FBODaily.com | FedBizOpps: MOD | R | CF KMO Training Support Services - Amendment 2 - Amendment 1

FBO DAILY - FEDBIZOPPS ISSUE OF OCTOBER 24, 2018 FBO #6179
MODIFICATION

R -- CF KMO Training Support Services - Amendment 2 - Amendment 1

Notice Date: 10/22/2018
Notice Type: Modification/Amendment
NAICS: 541611 — Administrative Management and General Management Consulting Services
Contracting Office: Securities and Exchange Commission, Office of Acquisitions, Office of Acquisitions, 100 F Street, NE, MS-4010, Washington, District of Columbia, 20549, United States
ZIP Code: 20549
Solicitation Number: 50310219R0TBD
Archive Date: 11/14/2018
Point of Contact: Kathleen J. Ferte, Phone: 2025516946, Julia Gallmon,
E-Mail Address: fertek@sec.gov, gallmonj@sec.gov
(fertek@sec.gov, gallmonj@sec.gov)
Small Business Set-Aside: N/A
Description: Amended SOW Questions and Answers The purpose of this amendment is to provide answers to the questions posed by those interested in this solicitation (reference attached Question and Answer document) and to clarify the following areas of the synopsis/solicitation: 1. The RFP number is hereby revised to 50310219R0002. 2. Under ix, "Offerors shall follow the guidelines below in preparing its response," the following sentence is added to the end of Item 1: Proposal font of proposals shall be 12pt and page limits are limited to 25 pages per volume. 3. Statement of Work (SOW), Section 3.4.1, Training Design and Development is renumbered properly as 3.4. 4. SOW, Section 3.9, Final Close-out and Report: the words "base year" are replaced with "current year" and the paragraph is replaced as follows: At the end of the current year period of performance, the contractor shall submit a written report on the contract's goals, objectives and deliverables attained, recommendations from the training needs assessment and evaluations; provide an overall summary of the effectiveness of the training program implementation; and next steps for CF. 5. SOW, Section 3.10, Deliverables Schedule: the due date for Item #9, Final Report and Recommendations, is changed from "End of Base Year" to "End of Current Period of Performance". 6. SOW, Section 6.2, Subject Matter Expert (optional): the 3rd sentence is revised to: The SME shall serve as a subject matter technical expert in legal, securities, or financial services training, provide technical guidance to the technical staff on the functional procedures/processes/policies, interfaces with Government management personnel, and reports in writing and orally to Contractor management and Government representatives, including the Government CO and COR." This is a combined synopsis/solicitation for commercial items prepared in accordance with the format in FAR Subpart 12.6, as supplemented with additional information included in this notice. This announcement constitutes the only solicitation; proposals are being requested and a written solicitation will not be issued. ii. The Request for Proposal (RFP) number is 50310219R0TBD and shall be referenced on any offer submitted. iii. This solicitation document and incorporated provisions and clauses are those in effect through Federal Acquisition Circular (FAC) 2005-100, effective August 22, 2018. Provisions and clauses incorporated by reference have the same force and effect as if they were given in full text. iv. The North American Industry Classification System (NAICS) code for this acquisition is 541611 and the business size standard is $15million. This RFP is being solicited on an unrestricted basis. v. The SEC intends to award a time and material contract in accordance with FAR Subpart 15 in conjunction with FAR Part 12, Acquisition of Commercial Items. See Attachment 2 - Pricing for details. vi. Description of Requirements: The SEC, Division of Corporate Finance, Knowledge Management Office, requires support services to design and implement a centralized structure and curriculum focused on the Division's legal, accounting, industry-specific, and new employee training and development programs in accordance with the attached Statement of Work (see Attachment 1). vii. The Period of Performance is one year from date of award with four (4) one (1) year option periods. viii. Place of Performance: Off-site. ix. The following addenda to FAR provision 52.212-1, Instructions to Offerors-Commercial (Aug 2018) applies to this acquisition: Offerors shall follow the guidelines below in preparing its response. All documents should be submitted electronically as a PDF. 1. Any questions shall be submitted to CFKMOP@sec.gov no later than 10AM EST, Oct. 10, 2018. Questions received after that date/time will not be addressed. The Subject Line should clear read: "Questions in response to 50310219R0TBD". Oral questions (telephone) will not be addressed or entertained. Offerors shall submit one electronic copy of your firms Technical and Price Proposal to: CFKMOP@sec.gov no later 12PM EST, Oct. 30, 2018. A single email size shall not exceed 12MB each; however Offerors may submit multiple emails. Each email shall be labeled to include: Prime Offeror Name, Prime Offeror DUNS number, Solicitation Name and Number, and Copy Number (e.g., File 1 of 3, etc.). 2. Your offer must be based on the terms of this RFP. A cover letter shall accompany the submission to set forth any information that the Offeror wishes to bring to the attention of the Government. The cover letter shall also stipulate that the Offeror's proposal is predicated upon all the terms and conditions of this RFP. The proposals must be valid for at least 160 days. 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 technical and price proposal. Exceptions, Deviations, and conditional assumptions may render your company's offer non-compliant and in-eligible for award. 3. IMPORTANT NOTICE TO CONTRACTORS: All prospective awardees are required to have an active SAM registration at time of offer submission and are required to maintain active registration during the life of the contract. SAM can be accessed at https: //www.sam.gov. 4. Offerors shall submit a complete Attachment 2 - Pricing. Offerors shall submit Past Performance Information. 5. Offerors shall submit a completed FAR Provision 52.209-7, Information Regarding Responsibility Matters (Jul 2013). VOLUME I - TECHNICAL PROPOSAL Evaluation of offers shall consist of a two phase approach. Offerors found to be at least acceptable in Evaluation Phase I will be given an opportunity to provide an oral presentation, which will be evaluated as part of the overall offer. Phase I: Offerors shall provide a written technical proposal that includes the following three (3) general areas/factors: a. Technical Approach b. Management/Personnel Approach c. Past Performance Evaluation Phase I Technical Approach The Offeror shall demonstrate its overall knowledge of the Statement of Work requirements, to include its ability to comply with each requirement of the Statement or Work and explain how such compliance is achieved. The Offeror shall propose an approach to successfully perform the scope of the contract. The Offeror shall include the following in the proposed approach for accomplishing the requirements of the SOW: 1. Identify specific techniques and methods proposed to complete the requirements of the SOW; and 2. Describe the Offerors' ability to work as a team with peers, subject matter experts, and Government professionals in a creative and challenging environment. Management/Personnel Approach In addressing the Management Approach criterion, the Offeror shall provide a detailed description of the proposed management approach to demonstrate the extent to which the Offeror has the organizational resources to successfully perform the requirements of the Statement of Work. The Offeror's Management Approach shall describe: 1) The Offeror's management approach, program and project methodologies, and the degree to which the approach and management is likely to result in successful performance of the contract. Be sure to identify the management procedures that will be implemented to control all aspects of the work. 2) The organization's demonstrated ability to respond to, and perform, multiple tasks concurrently. 3) The proposed team composition and rationale to accomplish the requirements of the Statement of Work. The Offeror shall describe the team's qualifications and experience as it relates to the specific staffing qualifications. The Offeror may propose additional labor categories, and descriptions in addition to Key Personnel and/or Government recommended personnel. 4) A draft Project Plan that demonstrates how the team will successfully complete the requirements of the contract, to include the proposed personnel, their labor categories and the hours proposed to accomplish the requirements. Key personnel shall be identified. Resumes shall be provided for all proposed key personnel and Government recommended personnel and should demonstrate the qualifications and suitability of proposed personnel to meet the requirements of the contract. At a minimum, resumes shall include the following: Name, Position, Firm, Affiliation, Education at the post high school level, Relevant Experience, description of the project environment, including the nature of project analysis, methodology employed, any tools utilized or supported, Relevant Training, Certifications or Special Knowledge and Capabilities, citizenship status and Clearance Level (if applicable). Resumes shall be no more than three (3) pages long. The proposed key personnel and Government recommended personnel shall possess the qualifications listed in Statement of Work. Offerors may propose additional key personnel in their technical proposals, which may be included as Key Personnel in the contract at the time of award. Letters of Commitment shall be submitted for each individual proposed that is designated as key, if they are not employed by the Offeror or subcontractor at the time the offer is submitted. Letters of Commitment shall be no more than two (2) pages long. Note: Cost information shall not be included in the Technical Proposals. Past Performance The SEC will assess the Offeror's performance record, record of integrity and business ethics, experience, and technical skills. The Offeror shall identify three current and/or past contracts performed for federal agencies, state or local Government, or Industry that demonstrate the Offeror has successfully provided recent and relevant services required by the Statement of Work. Recent is defined as within the last three years. Relevant is defined as work similar in complexity and magnitude to the work identified in the SOW. Please ensure that all reference information is up to date and timely. The SEC may contact references regarding past performance. a) Project Title. b) Description of the Project. c) Contract Type. d) Contract/Order Number. e) Contract/ Order Amount. f) Government Agency/Organization. g) COR's name, address, phone number, and email address. h) Contracting Officer's name, address, telephone number and email address. i) Current status (e.g., completed and/or in progress, start and estimated completion dates. j) Key personnel, please identify those individuals who worked on the relevant project and are also proposed for this effort. k) A brief narrative of why your firm believes this reference is relevant to the proposed task. Offerors shall submit information that demonstrates the following conditions are met: (a) Have a satisfactory performance record in accordance with FAR 9.104-3(b); (b) Have a satisfactory record of integrity and business ethics in accordance with FAR 42.15; and, (c) Have the necessary organization, experience, accounting and operational controls, and technical skills, (including, as appropriate, such elements as production control procedures, property control systems, quality assurance measures, and safety programs applicable to materials to be produced or services to be performed by the prospective contractor and subcontractors in accordance with FAR 9.104-3(a). The Government reserves the right to contact customers identified in the proposal and solicit further information about performance in regard to quality, timeliness, cost, and business relationship. Past performance information may be obtained from a variety of sources including other government agencies and the Past Performance Information Retrieval System (PPIRS). In case of any offeror without a record of relevant past performance or for whom information on past performance is not available, the offeror may not be evaluated favorably orunfavorably on past performance. Phase II Oral Presentation (Slide Deck) Offeror's found to be at least acceptable in Evaluation Phase I will be given an opportunity to provide an oral presentation, which will be evaluated as part of the overall offeror. The Offeror shall provide a slide deck describing how they would engage with senior executives and internal subject matter experts to perform the requirements of the Statement of Work. Based on the requirements in the SOW, the Offeror shall explain how they would propose designing and implementing a centralized structure and curriculum focused on the Division's legal, accounting, industry-specific, and new employee training and development programs. The Offeror shall also explain how they plan to source external subject matter experts to perform the requirements of the Statement of Work. The order in which Offerors shall conduct their presentations will be determined by the Contracting Officer (CO). Oral Presentations shall not exceed more than sixty (60) minutes, followed by a short break, and then a question and answer period. The proposed Key Personnel and team shall conduct the Offeror's presentation. Questions will be asked during the presentation/solution demonstration. The Government reserves the right to caucus anytime during the course of the demonstration, exclusive of the 1 hour time limit. The presentation will be stopped after 1 hour. Questions shall not be construed as discussions since Offeror revisions will not be permitted or as a result of the presentation/solution demonstration unless specifically requested by the CO. The CO will schedule the oral presentation and notify the Offeror of the scheduled date and time after the closing date of this RFP. Oral Presentations will be held at: U.S. Securities and Exchange Commission, 100 F Street, NE, Washington, DC 20549 Offerors shall provide an electronic copy of the Oral Presentation in Microsoft Office format by TBD Eastern Standard Time two (2) business days prior to the scheduled date of the Oral Presentation. The Oral Presentation shall be presented by the Key Personnel proposed by the Offeror. Offerors will receive a minimum of five (5) calendar days' notice prior to the requested date and time for presentation. The font size of the presentation should be 12pt minimum. Each slide must contain meaningful information that is easily presented and addressed during the oral presentation. Any slides not reasonably addressed during the oral presentation will not be evaluated by the SEC. VOLUME II - PRICE PROPOSAL For purposes of cost estimating, the Government estimates the level of effort required for this requirement is as follows: Base Period 1,613 estimated total labor hours Option Period 1 1,613 estimated total labor hours Option Period 2 1,613 estimated total labor hours Option Period 3 1,613 estimated total labor hours Option Period 4 1,613 estimated total labor hours Each Offeror shall submit a price offer separate from the technical proposal. The price proposal shall include the following: a. Completed Price Summary Chart (Attachment 2) in Excel. b. Fixed hourly rates shall be fully burdened and include all costs (direct and indirect), overhead, and profit and such rates shall be provided for both on-site and off-site rates. If applicable, Contractor Teaming or Prime Contractor/Subcontractor Arrangement Supporting Documentation. Both teaming and subcontracting are permissible under this RFP. Small Business Subcontracting Plan. (Note: Not applicable to Small Business). As a part of its proposal, all Prime Offerors (that are not small businesses under NAICS 541611) shall prepare and submit a proposed small business subcontracting plan, as prescribed in FAR 52.219-9 and outlined in Attachment 3, Subcontracting Plan Format. The following goals are applicable to this procurement and should be utilized for developing a subcontracting plan in response to this RFP. Small Business (SB) 23% Small Disadvantaged Business (SDB) 5% Service Disabled Veteran Owned Small Business (SDVOSB) 3% Women Owned Small Business (WOSB) 5% HUBZone Small Business (HUBZone) 3% If the Offeror is exempt from the Small Business Subcontracting Plan, the response in this Tab E shall indicate that is the case. *Note: Offerors that are required to submit a plan in accordance with FAR 52.219-9 will not be eligible for award if they fail to submit an acceptable Subcontracting Plan. If the apparently successful offeror fails to negotiate a subcontracting plan acceptable to the contracting officer within the time limit prescribed by the contracting officer, the offeror will be ineligible for award. EVALUATION CRITERIA AND BASIS FOR AWARD Evaluation of offers shall consist of a two phase approach. Offerors found to be at least acceptable in Evaluation Phase I will be given an opportunity to provide an oral presentation, which will be evaluated as part of the overall offer. Evaluation of all offers will be made in accordance with the criteria outlined in this section. A single award will be made to the responsible Offeror submitting an overall proposal that is determined most advantageous to the Government, price and non-price factors considered. Award will be made to the Offeror whose proposal meets the Government's requirements and whose technical proposal and price represent the best value to the Government. The evaluation of proposals will be based on the following factors: (a) Technical Approach (b) Management/Personnel Approach (c) Past Performance (d) Oral Presentation (e) Price (non-rated) Factor 1: Technical Approach The Government will evaluate the Offeror's proposed technical approach in determining the Offeror's ability to successfully perform the requirements described in the Statement of Work. Factor 2: Management Approach The Government will evaluate the Offeror's management approach and the extent to which the Offeror has the organizational resources to successfully perform the requirements described in the Statement of Work. Factor 3: Past Performance. The SEC will assess the Offeror's performance record, and record of integrity and business ethics for work that is similar and/or relevant to the requirements of the SOW. Factor 4: Oral Presentation. The Government will evaluate the degree to which the Offeror effectively demonstrates the ability to successfully engage with senior executives and subject matter experts to perform the requirements of the Statement of Work. Technical Approach is more important than Management/Personnel which is more important than Past Performance. Past Performance is more important than the Oral Presentation. When combined, the technical evaluation factors of (a) Technical/Management Approach, (b) Personnel, (c) Past Performance, and (d) Oral Presentation are significantly more important than (e) Price. As the technical proposals become more equal, price becomes more important in making the award determination. In the event that two or more proposals are determined not to have any substantial technical differences (i.e., are technically equivalent), award may be made to the lower priced proposal. It should be noted that award may be made to other than the lowest priced proposal if the Government determines that a price premium is warranted due to technical merit. The Government may also award to other than the highest technically rated proposal, if the Government determines that a price premium is not warranted. Awards may also be made on the basis of initial offers without discussions. Offerors are, therefore, cautioned that each initial proposal should contain the Offeror's best terms. The failure of an Offeror to meet any given requirement of the RFP in their proposal may result in the entire proposal being found unacceptable and eliminated from the competition. Evaluation Factors: (a) Options. The Government will evaluate offers for award purposes by adding the total price for all options to the total price for the basic requirement. The Government may determine that an offer is unacceptable if the option prices are significantly unbalanced. Evaluation of options shall not obligate the Government to exercise the option(s). (b) A written notice of award or acceptance of an offer, mailed or otherwise furnished to the successful offeror within the time for acceptance specified in the offer, shall result in a binding contract without further action by either party. Before the offer's specified expiration time, the Government may accept an offer (or part of any offer), whether or not there are negotiations after its receipt, unless a written notice of withdrawal is received before award. x. The offeror shall include a completed copy of the provision at 52.212-3, Offeror Representation and Certification - Commercial Items (Aug 2018) with its offeror. The offeror shall complete only paragraph b of this provision if the Offeror has completed the annual representations and certification electronically via the System for Award Management (SAM) website located at https://www.sam.gov/portal. If the Offeror has not completed the annual representations and certifications electronically, the Offeror shall complete only paragraphs (c) through (u) of this provision. xi. FAR clause 52.212-4, Contract Terms and Conditions - Commercial Items (Jan 2017), applies to this acquisition. xii. FAR clause 52.212-5, Contract Terms and Conditions Required to Implement Statutes or Executive Orders - Commercial Items (Aug 2018) applies to this acquisition of which the additional FAR clauses are applicable to the acquisition. • 52.203-6, Restrictions on Subcontractor Sales to the Government (Sept 2006), with Alternate I (Oct 1995) • 52.204-10, Reporting Executive Compensation and First-Tier Subcontract Awards (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) • 52.219-9, Small Business Subcontracting Plan (Aug 2018) • 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 (Sep 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) • 52.223-18, Encouraging Contractor Policies to Ban Text Messaging while Driving (Aug 2011) • 52.225-13, Restrictions on Certain Foreign Purchases (Jun 2008) • 52.232-33, Payment by Electronic Funds Transfer- System for Award Management (Jul 2013) • 52.242-5, Payments to Small Business Subcontractors (Jan 2017) xiii. FAR Clauses Incorporated by Reference: 52.252-2 Clauses Incorporated by Reference (Feb 1998) This contract incorporates one or more clauses by reference, with the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available. Also, the full text of a clause may be accessed electronically at this/these address(es): https://www.acquisition.gov/?q=browsefar 52.204-18 Commercial and Government Entity Code Maintenance (Jul 2016) 52.212-4 Contract Terms and Conditions -- Commercial Items (Jan 2017) 52.232-40 Providing Accelerated Payments to Small Business Subcontractors (Dec 2013) xiv. The following additional terms and conditions are applicable to this acquisition: 52.217-8, Option to Extend Services (Nov 1999) The Government may require continued performance of any services within the limits and at the rates specified in the contract. These rates may be adjusted only as a result of revisions to prevailing labor rates provided by the Secretary of Labor. The option provision may be exercised more than once, but the total extension of performance hereunder shall not exceed 6 months. The Contracting Officer may exercise the option by written notice to the Contractor within 15 days of contract expiration. 52.217-9, Option to Extend the Term of the Contract (Mar 2000) (a) The Government may extend the term of this contract by written notice to the Contractor at any time within the period of performance provided that the Government gives the Contractor a preliminary written notice of its intent to extend 15 days before the contract expires. The preliminary notice does not commit the Government to an extension. (b) If the Government exercises this option, the extended contract shall be considered to include this option clause. (c) The total duration of this contract, including the exercise of any options under this clause, shall not exceed five (5) years. xv. Applicable SEC Instructions: 2002.00 Marking (Mar 2009) All information submitted to the Contracting Officer, the POC, or his/her designated contract shall clearly indicate the number of the contract for which the information is being submitted. 3001.01 Inspection and Acceptance by the Contracting Officer's Representative (COR) (Aug 2013) Inspection and Acceptance of supplies and/or services to be furnished under this contract will be performed by the Contracting Officer's Representative (COR) - TBD. Inspection and Acceptance will be performed at the U.S. Securities and Exchange Commission, 100 F Street, NE Washington, DC 20549. 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 365 days. This contract has four (4) option years. At the end of the base year, if exercised, the first option will begin. If all options are exercised, the period of performance will not exceed a total of five years. If exercised, the period of performance for each successive option will begin the day after expiration of the previous period. Exercise of any option requires a contract modification signed by the SEC Contracting Officer. The Period of Performance for Option Period 1 is _________________. The Period of Performance for Option Period 2 is _________________. The Period of Performance for Option Period 3 is _________________. The Period of Performance for Option Period 4 is _________________. 4003.00 Place of Delivery - FOB Destination (June 2013) The deliverables to be furnished under this contract shall be delivered to the following address: U.S. Securities and Exchange Commission Office of Strategic Initiatives 100 F Street NE Washington DC, 20549 5001.00 Contract Administration (Aug 2011) This contract/delivery order will be administered by the SEC's Office of Acquisitions. All inquiries should be directed to the following address: U.S. Securities and Exchange Commission, Office of Acquisitions, Attn: TBD, Phone: 202-, Email:, 100 F Street, NE 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 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 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. TBD is hereby designated the Securities and Exchange Commission COR for administration and information relating to 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 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 CORwill 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. 6001.01 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. 6002.00 Type of Contract (Mar 2009) This is a time and materials type contract. 6003.00 Representations and Certifications (Mar 2009) The Contractor's completed Representations, Certifications, and Other Statements of Offerors or Respondents is incorporated herein by reference. 6005.00 Other Direct Costs (Aug 2011) All approved travel related expenses will be reimbursed in accordance with the current Federal Travel Regulation found at http://www.gsa.gov/portal/content/102886. The reimbursement of travel expenses is subject to the following limitations: (1) any subsistence allowance (i.e., meals and lodging) is limited by a per diem allowance prescribed by the link above; (2) expenses incurred as a result of travel using a personal automobile are reimbursed as prescribed by the link above; (3) reimbursement of air and train travel is limited to the most economical rate and reasonable traveled route; and (4) each out-of-pocket travel and allowable miscellaneous administrative expense exceeding $75 requires a receipt that is to be attached to the invoice. 6010.00 Personnel (Mar 2009) The Contractor shall provide skilled personnel required for the effective and efficient performance of this contract. See 6010.04. The Program Manager shall be an employee of the Prime Contractor. The SEC reserves the right to review all resumes of all personnel assigned to this contract and the results of the background investigations conducted by the Contractor. The SEC has the right to require the removal of any Contractor personnel assigned to this contract, at any time, for any reason. 6010.01 Key Personnel (Mar 2009) The Contractor shall designate specific senior level professional and managerial personnel as key personnel who are essential to the successful performance of work under this contract. Key personnel shall be available for full-time assignment as necessary to efficiently manage the work of the contract and shall be available on the effective date of award. Key personnel shall include the Training Project Manager. 6010.02 Contract Substitution of Key Personnel (Mar 2009) Following contract award the Contractor shall permit no substitution of key personnel without the written consent of the Contracting Officer, unless such substitutions are necessitated by an individual's sudden illness, death, or termination of employment. In the event that substitution of personnel is desired, the Contractor shall notify the Contracting Officer in writing at least thirty (30) calendar days before any key personnel substitution is made, if possible. The Contractor shall submit a justification in sufficient detail to permit evaluation of the impact on the contract with the resume of the proposed replacement personnel. The Contractor shall obtain the Contracting Officer's written approval prior to any changes in the contract participation of the personnel named as key personnel. Proposed substitute personnel shall have experience and education at least substantially equal to those of the personnel being replaced. Requests for substitutions shall provide a detailed explanation of the circumstances necessitating such changes, a resume for each proposed substitute, and any other information as requested by the Contracting Officer. The Contracting Officer will evaluate such requests and promptly notify the Contractor of approval or disapproval thereof. Positions designated as Key Personnel shall be reviewed annually, prior to option year exercise, and may be changed by bi-lateral modification to this award. The purpose of the annual review is to ensure the optimal mix of Key Personnel to the work required during that period of performance. 6010.04 Contractor Responsibilities/Standards of Conduct (Jul 2013) The Contractor shall furnish all managerial, supervisory, and personnel to successfully, effectively, and efficiently accomplish all work required by this contract. Contractor personnel are employees of the Contractor and under its administrative control and supervision. Contractor personnel are not employees of the Government. The Contractor shall select, supervise, and exercise control and direction over its employees under this contract. The SEC will not exercise any supervision over the Contractor's employees, but may, in coordination with Contractor management, provide sufficient direction to contractor personnel to ensure that the purposes of the contract are met and the government's interests are protected. Contractor shall be responsible for: • Approving time cards of its employees. • Approving leave requests of its employees. • Performing performance evaluations of its employees. • Making hiring and firing decisions for its employees. • Informing its employees that they are not employees of the SEC and have not received an appointment in the federal service. • Informing its employees that they are not to accept direction from employees of the SEC beyond that required to accomplish the purposes of the Contract. • Informing its employees that deliverables must be marked with employer's logo or other marking legend (as appropriate to the deliverable) and it must be removable if the SEC elects to use the deliverable as SEC materials. This applies to reports, slides, and other documents called out in the contract as deliverables. • Informing its employees that the Contractor is responsible for approval of their time cards, leave requests and performance evaluations, and for hiring and firing decisions. • Directing their employees to identify themselves in their communications (and in their work product as appropriate) as contractors rather than SEC or Federal employees, and ensuring that they in fact do so. • Directing their employees to display their distinguishing badges or other visible identification of their status as contractors at meetings with government or outside personnel. • Considering during their performance of the contract whether any actions they are taking would limit the ability of an SEC employee to exercise discretion on an inherently governmental function and bring such actions to the attention of the COR. The Contractor is accountable to the SEC for the actions of its personnel. The Contractor's employees, when on-site at SEC facilities under this contract, shall only engage in duties specified in the statement of work, task order or other work statement, and not in other business, or political, charitable, or other duties. The Contractor shall not recruit on SEC premises or otherwise act to disrupt official SEC business. The Contractor shall be responsible when its employees are on site at the SEC for maintaining satisfactory standards of employee competency, conduct, appearance, and integrity, and shall be responsible for taking such disciplinary action with respect to its employees as may be necessary. Contractor employees are expected to adhere to standards of conduct that reflect credit on themselves, their employer, the SEC and the Federal Government. 6010.06 Work Hours (Aug 2014) The core work hours at SEC Headquarters and Regional Offices are Monday - Friday, 10:00 a.m. to 3:00 p.m., in the office's respective time zone. The Contractor is responsible for conducting business during the core hours, except Federal holidays or when the Government facility is closed due to local or national emergencies, administrative closings, or similar Government directed facility closings. For other than firm fixed price contracts, the Contractor will not be reimbursed when the government facility is closed for the aforementioned reasons. The Contractor must at all times maintain an adequate workforce for the uninterrupted performance of this contract. When hiring personnel, the Contractor shall keep in mind that the stability and continuity of the workforce is essential. All contractor personnel assigned to this contract may occupy SEC workspace during hours that are established by the Contracting Officer's Representative and the Contracting Officer and Government personnel will be on-site to oversee contractor personnel. 6010.07 Telework (Aug 2014) Telecommuting may be requested and approved on a case-by-case basis in writing by the Contracting Officer's Representative or Contracting Officer. The Program Manager will submit all requests for telework to the COR for review. The request will include all information necessary to make a determination. If telework is approved, the contractor must provide a status report documenting the services performed during the teleworking hours. 6012.01 Compliance with Security Regulations, Policies, and Procedures (Mar 2012) The Contractor shall be responsible for compliance by its employees with SEC security regulations, policies, and procedures. This includes safekeeping, wearing, and visibility of identification badges. The SEC will issue Contractor identification badges to on-site Contractor personnel, and the badges shall be visible at all times while employees are on SEC premises. The Contractor shall provide all requested information (the SEC will provide forms to the Contractor at time of award) required to facilitate issuance of identification badges and shall conform to applicable regulations concerning the use and possession of the badges. The Contractor shall be responsible for ensuring that all identification badges issued to the Contractor employees are returned within forty-eight (48) hours following the completion of the contract, relocation, or termination of an employee and/or request of the Contracting Officer or the Contracting Officer's Representative (COR). 6012.02 Section 508 Requirements (Feb 2018) 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 Information and Communication Technology (ICT) products and services developed, acquired, maintained, and/or used under this contract/order must comply with the Information and Communication Technology Accessibility Provisions set forth by the Architectural and Transportation Barriers Compliance Board (also referred to as the "Access Board") in FAR 39.203(a). The complete text of Section 508 Final Provisions can be accessed at Section 508 Law. All ICT products must comply with the following requirements. Descriptions of the requirements are viewable at the link Section 508 Standards. Offerors that fail to demonstrate compliance with the above requirements 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 requirements at 36 CFR 1194 using a Voluntary Product Accessibility Template (VPAT 2.0). Further, the proposal 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 ICT 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. If a vendor claims its products and/or services, including ICT deliverables such as electronic documents, web content or electronic reports, meet applicable Section 508 standards, and it is later determined by the Government - i.e., after award of a contract/order, that products and/or services delivered do not conform to the described accessibility, remediation of the products and/or services to the level of conformance specified in the contract will be the responsibility of the Contractor at its expense. 6012.02 *A.01 Electronic and Information Technology (Mar 2009) In accordance with Section 508 of the Rehabilitation Act of 1973 (29 U.S.C. 794d), all EIT supplies or services provided under this contract must comply with the applicable accessibility standards issued by the Architectural and Transportation Barriers Compliance Board at 36 CFR Part 1194 (see FAR Subpart 39.2). Electronic and information technology (EIT) is defined at FAR 2.101. 6012.04 Electronic and Information Technology Accessibility (Mar 2011) Each Electronic and Information Technology (EIT) product or service furnished under this contract shall comply with the Electronic and Information Technology Accessibility Standards (36 CFR 1194). If the Contracting Officer determines any furnished product or service is not in compliance with the contract, the Contracting Officer will promptly inform the Contractor in writing. The Contractor shall, without charge to the Government, repair or replace the non-compliant products or services within the period of time to be specified by the Government in writing. If such repair or replacement is not completed within the time specified, the Government shall have the following recourses: The right to Termination of the contract, delivery or task order, purchase or line item without termination liabilities pursuant to the contract termination clauses; or In the case of custom Electronic and Information Technology (EIT) being developed for the Government, the Government shall have the right to have any necessary changes made or repairs performed by itself or by another firm and the contractor shall reimburse the Government for any expenses incurred thereby. For every EIT product or service accepted under this contract by the Government that does not comply with 36 CFR 1194, the contractor shall, at the discretion of the Government, make every effort to replace or upgrade it with a compliant equivalent product or service, if commercially available and cost neutral, on either the planned refresh cycle of the product or service, or on the contract renewal date, whichever shall occur first. In the event of a modification(s) to this contract/order, which adds new EIT products and services or revises the type of, or specifications for, products and services the Contractor is to provide, including EIT deliverables such as electronic documents and reports, the Contracting Officer may require that the contractor provide an update of information provided in the solicitation to identify EIT compliance. Under any maintenance agreement, Contractor agrees to maintain compliance with Section 508 of the Rehabilitation Act of 1973 for all EIT. In order to comply with 36 CFR 1194 Section 41, the Contractor shall submit all soft copies (e.g., user manuals, product documentation, etc.) in a format that will be readable using assistive technology, (e.g., screen reader). All imbedded charts, graphs, pictures, etc., must be accessible and understandable using a screen reader. 6012.03 IT Security Training (Mar 2012) (1) Contract and subcontract staff with access to SEC computer systems must complete the SEC Rules of the Road training course at http://adc-ad-mossfe1/sites/ofa/irm/policy/Attachments/RoR_PDF/SECR24-04-A01_Rules_of_the_Road.pdf within 5 days of the start of the contract or a new employee's start date in accordance with OMB Circular A-130 Appendix III. (2) An annual computer security awareness refresher must be completed on a schedule announced by SEC each year. Additional training may be required whenever there is a significant change in the Commission information system environment or procedures or when an employee enters a new position that requires additional role-specific training in accordance with 5 CFR 930.301(5)(d). (3) Contract personnel designated by the government as having "significant IT security responsibilities" will be required to take security training related to their role as directed by the Contracting Officer's Representative (COR). (4) Within 5 days after contract award, the contractor shall certify in writing to the COR that its employees, in performance of the contract have completed initial IT security orientation training in SEC IT Security policies, procedures, computer ethics, and best practices. Annually thereafter the contractor shall certify in writing to the COR that its employees, in performance of the contract, have completed annual refresher training. A list of employees having completed the training will accompany these certifications. These certifications are considered to be deliverables under the terms of the contract. (5) The COR will inform the contractor of any other available SEC training resources. 6012.05 Personally Identifiable Information (PII) (Jun 2013) A Contractor that designs, develops, or operates a system of records on individuals, or otherwise collects or has access to personally identifiable information (PII) in the performance of this contract shall, prior to taking such action, comply with the following requirements: (a) The Contractor shall have established policies and procedures in place to safeguard SEC PII. The policies and procedures shall provide the Contractor's processes for identifying, assessing and mitigating privacy risks associated with PII. The policies and procedures shall also cover training of employees on their roles and responsibilities for safeguarding SEC PII and incident management of suspected or confirmed loss of SEC PII in accordance with OMB's Recommendations for Identity Theft Related Data Breach Notification, September 20, 2006, and OMB Memorandum M-07-16, Safeguarding Against and Responding to the Breach of Personally Identifiable Information, May 22, 2007. (b) The Contractor shall also ensure that all processes, procedures and equipment associated with PII comply with all laws, regulations, and security mandates as defined by National Institute of Standards and Technology (NIST) Special Publication (SP) 800-61 Revision 1 and are aligned with the incident categories and timelines referenced in Table J-1 of NIST SP 800-61, as well as U.S. government and SEC policies developed to safeguard the confidentially, integrity and availability of SEC data that may contain PII. In support of these requirements, the Contractor shall have: • policies, procedures, and mechanisms designed to restrict access to SEC data on Contractor, subcontractor, or SEC inter/intra agency partner systems exclusively to authorized personnel; • policies, procedures, and mechanisms that prevent transmission or disclosure of SEC data to an unauthorized party; • policies, procedures, and mechanisms that ensure SEC data on portable devices are encrypted using methods compliant with Federal Information Processing Standard 140-2; and • policies, procedures, and mechanisms that ensure SEC data transmitted across public networks (i.e., the Internet) by the Contractor, or its employees, agents or subcontractors, are protected using encryption compliant with Federal Information Processing Standard 140-2. (c) The Contractor shall provide quarterly assessments to the SEC demonstrating that the policies, procedures, and mechanisms required by (b) continue to be functional, that the Contractor is compliant with these requirements, and that these requirements are effective. (d) The Contractor shall provide a copy of its privacy policies to the Contracting Officer. The Contractor shall also provide a copy of the policies and procedures (or otherwise make such policies and procedures available) to all of its employees, agents, and subcontractors assigned to perform the requirements set forth in this contract. (e) The Contractor shall ensure that those individuals adhere to the Contractor's policies and procedures relating to PII and to SEC-prescribed policies and procedures for the safe handling of SEC PII, including privacy and security training requirements and privacy incident management. (f) The Contractor's employees, agents, and subcontractors shall immediately alert the SEC of any event, including the suspected or confirmed loss of SEC PII, that could potentially affect the privacy rights of individuals or which violates any federal law, regulation, mandate or requirement as defined in NIST 800-122 by contacting the SEC Information Systems Security point of contact and the SEC Incident Response Team at cops@sec.gov. The Contractor shall act in accordance with its policies and procedures in the event of any suspected loss of SEC PII and shall support the SEC's investigation and resolution of reported incidents as requested by the SEC. For purposes of this Clause, a "suspected loss of PII" shall be interpreted liberally to mean any situation in which the loss of PII or unapproved access to PII is deemed a reasonable possibility. 6015.0 SEC On-Site Contractors (Feb 2012) Space, desk, phone and laptop computer will be made available to on-site contractor personnel at the SEC for use in the performance of their task and will be returned when they are no longer on-site. 6016.00 Supplies (Jan 2013, revised May 2013) The Contractor shall provide all supplies to support the requirements of this award. The SEC will not provide supplies used in the normal daily performance of work such as note paper, pens, calendars, staplers, etc. If there is a need for specific supplies required by the performance of the work, the Contractor's Program Manager shall notify the Contracting Officer's Representative (COR). 6020.00 Contractor Workforce Inclusion (Aug 2015) The Contractor confirms its commitment to equal opportunity in employment and contracting, and that it shall ensure, to the maximum extent possible and consistent with applicable law, the fair inclusion of minorities and women in its workforce. The Contractor shall insert the substance of this contract standard in each subcontract for services awarded for performance of this contract with a dollar value of $100,000 or more. Within ten (10) business days of a written request from the Director of the Commission's Office of Minority and Women Inclusion (OMWI Director) or designee, or such longer time as the OMWI Director or designee determines, and without any additional consideration, action or authorization required from the OMWI Director, the Contractor shall provide documentation, satisfactory to the OMWI Director, of the actions it has undertaken (and as applicable, the actions each covered subcontractor under the contract has undertaken) to demonstrate its good faith efforts to comply with the aforementioned provisions. For purposes of this contract, "good faith efforts" shall include actions by the Contractor (and as applicable, actions by each covered subcontractor under the Service Contract) to identify and, if present, remove barriers to minority and women employment or expansion of employment opportunities for minorities and women within its workforce. Efforts to remove such barriers may include, but are not limited to, recruiting to ensure that applicant pools include minorities and women, providing job-related training, or other activity that could lead to removing such barriers. The documentation requested by the OMWI Director or designee to demonstrate good faith efforts may include, but is not limited to, one or more of the following: • The total number of Contractor's employees, and the number of employees by race, ethnicity, gender, and job title or EEO-1 Report job category (e.g., EEO-1 Report(s)); • A list of covered subcontract awards for services under the contract, and for each covered subcontract award, the dollar amount, date of award, and the subcontractor's race, ethnicity, and/or gender ownership status; • The contractor's plan for ensuring the fair inclusion of minorities and women in its workforce, including outreach efforts; and • For each covered subcontractor, the documentation specified in paragraphs a. and c. above. Consistent with Section 342(c)(3) of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act"), 12 U.S.C. 5452(c)(3), a Contractor's failure to demonstrate to the OMWI Director that it has made good faith efforts to include minorities and women in its workforce (and as applicable, failure to demonstrate that its subcontractor(s) has made such good faith efforts) may result in termination of the contract for default after the contractor is provided written notice and an opportunity to cure the failure in accordance with the procedures set forth in FAR Subpart 49.402-3(d), other contractual remedies, referral to the Office of Federal Contract Compliance Programs (OFCCP), or other appropriate action. Compliance with this standard does not necessarily satisfy the requirements of EO 11246, as amended, nor does it preclude OFCCP compliance evaluations and/or enforcement actions undertaken pursuant to that Executive Order, or demonstrate compliance with other FAR clauses that may be included in this contract. FAR Provisions Incorporated in Full Text: 52.209-7 Information Regarding Responsibility Matters (Jul 2013) (a) Definitions. As used in this provision- "Administrative proceeding" means a non-judicial process that is adjudicatory in nature in order to make a determination of fault or liability (e.g., Securities and Exchange Commission Administrative Proceedings, Civilian Board of Contract Appeals Proceedings, and Armed Services Board of Contract Appeals Proceedings). This includes administrative proceeding at the Federal and State level but only in connection with performance of a Federal contract or grant. It does not include agency actions such as contract audits, site visits, corrective plans, or inspection of deliverables. "Federal contracts and grants with total value greater than $10,000,000" means- (1) The total value of all current, active contracts and grants, including all priced options; and (2) The total value of all current, active orders including all priced options under indefinite-delivery, indefinite-quantity, 8(a), or requirements contracts (including task and delivery and multiple-award Schedules). "Principal" means an officer, director, owner, partner, or a person having primary management or supervisory responsibilities within a business entity (e.g., general manager; plant manager; head of a division or business segment; and similar positions). (b) The offeror [_] has [_] does not have current active Federal contracts and grants with total value greater than $10,000,000. (c) If the offeror checked "has" in paragraph (b) of this provision, the offeror represents, by submission of this offer, that the information it has entered in the Federal Awardee Performance and Integrity Information System (FAPIIS) is current, accurate, and complete as of the date of submission of this offer with regard to the following information: (1) Whether the offeror, and/or any of its principals, has or has not, within the last five years, in connection with the award to or performance by the offeror of a Federal contract or grant, been the subject of a proceeding, at the Federal or State level that resulted in any of the following dispositions: (i) In a criminal proceeding, a conviction. (ii) In a civil proceeding, a finding of fault and liability that results in the payment of a monetary fine, penalty, reimbursement, restitution, or damages of $5,000 or more. (iii) In an administrative proceeding, a finding of fault and liability that results in- (A) The payment of a monetary fine or penalty of $5,000 or more; or (B) The payment of a reimbursement, restitution, or damages in excess of $100,000. (iv) In a criminal, civil, or administrative proceeding, a disposition of the matter by consent or compromise with an acknowledgment of fault by the Contractor if the proceeding could have led to any of the outcomes specified in paragraphs (c)(1)(i), (c)(1)(ii), or (c)(1)(iii) of this provision. (2) If the offeror has been involved in the last five years in any of the occurrences listed in (c)(1) of this provision, whether the offeror has provided the requested information with regard to each occurrence. (d) The offeror shall post the information in paragraphs (c)(1)(i) through (c)(1)(iv) of this provision in FAPIIS as required through maintaining an active registration in the System for Award Management database via https://www.acquisition.gov (see 52.204-7). 52.252-1 Solicitation Provisions Incorporated by Reference (Feb 1998) This solicitation incorporates one or more solicitation provisions by reference, with the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available. The offeror is cautioned that the listed provisions may include blocks that must be completed by the offeror and submitted with its quotation or offer. In lieu of submitting the full text of those provisions, the offeror may identify the provision by paragraph identifier and provide the appropriate information with its quotation or offer. Also, the full text of a solicitation provision may be accessed electronically at this/these address(es): https://www.acquisition.gov/?q=browsefar FAR Provisions Incorporated By Reference: 52.204-16 Commercial and Government Entity Code Reporting (Jul 2016)
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