Loren Data's SAM Daily™

FBO DAILY - FEDBIZOPPS ISSUE OF SEPTEMBER 10, 2017 FBO #5770
MODIFICATION

D -- Address Matching Services Subscription

Notice Date

9/8/2017
 

Notice Type

Modification/Amendment
 

NAICS

518210 — Data Processing, Hosting, and Related 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

SECHQ117Q0111A
 

Archive Date

9/26/2017
 

Point of Contact

Kathleen J. Ferte, Phone: 2025516946, Anke C. Taylor,
 

E-Mail Address

fertek@sec.gov, taylorank@sec.gov
(fertek@sec.gov, taylorank@sec.gov)
 

Small Business Set-Aside

N/A
 

Description

AMENDMENT 0001 The purpose of this amendment is to post the 2nd round of Questions and Answers regarding this solicitation. The closing date for offers remains as 9/11/2017. QUESTIONS AND ANSWERS (Round 2) Q1. Solicitation states this is for subscription of USPS AMS. We offer a custom-developed Address Validation engine with improvements over AMS that leverages USPS address data. Is this acceptable? A. Yes, as longs as the solution meets all of the requirements in the RFQ Q2. Real-time validation required or only Batch as stated? A. Should be able to support both validation on-line (real Time) or use API for batch processing Q3. Is there a requirement for on premise versus a vendor-hosted platform? If on premise, what CRM/platform would this be integrated into? A. Vendor hosted platform is required Q4. Can you provide a rough estimation of annual address searches performed? A. Unlimited Q5. Documentation- Statement of Work and Quote or only Quote required at this time? A. Both technical and price quotes should be submitted Q6. Max number of SEC users to the system - a rough number is ok, under 300 for example. A. RFQ references 10-50 users DUE TO A SYSTEMS ISSUE, THIS SOLICITATION REPLACES RFQ SECHQ117Q0111 and AMENDMENT 0001 PREVIOUSLY ISSUED, AND CANCELED, ON FBO. This is a combined synopsis/solicitation for commercial items prepared in accordance with the format in Federal Acquisition Regulation (FAR) subpart 12.6, "Streamlined Procedures for Evaluation and Solicitation for Commercial Items," as supplemented with additional information included in this notice. This announcement constitutes the only solicitation; quotations are being requested, and a written solicitation document will not be issued. This solicitation is a Request for Quotations (RFQ) number SECHQ117Q0111A and shall be referenced on any offer submitted. This solicitation document and incorporated provisions and clauses are those in effect through Federal Acquisition Circular 95 (1/19/2017). Provisions and clauses incorporated by reference have the same force and effect as if they were given full text. The associated North American Industrial Classification System (NAICS) code for this procurement is 518210, with a small business size standard of $32.5 million. The U.S. Securities and Exchange Commission (SEC) intends to award a firm fixed price contract in accordance with FAR Subpart 13.5 in conjunction with FAR Part 12, Acquisition of Commercial Items. Description of Requirements : Commercial-Off-The-Shelf, Address Matching Services Subscription, in accordance with the below Statement of Work. This annual unlimited use subscription of address matching services using the U.S. Postal Service (USPS) address matching system (AMS) application program interface (API) will support the National Exam Program's (NEP) mission, and to view and analyze registrant data to aid in case investigation. It will enable NEP to validate registrant addresses using API to submit queries and receive outputs without any system development at the SEC. The data is required to support the SEC National Exam Program (NEP) mission and to view and analyze registrant data to aid in case investigation. The solution will enable NEP to validate registrant addresses using the Application Programming Interfaces (API) to submit queries and receive outputs, without any system development at the SEC. The offeror shall submit all information to determine whether the product offered meets the salient characteristics of the requirements. Period of Performance: Date of Award through 365 days plus four (4) one (1) year option periods. Place of Delivery: U.S. Securities and Exchange Commission, Office of Strategic Initiatives, 100 F Street, NE, Washington, DC, 20549 Pricing : All interested companies shall provide a quote for the following contract line items (CLINs): a) CLIN 0001, Address Matching Services Subscription, Base Year: $___ b) CLIN 0002, Address Matching Services Subscription/Maintenance, Option Year 1: $___ c) CLIN 0003, Address Matching Services Subscription/Maintenance, Option Year 2: $___ d) CLIN 0004, Address Matching Services Subscription/Maintenance, Option Year 3: $___ e) CLIN 0005, Address Matching Services Subscription/Maintenance, Option Year 4: $___ f) Total price, all CLINs: $___ Statement of Work The U.S. Securities and Exchange Commission (SEC) requires access to a Commercial-Off-The-Shelf subscription 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 addresses, to submit queries and receive outputs, without any system development at the SEC. The subscription must provide for the following: • one subscription to create unlimited user accounts for SEC staff, for an unlimited number of address related queries • USPS CASS Certified address validation service • Address Standardization / Correction / Updating / Verification • batch processing of address input files containing up to 1,000,000 rows, with ability to download output files in CSV, and provide output files within 24-48 hours • provide a confidence score and/or confidence level for address matches • Web interface processing of individual addresses and smaller batches of address data, with ability to download output files in CSV • Data Transfer is secure and encrypted. • All USPS flags and associated data from the USPS address database for each address in the output file, including a flag noting whether the address is a commercial mail receiving agency (CMRA), vacant address, Private Mail Box (PMB), or an address returning and/or not accepting mail • RDI indicator (Residential Delivery Indicator) indicating whether an address is a residential or business location • leverages a database of USPS® street addresses, updated on at least a monthly basis • Delivery Point Validation and associated footnotes, which enhances address validation by confirming the existence of a specific address and the fact that it is deliverable • Geocode data • Support from a designated off-site support professional to assist SEC colleagues in utilizing the subscription and associated tools. Provide support on interpreting, analyzing, developing and customizing input and output files. Provide support to advise the SEC on improving the quality of input data in order to improve output quality. • If the output files contain data that relies on a reference key or legend to interpret data, vendor will provide support to design and provide alternative formats of output file to better serve SEC's needs 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. At a minimum, the documentation must account for the following: 1. All Data Elements provided by the Contractor to include: a. The unique data element name b. Description of the meaning of the data element c. Data type (text, number, date, true/false, etc.), size (character length), and if needed, any special representation that applies to the data element such as the format (MMDDYYYY) d. Explanation of data values or constraints when appropriate. For example, a data element that only contains 3 possible values; 1 = Yes, 2 = No, 3 = Not Applicable. This would not be necessary for the values of data elements that are unconstrained. Examples of constraints also include required, conditional, null, etc. 2. All Data Tables provided by the Contractor to include: a. Table Name b. List of data elements contained in the table c. Identification of table key(s) 3. Data Model or Schema that adequately depicts the whole database, data dependencies, and the relationships amongst the data elements and tables 4. When specified by the Contract, Data Location to include: a. Original data source or location b. Any staging storage areas c. Final storage areas Questions and Answers Q1. We are assuming that the address matching service is running on our website on our server. Is this correct? A. Yes. Q2. We also assume that SEC personnel manually enter single addresses on our website or we will provide a way to upload on our webpage in CSV or EXCEL format for batch processing. Is this a correct assumption? A. Yes, also should be able to download/export the results as csv or excel format. Q3. It states delivery address: U.S. Securities and Exchange Commission, Office of Strategic Initiatives, 100 F Street, NE, Washington, DC, 20549. If this a web based tool, what are we delivering? A. This is for Government purposes only; the address is corrected to reflect the Office of Compliance Inspections and Examinations as the recipient. Q4. The interface product we have will need customization for SEC's specific need. We need to build the interface. If awarded, will there be time to develop a detail requirement in collaboration with SEC COTR or CO in order to deliver customized interface webpage. A. The Government is looking for a Commercial-Off-The-Shelf solution. Q5. There is very little provided in terms of requirements. Should we expect detail requirements from COTR? A. The Government is looking for a Commercial-Off-The-Shelf solution. Q6. Are we providing technical support after deployment? A. The Government is looking to leverage a commercial-off-the-shelf solution to fulfill this requirement. Where, in limited circumstances, we have unique requirements or requirements that would be difficult to fulfill through the off the shelf solution, we would expect those requirements to be fulfilled through configuration of the solution (not customization), and/or through the support provided by the staff of the vendor. This may include, for example, batch files securely sent to vendor, and results securely sent back to the SEC, through encrypted email or some other agreed upon transmission mechanism. Q7. When do you expect to have a system ready for use after award - 9/21/2017? A. Immediately after the contract is awarded. Q8. How large is the estimated user base for this interface? A. 10-50 users Q9. I am reaching out regarding the requirement for an unlimited use subscription. We do not offer this option as this is a usually a disservice to the uptime, security, and support we find to be most important to our clients. We structure our plans based on volume projections and can provide tiered capability. We do not charge per user, or limit access points. Are you open to quotation based on projected volumes and flexible use options specific to the overall requirement? A. The SEC requires an unlimited use subscription. Clauses and Provisions: The following addenda to FAR provision 52.212-1, Instructions to Offerors - Commercial (Jan 2017) applies to this acquisition: 1. Offerors shall follow the guidelines below in preparing its response. All documents shall be submitted electronically in MS Word/Excel or compatible format using Times New Roman Font, Font Size 11, with 0.50 inch page margins. 2. Offerors shall submit a technical quote demonstrating their ability to meet or exceed the requirements of the Statement of Work. 3. Offerors shall submit a complete pricing table of the CLINs indicated above. 4. Offerors shall submit offers electronically to fertek@sec.gov AND taylorank@sec.gov no later than 10AM ET, 11 September, 2017. All questions shall be submitted to fertek@sec.gov AND taylorank@sec.gov no later than 10AM ET, 8 September, 2017. Oral questions (telephone) will not be addressed or entertained. 5. Your offer must be based on the terms of this RFQ. Any exceptions, deviations, or conditional assumptions to the requirements of this solicitation must be clearly stated and explained within the first two pages of both the technical and price quote. Exceptions, deviations, and conditional assumptions may render your company's offer non-compliant and in-eligible for award. IMPORTANT NOTICE TO CONTRACTORS: All prospective awardees are required to have an active SAM registration at time of quote submission and are required to maintain an active registration during the life of the contract. SAM can be accessed at: https://www.sam.gov The following addenda to FAR provision 52.212-2, Evaluation - Commercial Items (Oct 2014) applies to this acquisition: (a) The Government will award a contract resulting from this solicitation to the responsible offeror whose offer conforming to the solicitation will be most advantageous to the Government, price and other factors considered. The following factors shall be used to evaluate offers: lowest price, technically acceptable. (b) 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). (c) 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. Evaluation Procedures: It is the Government's intent to follow Simplified Acquisition Procedures in accordance with FAR Part 13 and specifically FAR 13.106-2(b)(3), comparative evaluation of offers. Quotes will be compared with one another in a uniform and fair manner to determine which provides the Government what it needs as identified in the solicitation and the best solution will be selected. The Government reserves the right to select a response that provides benefit to the Government that exceeds the minimum but is not required to do so. While responses may exceed the requirements, the Government is not requesting or accepting alternate offers; each offer must respond to the requirements listed in the solicitation. The offeror shall include a completed copy of the provision FAR 52.212-3, "Offerors Representations and Certifications-Commercial Items" (Jan 2017) with its offer. An offeror shall complete only paragraphs (b) of this provision if the offeror has completed the annual representations and certificates electronically via http://www.acquisition.gov. If an offeror has not completed the annual representatives and certifications at the Systems for Award Management (SAM) website, the offeror shall complete only paragraphs (c) through (o) of this provision. FAR clause 52.212-4, "Contract Terms and Conditions -Commercial Items" [Jan 2017) applies to this acquisition. FAR 52.212-5, "Contract Terms and Conditions Required to Implement Statutes or Executive Orders" [Jan 2017), paragraph (a) and the following clauses in paragraph (b): 52.203-6; 52.204-10, 52-209-6, 52.219-8, 52.222-3, 52-222-21, 52.222-26, 52.222-35, 52.222-36, 52.222-37, 52.222-40, 52.222-50, 52.223-18, 52.225-13, 52.232-33 The following additional terms and conditions are applicable to this acquisition: FAR Clauses Incorporated by Reference: • 52.204-16, Commercial and Government Entity Code Reporting (Jul 2016) • 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) 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. 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 Applicable SEC Instructions: 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 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 0x/xx/2017 through 0x/xx/2018. 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 Year 1 is xx/xx/2018 - xx/xx/2019. The Period of Performance for Option Year 2 is xx/xx/2019 - xx/xx/2020. The Period of Performance for Option Year 3 is xx/xx/2020 - xx/xx/2021. The Period of Performance for Option Year 3 is xx/xx/2021 - xx/xx/2022. 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 Information Technology 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: Kathleen Ferté Phone: 202-551-6946 Email: fertek@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 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 5003.02 Software License Maintenance and Subscription Service Invoicing (Mar 2009) It is customary commercial practice to pay for software licenses maintenance at the beginning of the contract period of performance, after submittal of a proper invoice. 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 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 (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. 6002.00 Type of Contract (Mar 2009) This is a firm-fixed price 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. 6012.02 Section 508 Requirements (Mar 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 quote 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. 6012.02*A.01 Electronic and Information Technology (EIT) 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 specificationsfor, 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 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. 6014.0 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.
 

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