Invitation to Participate in Market Survey for the Integrated Compliance Monitoring, Enforcement, and Evaluation System

June 10, 2021 SEC NOTICE TO : Information Technology Services and Solutions Providers SUBJECT : Invitation to Participate in Market Survey for the Integrated Compliance Monitoring, Enforcement, and Evaluation System The Securities and Exchange Commission (SEC) invites interested information technology services and solutions providers with expertise and experience in the relevant fields to participate in a market survey being conducted for the Integrated Compliance Monitoring, Enforcement, and Evaluation System (I-CMEES). The survey aims to gather technical information and indicative costs from potential technological solutions to be submitted by prospective suppliers. All inputs gathered will help further define the project's functional and budgetary requirements as well as factor into finalizing the terms of reference and budgetary allocation for the project. Subject to any future evaluation and qualification requirements, participants of the market survey will have the benefit of being considered for inclusion in the list of potential suppliers once the project reaches the procurement stage. Interested parties should send an email to [emailprotected] expressing their interest to participate in the survey. Participants will then receive a copy of a standard Non-Disclosure Undertaking (NDU). More information about the project will be supplied upon submission of the signed NDU. Minimum Requirements for Participants Organization has been in existence in the relevant field for at least five (5) years Has successfully completed similar projects Utilizes platforms that are open, hardware agnostic, and have been used in the market for the past five (5) years Brief Description of the Project The I-CMEES project involves the design, development, implementation, maintenance, and support of a fully functional integrated suite of systems in high availability configuration. The scope of work will include software development and deployment as well as the provisioning and implementation of off-the-shelf software, hardware, IT infrastructure, network connectivity, security, technical environments, and user access. It also includes the performance of systems integration, data migration, training, and post-deployment support. The project aims to leverage on best of breed technological solutions and innovative leading practices in the field of information technology to aid the SEC in the execution of its mandate and the performance of its functions in an efficient manner consistent with its vision and mission, as well as aligned with government initiatives such as Republic Act No. 11032, or the Ease of Doing Business and Efficient Government Service Delivery Act of 2018. The project aims to provide the following: a. Online access to basic, processed, consolidated, and summarized corporate information through an integrated system to aid the SEC in the performance of its compliance monitoring, evaluation, and enforcement functions b. On-premise and remote online submission and processing of reports and other documentary requirements for purposes of regulatory compliance, secondary licensing, and accreditation c. System tools for monitoring and managing cases that are accessible remotely as well as within SEC premises d. Online central repository of reports and other documentary requirements submitted by regulated entities accessible to SEC personnel and with restricted access provided to the paying general public I-CMEES will be composed of the following systems and modules: a. Licensing and Accreditation secondary licensing and accreditation b. iServe Computer Assisted Paper Submission (CAPS) on-premise submission and processing of documents Online Document Submission System (ODSS) remote online submission and processing of documents Online Document Retrieval System (ODRS) online search, viewing, and printing of documents o ODRS Internal for internal SEC use o ODRS External for restricted access by the paying general public e-Payment online payment processing c. Integrated Monitoring System iMode1 Reportorial compliance monitoring iMode2 Technical Workbench Case Monitoring System Legal Workbench d. Reverse Search search for matching entries based on limited or partial information NOTE: The module names are merely utilized to represent related functionalities that have been grouped together and do not refer to any existing systems that may have similar names.