SECHQ117Q0111_Attachment_1.pdf

SECHQ117Q0111

Attachment 1

Statement of Work

The U.S. Securities and Exchange Commission (SEC) requires an annual unlimited subscription of address matching services using the U.S. Postal Service (USPS) address matching system (AMS) application program interface (API) to support the National Exam Program’s (NEP) mission, and to view and analyze registrant data to aid in case investigation. The subscription will enable NEP to validate registrant addresses using API to submit queries and receive outputs without any system development at the SEC.

I. The subscription must validate addresses and include the following:

a) Enterprise subscription, enterprise account with unlimited usage by any SEC division/office, number of users, or data quantity, with unlimited login credentials (username/password) for SEC staff to access website functionality;

b) Unlimited number of registrants’ addresses validation to ensure that city, state, and ZIP code combinations are valid

c) Provide batch processing

d) Output data displayed on vendor website which can be transferred (copy/paste) into CSV or XLS files

e) Input/output data is securely encrypted

f) Leverage USPS data

g) Provide NEP staff with standardization of addresses to facilitate better matching and cross-referencing.

h) Provide Commercial Mail Receiving Agency (CMRA), vacancy status, and Private Mail

Box (PMB) designator information for analysis

II. SEC USAGE: 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 situations where analyses based on the 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 by 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 materials 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.

SECHQ117Q0111

Attachment 1

The SEC must have a complete understanding of all data services, data feeds, and databases acquired from the Contractor. To that end, the Contractor is required to provide sufficient documentation that adequately explains ALL data elements provided through the Contract.

III. DOCUMENTATION: It is anticipated that the Contractor’s existing data documentation will meet the needs of the SEC. However, in the case that the documentation is insufficient, the Contractor must provide additional information to further explain the product.