or video recordings. For purposes of this Agreement, examples of SEC confidential or non-public information include corporate financial data provided to the SEC that has not been made public; information related to SEC examinations, investigations, and enforcement actions, including planned or contemplated courses of action, that have not been made public; SEC PII or other personnel information covered by the Privacy Act, 5 U.S.C. § 552a; and usage statistics, search histories, or other data specific to the SEC’s use of a particular information source or service.

B. The Contractor acknowledges that any conditional access to SEC confidential or non-public information is granted to Contractor for the sole purpose of performing its obligations under SEC Contract ___________________ (the “underlying Contract”). This Agreement does not grant Contractor access to information or materials that the SEC determines in its sole discretion are inappropriate for disclosure to Contractor.

C. Contractor acknowledges that the SEC Regulation Concerning Conduct of Members and

Employees and Former Members and Employees of the Commission expressly prohibits the improper use and unauthorized disclosure of confidential or non-public information or documents. See 17 C.F.R.

§ 200.735-3(b)(1) & (b)(2) available at http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&rgn=div5&view=text&node=17:2.0.1.1.1&idno=17#17:2.0.1.1.1.13.3.3. Contractor, for itself and its employees, agents, and subcontractors, agrees to abide by the prohibitions of § 200.735- 3(b)(1) & (b)(2) as if those provisions were directly applicable to Contractor and its employees, agents, and subcontractors.

D. In accordance with the SEC Regulation at 17 C.F.R. § 200.735-3(b)(1), the Contractor, for itself and its employees, agents, and subcontractors, agrees not to engage, directly or indirectly, in any personal business transaction or private arrangement for personal profit the opportunity for which arises because of performance under the Contract, or that is based upon confidential or non-public information which the Contractor and its employees, agents, and subcontractors gain in the course of performing the underlying Contract.

E. In accordance with the SEC Regulation at 17 C.F.R. § 200.735-3(b)(2)(i), the Contractor, for itself and its employees, agents, and subcontractors, agrees not to disclose to any unauthorized person or release in advance of authorization for its release, any confidential or non-public document or information: (1) protected from disclosure under 5 U.S.C. §§ 552, 552a, and 552b or any rules or regulations of the SEC; or (2) in circumstances where the SEC has determined to accord such information confidential treatment, unless the SEC authorizes the disclosure of such information as provided for under 17 C.F.R. § 200.735-3(b)(2)(ii). Confidential or non-public information shall be shared with authorized persons only on a need-to-know basis.

http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&rgn=div5&view=text&node=17:2.0.1.1.1&idno=17#17:2.0.1.1.1.13.3.3 http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&rgn=div5&view=text&node=17:2.0.1.1.1&idno=17#17:2.0.1.1.1.13.3.3

Revised 7/19/13 2

F. For purposes of this Agreement, an "unauthorized person" is anyone other than (1) an officer or employee of the SEC, (2) an employee of the Contractor who has executed a non-disclosure agreement with the SEC under the Contract, (3) an employee of a subcontractor of the Contractor who has executed a non-disclosure agreement with the SEC under the Contract, and whose employer advises Contractor as such, or (4) any individual that the Contracting Officer expressly designates as a person authorized to receive the confidential or non-public information at issue.

G. Contractor acknowledges that other federal laws and regulations, including but not limited to the following, may also prohibit the disclosure of confidential and non-public information received pursuant to the Contract:

• the Government Trade Secrets Act, 18 U.S.C. § 1905 (disclosure of confidential information generally) (currently available at http://assembler.law.cornell.edu/uscode/html/uscode18/usc_sec_18_00001905----000- .html);

• 18 U.S.C. § 641 (theft of public property or records) (currently available at http://www.law.cornell.edu/uscode/html/uscode18/usc_sec_18_00000641----000-.html);

• Rule 122 under the Securities Act of 1933, 17 C.F.R. § 230.122 (nondisclosure of SEC confidential information obtained in the course of examinations and investigations) (currently available at http://frwebgate.access.gpo.gov/cgi-bin/get-cfr.cgi?YEAR=current&TITLE=17&PART=230&SECTION=122&SUBPART=&TYPE=T

EXT);

• Section 24(b) of the Securities Exchange Act of 1934, 15 U.S.C. § 78x (disclosure and use for personal benefit of SEC confidential information) (currently available at http://www.sec.gov/about/laws/sea34.pdf), and Rule 0-4, 17 C.F.R. § 240.0-4 (nondisclosure of SEC confidential information obtained in examinations and investigations) (currently available at http://frwebgate.access.gpo.gov/cgi-bin/get-cfr.cgi?YEAR=current&TITLE=17&PART=240&SECTION=0- 4&SUBPART=&TYPE=TEXT), Rule 10b-5, 17 C.F.R. § 240.10b-5 (employment of manipulative and deceptive devices in connection with the purchase or sale of any security) (currently available at http://frwebgate.access.gpo.gov/cgi-bin/get-cfr.cgi?YEAR=current&TITLE=17&PART=240&SECTION=10b- 5&SUBPART=&TYPE=TEXT), and Rule 24b-2, 17 C.F.R. § 240.24b-2 (nondisclosure of SEC confidential information filed with the Commission and with any exchange) (currently available at http://frwebgate.access.gpo.gov/cgi-bin/get-cfr.cgi?YEAR=current&TITLE=17&PART=240&SECTION=24b- 2&SUBPART=&TYPE=TEXT), thereunder;

• Section 45(a) of the Investment Company Act, 15 U.S.C. § 80a-44 (disclosure and use for personal benefit of nonpublic information filed or transmitted to the SEC) (currently available at http://www.sec.gov/about/laws/ica40.pdf); and

• Section 210(b) of the Investment Advisers Act of 1940, 15 U.S.C. § 80b-10 (no public release of existence of SEC examinations or investigations, or results of or facts ascertained during any such examinations or investigations) (currently available at http://www.sec.gov/about/laws/iaa40.pdf).

http://assembler.law.cornell.edu/uscode/html/uscode18/usc_sec_18_00001905----000-.html http://assembler.law.cornell.edu/uscode/html/uscode18/usc_sec_18_00001905----000-.html http://www.law.cornell.edu/uscode/html/uscode18/usc_sec_18_00000641----000-.html http://frwebgate.access.gpo.gov/cgi-bin/get-cfr.cgi?YEAR=current&TITLE=17&PART=230&SECTION=122&SUBPART=&TYPE=TEXT http://frwebgate.access.gpo.gov/cgi-bin/get-cfr.cgi?YEAR=current&TITLE=17&PART=230&SECTION=122&SUBPART=&TYPE=TEXT http://frwebgate.access.gpo.gov/cgi-bin/get-cfr.cgi?YEAR=current&TITLE=17&PART=230&SECTION=122&SUBPART=&TYPE=TEXT http://www.sec.gov/about/laws/sea34.pdf http://frwebgate.access.gpo.gov/cgi-bin/get-cfr.cgi?YEAR=current&TITLE=17&PART=240&SECTION=0-4&SUBPART=&TYPE=TEXT http://frwebgate.access.gpo.gov/cgi-bin/get-cfr.cgi?YEAR=current&TITLE=17&PART=240&SECTION=0-4&SUBPART=&TYPE=TEXT http://frwebgate.access.gpo.gov/cgi-bin/get-cfr.cgi?YEAR=current&TITLE=17&PART=240&SECTION=0-4&SUBPART=&TYPE=TEXT http://frwebgate.access.gpo.gov/cgi-bin/get-cfr.cgi?YEAR=current&TITLE=17&PART=240&SECTION=10b-5&SUBPART=&TYPE=TEXT http://frwebgate.access.gpo.gov/cgi-bin/get-cfr.cgi?YEAR=current&TITLE=17&PART=240&SECTION=10b-5&SUBPART=&TYPE=TEXT http://frwebgate.access.gpo.gov/cgi-bin/get-cfr.cgi?YEAR=current&TITLE=17&PART=240&SECTION=10b-5&SUBPART=&TYPE=TEXT http://frwebgate.access.gpo.gov/cgi-bin/get-cfr.cgi?YEAR=current&TITLE=17&PART=240&SECTION=24b-2&SUBPART=&TYPE=TEXT http://frwebgate.access.gpo.gov/cgi-bin/get-cfr.cgi?YEAR=current&TITLE=17&PART=240&SECTION=24b-2&SUBPART=&TYPE=TEXT http://frwebgate.access.gpo.gov/cgi-bin/get-cfr.cgi?YEAR=current&TITLE=17&PART=240&SECTION=24b-2&SUBPART=&TYPE=TEXT http://www.sec.gov/about/laws/ica40.pdf http://www.sec.gov/about/laws/iaa40.pdf

Revised 7/19/13 3

Contractor is aware of such laws and regulations and agrees to comply with the standards for protecting confidential or non-public information in accordance with the laws and regulations, including any superseding revisions or updates that are applicable to the specific information to which it has access.

H. If there is doubt as to whether a document or information is confidential or non-public, or whether a proposed recipient of a document or information is an unauthorized person, the Contractor shall request clarification from the Contracting Officer.

I. The Contractor acknowledges that it has received and read the SEC Regulations at 17 C.F.R.

§ 200.735-3(b)(1) & (b)(2) and has referred any questions regarding those Regulations or this Agreement to the Contracting Officer.

J. Contractor acknowledges that disclosure of confidential or non-public information in violation of this Agreement could subject the Contractor to administrative, civil, or criminal action, as appropriate, under the laws and regulations applicable to the information involved. Violation of this Agreement may also constitute a ground for termination of the Contractor’s underlying Contract with the SEC, and/or suspension and debarment from receiving future federal contracts. Contractor understands that the United States Government may seek any remedy available to it to enforce this Agreement, including but not limited to application for a court order prohibiting disclosure of information in violation of this Agreement.

K. In the underlying Contract, Contract Clause 6012.05, Personally Identifiable Information

(PII), imposes certain requirements on Contractor if it will design, develop, or operate a system of records on individuals, or otherwise collect, transmit, or have access to PII in the performance of the underlying Contract. Contractor affirms that it has established policies and procedures to safeguard SEC PII as required by Clause 6012.05, or that it will do so prior to designing, developing, or operating a system of records on individuals, or otherwise collecting, transmitting, or accessing PII in the performance of the underlying Contract. Contractor affirms that it has provided a copy of the policies and procedures, or otherwise made such policies and procedures available, to all employees, agents, and subcontractor personnel who will perform the underlying Contract, or that Contractor will do so prior to designing, developing, or operating a system of records on individuals or otherwise collecting, transmitting or accessing PII in the performance of the underlying Contract. A copy of the policies and procedures are attached to this submission, or will be promptly provided to the Contracting Officer once created, and all updates will be provided to the Contracting Officer within 15 days of the effective date.

Contractor agrees to enforce compliance with any such policies and procedures.

L. Contractor hereby assigns to the United States Government all royalties, remunerations, and emoluments that have resulted, will result, or may result from any personal business transaction in violation of the terms of this Agreement or any disclosure, publication, or revelation of confidential or non-public information in violation of the terms of this Agreement.

M. Contractor further agrees that it will not disclose any classified information received in the course of performing the underlying Contract unless specifically authorized to do so by the United States Government.

N. This Agreement does not bar disclosures to Congress or to an authorized official of an executive agency or the Department of Justice that are essential to reporting a substantial violation of law.

Revised 7/19/13 4

O. Contractor acknowledges that…