15JA0519R00000137_NCM_GJ_Solicitation.pdf

15JA0519R00000137 Page 1 of 49

SOLICITATION/CONTRACT/ORDER FOR COMMERCIAL ITEMS

OFFEROR TO COMPLETE BLOCKS 12, 17, 23, 24 & 30

1. REQUISITION NUMBER

5. SOLICITATION NUMBER

15JA0519R00000137

2. CONTRACT NO. 3. AWARD/EFFECTIVE

DATE

4. ORDER NUMBER 6. SOLICITATION ISSUE

DATE

09/23/2019

7. FOR SOLICITATION

INFORMATION CALL:

a. NAME b. TELEPHONE NUMBER (No collect calls) 8. OFFER DUE DATE / LOCAL

TIME

10/11/2019 17:00:00

CODE 15JA05

Executive Office for United States Attorney 175 N Street NE 6th Floor Washington, DC 20530

9. ISSUED BY UNRESTRICTED OR X SET ASIDE:100.00 % FOR

X SMALL BUSINESS

HUBZONE SMALL

BUSINESS

SERVICE-DISABLED

VETERAN-OWNED

SMALL BUSINESS

WOMEN-OWNED SMALL BUSINESS (WOSB)

ELIGIBLE UNDER THE WOMEN-OWNED

SMALL BUSINESS PROGRAM

EDWOSB

8(A)

NAICS: 561492

SIZE STANDARD: $15,000,000

10. THE ACQUISITION IS

SEE

SCHEDULE

11. DELIVERY FOR FOB DESTINATION

UNLESS BLOCK IS MARKED

NET 30

12. DISCOUNT TERMS

13a. THIS CONTRACT IS A

RATED ORDER UNDER DPAS

(15 CFR 700)

13b. RATING

RFQ IFB X RFP

14. METHOD OF SOLICITATION

15JA57CODE15. DELIVER TO

U.S. Attorneys Office Middle District of North Carolina 101 S. Edgeworth Street 4th Floor Greensboro, NC 27401

CODE 15JA0516. ADMINISTERED BY

Executive Office for United States Attorney 175 N Street NE 6th Floor Washington, DC 20530

FACILITY

CODE

CODE

TELEPHONE NO.

17a. CONTRACTOR/

OFFEROR

15JA57CODE18a. PAYMENT WILL BE MADE BY

U.S. Attorneys Office Middle District of North Carolina 101 S. Edgeworth Street 4th Floor Greensboro, NC 27401

17b. CHECK IF REMITTANCE IS DIFFERENT AND PUT SUCH ADDRESS IN

OFFER SEE ADDENDUM

18b. SUBMIT INVOICES TO ADDRESS SHOWN IN BLOCK 18a UNLESS BLOCK BELOW IS

CHECKED

19.

ITEM NO.

20.

SCHEDULE OF SUPPLIES/SERVICES

21.

QUANTITY

22.

UNIT

23.

UNIT PRICE

24.

AMOUNT

Grand Jury and Deposition Court Reporting Services for the United States Attorney's Office (USAO) Middle District of North Carolina. Ordering Periods will be for 12 months each.

See Continuation Sheet(s) (Use Reverse and/or Attach Additional Sheets as Necessary)

25. ACCOUNTING AND APPROPRIATION DATA 26. TOTAL AWARD AMOUNT (For Govt. Use Only)

X 27a. SOLICITATION INCORPORATES BY REFERENCE FAR 52.212-1, 52.212-4. FAR 52.212-3 AND 52.212-5 ARE ATTACHED. ADDENDA ARE X ARE NOT ATTACHED

27b. CONTRACT/PURCHASE ORDER INCORPORATES BY REFERENCE FAR 52.212-4. FAR 52.212-5 IS ATTACHED. ADDENDA ARE ARE NOT ATTACHED

28. CONTRACTOR IS REQUIRED TO SIGN THIS DOCUMENT AND RETURN ____ COPIES TO

ISSUING OFFICE. CONTRACTOR AGREES TO FURNISH AND DELIVER ALL ITEMS SET FORTH

OR OTHERWISE IDENTIFIED ABOVE AND ON ANY ADDITIONAL SHEETS SUBJECT TO THE

TERMS AND CONDITIONS SPECIFIED.

29. AWARD OF CONTRACT: REF. _____________________________ OFFER

DATED _________________ . YOUR OFFER ON SOLICITATION (BLOCK 5)

INCLUDING ANY ADDITIONS OR CHANGES WHICH ARE SET FORTH HEREIN,

IS ACCEPTED AS TO ITEMS:

30a. SIGNATURE OF OFFEROR/CONTRACTOR 31a. UNITED STATES OF AMERICA (SIGNATURE OF CONTRACTING OFFICER)

30b. NAME AND TITLE OF SIGNER (TYPE OR PRINT) 30c. DATE SIGNED 31b. NAME OF THE CONTRACTING OFFICER (TYPE OR PRINT)

Mark A. Johnson

31c. DATE SIGNED

AUTHORIZED FOR LOCAL REPRODUCTION

PREVIOUS EDITION IS NOT USABLE

STANDARD FORM 1449 (REV. 2/2012)

Prescribed by GSA - FAR (48 CFR) 53.212

15JA0519R00000137 Page 2 of 49

19.

ITEM NO.

20.

SCHEDULE OF SUPPLIES/SERVICES

21.

QUANTITY

22.

UNIT

23.

UNIT PRICE

24.

AMOUNT

32a. QUANTITY IN COLUMN 21 HAS BEEN

RECEIVED INSPECTED ACCEPTED, AND CONFORMS TO THE CONTRACT, EXCEPT AS NOTED: _________________________________

32b. SIGNATURE OF AUTHORIZED GOVERNMENT

REPRESENTATIVE

32c. DATE 32d. PRINTED NAME AND TITLE OF AUTHORIZED GOVERNMENT

REPRESENTATIVE

32e. MAILING ADDRESS OF AUTHORIZED GOVERNMENT REPRESENTATIVE 32f. TELEPHONE NUMBER OF AUTHORIZED GOVERNMENT

REPRESENTATIVE

32g. E-MAIL OF AUTHORIZED GOVERNMENT REPRESENTATIVE

PARTIAL FINAL

33. SHIP NUMBER 34. VOUCHER NUMBER 35. AMOUNT VERIFIED

CORRECT FOR

COMPLETE PARTIAL FINAL

36. PAYMENT 37. CHECK NUMBER

38. S/R ACCOUNT NUMBER 39. S/R VOUCHER NUMBER 40. PAID BY

41a. I CERTIFY THIS ACCOUNT IS CORRECT AND PROPER FOR PAYMENT 42a. RECEIVED BY (Print)

41b. SIGNATURE AND TITLE OF CERTIFYING OFFICER 41c. DATE

42b. RECEIVED AT (Location)

42c. DATE REC'D (YY/MM/DD) 42d. TOTAL CONTAINERS

STANDARD FORM 1449 (REV. 2/2012) BACK

15JA0519R00000137 Page 3 of 49

Table of Contents

Section Description Page Number

1 Solicitation/Contract Form 2 Commodity or Services Schedule

Supplies/Services and Prices General EOUSA AI-10-1E Federal Grand Jury Court Reporter Security Requirements (December 2015) EOUSA AI-10-1B Security of Department Information and Systems (April 2015) EOUSA AI-10-1A Notice of Contractor Personnel Security Clearance Requirements (May 2016) EOUSA AI-10-1D Continuing Contract Performance During a Pandemic Influenza or other National Emergency (October 2007)

3 Contract Clauses Statement of Work SOW Deliveries or Performance 52.252-2 Clauses Incorporated by Reference (Feb 1998) 52.204-9 Personal Identity Verification of Contractor Personnel (Jan 2011) 52.204-10 Reporting Executive Compensation and First-Tier Subcontract Awards (Oct 2018) 52.209-6 Protecting the Government's Interest When Subcontracting with Contractors Debarred, Suspended, or Proposed for Debarment (Oct 2015) 52.216-8 Fixed Fee (JUN 2011) 52.219-28 Post-Award Small Business Program Rerepresentation (Jul 2013) 52.223-18 Encouraging Contractor Policies To Ban Text Messaging While Driving (Aug 2011) 52.225-13 Restrictions on Certain Foreign Purchases (June 2008)

4 List of Attachments 5 Solicitation Provisions

Instructions Instructions

15JA0519R00000137 Page 4 of 49

Section 2 - Commodity or Services Schedule

SCHEDULE OF SUPPLIES/SERVICES

CONTINUATION SHEET

ITEM NO. SUPPLIES/SERVICES QUANTITY UNIT UNIT PRICE AMOUNT

0001 Regular Transcript

Grand Jury Ordering Period 1

2,280.000000 PA $____________ $___________________

0002 Intermediate Transcript

Grand Jury Ordering Period 1

0.000000 PA $____________ $___________________

0003 Daily Transcript

Grand Jury Ordering Period 1

0.000000 PA $____________ $___________________

0004 Expedited Transcript

Grand Jury Ordering Period 1

30.000000 PA $____________ $___________________

0005 Condensed Transcript

Grand Jury Ordering Period 1

0.000000 PA $____________ $___________________

0006 Key Word Indexing

Grand Jury Ordering Period 1

0.000000 PA $____________ $___________________

0007 Additional Copies

Grand Jury Ordering Period 1

0.000000 PA $____________ $___________________

0008 Exhibit Copies

Grand Jury Ordering Period 1

50.000000 PA $____________ $___________________

0009 CD-R

Grand Jury Ordering Period 1

0.000000 EA $____________ $___________________

0010 Audio Cassette

Grand Jury Ordering Period 1

0.000000 EA $____________ $___________________

0011 Videographer Attendance Fee

Grand Jury Ordering Period 1

0.000000 HR $____________ $___________________

0012 Attendance Fee

Grand Jury Ordering Period 1

185.000000 HR $____________ $___________________

0013 Cancelation Fee

Grand Jury Ordering Period 1

1.000000 EA $____________ $___________________

0014 Regular Transcript

Depositions Ordering Period 1

310.000000 PA $____________ $___________________

0015 Intermediate Transcript

Depositions Ordering Period 1

0.000000 PA $____________ $___________________

0016 Daily Transcript

Depositions Ordering Period 1

0.000000 PA $____________ $___________________

15JA0519R00000137 Page 5 of 49

0017 Expedited Transcript

Depositions Ordering Period 1

0.000000 PA $____________ $___________________

0018 Condensed Transcript

Depositions Ordering Period 1

0.000000 PA $____________ $___________________

0019 Key Word Indexing

Depositions Ordering Period 1

0.000000 PA $____________ $___________________

0020 Additional Copies

Depositions Ordering Period 1

0.000000 PA $____________ $___________________

0021 Exhibit Copies

Depositions Ordering Period 1

0.000000 PA $____________ $___________________

0022 CD-R

Depositions Ordering Period 1

0.000000 EA $____________ $___________________

0023 Audio Cassette

Depositions Ordering Period 1

0.000000 EA $____________ $___________________

0024 Videographer Attendance Fee

Depositions Ordering Period 1

0.000000 HR $____________ $___________________

0025 Attendance Fee

Depositions Ordering Period 1

9.000000 HR $____________ $___________________

0026 Cancelation Fee

Depositions Ordering Period 1

1.000000 EA $____________ $___________________

0027 Travel

Ordering Period 1

0.000000 LT $____________ $___________________

1001 Regular Transcript

Grand Jury Ordering Period 2

2,280.000000 PA $____________ $___________________

1002 Intermediate Transcript

Grand Jury Ordering Period 2

0.000000 PA $____________ $___________________

1003 Daily Transcript

Grand Jury Ordering Period 2

0.000000 PA $____________ $___________________

1004 Expedited Transcript

Grand Jury Ordering Period 2

30.000000 PA $____________ $___________________

1005 Condensed Transcript

Grand Jury Ordering Period 2

0.000000 PA $____________ $___________________

1006 Key Word Indexing

Grand Jury Ordering Period 2

0.000000 PA $____________ $___________________

1007 Additional Copies

Grand Jury Ordering Period 2

0.000000 PA $____________ $___________________

1008 Exhibit Copies

Grand Jury

50.000000 PA $____________ $___________________

15JA0519R00000137 Page 6 of 49

Ordering Period 2

1009 CD-R

Grand Jury Ordering Period 2

0.000000 EA $____________ $___________________

1010 Audio Cassette

Grand Jury Ordering Period 2

0.000000 EA $____________ $___________________

1011 Videographer Attendance Fee

Grand Jury Ordering Period 2

0.000000 HR $____________ $___________________

1012 Attendance Fee

Grand Jury Ordering Period 2

185.000000 HR $____________ $___________________

1013 Cancelation Fee

Grand Jury Ordering Period 2

1.000000 EA $____________ $___________________

1014 Regular Transcript

Deposition Ordering Period 2

310.000000 PA $____________ $___________________

1015 Intermediate Transcript

Deposition Ordering Period 2

0.000000 PA $____________ $___________________

1016 Daily Transcript

Deposition Ordering Period 2

0.000000 PA $____________ $___________________

1017 Expedited Transcript

Deposition Ordering Period 2

0.000000 PA $____________ $___________________

1018 Condensed Transcript

Deposition Ordering Period 2

0.000000 PA $____________ $___________________

1019 Key Word Indexing

Deposition Ordering Period 2

0.000000 PA $____________ $___________________

1020 Additional Copies

Deposition Ordering Period 2

0.000000 PA $____________ $___________________

1021 Exhibit Copies

Deposition Ordering Period 2

0.000000 PA $____________ $___________________

1022 CD-R

Deposition Ordering Period 2

0.000000 EA $____________ $___________________

1023 Audio Cassette

Deposition Ordering Period 2

0.000000 EA $____________ $___________________

1024 Videographer Attendance Fee

Deposition Ordering Period 2

0.000000 HR $____________ $___________________

1025 Attendance Fee

Deposition Ordering Period 2

9.000000 HR $____________ $___________________

1026 Cancelation Fee

Deposition Ordering Period 2

1.000000 EA $____________ $___________________

15JA0519R00000137 Page 7 of 49

1027 Travel

Ordering Period 2

0.000000 LT $____________ $___________________

2001 Regular Transcript

Grand Jury Ordering Period 3

2,280.000000 PA $____________ $___________________

2002 Intermediate Transcript

Grand Jury Ordering Period 3

0.000000 PA $____________ $___________________

2003 Daily Transcript

Grand Jury Ordering Period 3

0.000000 PA $____________ $___________________

2004 Expedited Transcript

Grand Jury Ordering Period 3

30.000000 PA $____________ $___________________

2005 Condensed Transcript

Grand Jury Ordering Period 3

0.000000 PA $____________ $___________________

2006 Key Word Indexing

Grand Jury Ordering Period 3

0.000000 PA $____________ $___________________

2007 Additional Copies

Grand Jury Ordering Period 3

0.000000 PA $____________ $___________________

2008 Exhibit Copies

Grand Jury Ordering Period 3

50.000000 PA $____________ $___________________

2009 CD-R

Grand Jury Ordering Period 3

0.000000 EA $____________ $___________________

2010 Audio Cassette

Grand Jury Ordering Period 3

0.000000 EA $____________ $___________________

2011 Videographer Attendance Fee

Grand Jury Ordering Period 3

0.000000 HR $____________ $___________________

2012 Attendance Fee

Grand Jury Ordering Period 3

185.000000 HR $____________ $___________________

2013 Cancelation Fee

Grand Jury Ordering Period 3

1.000000 EA $____________ $___________________

2014 Regular Transcript

Deposition Ordering Period 3

310.000000 PA $____________ $___________________

2015 Intermediate Transcript

Deposition Ordering Period 3

0.000000 PA $____________ $___________________

2016 Daily Transcript

Deposition Ordering Period 3

0.000000 PA $____________ $___________________

2017 Expedited Transcript

Deposition Ordering Period 3

0.000000 PA $____________ $___________________

2018 Condensed Transcript

Deposition

15JA0519R00000137 Page 8 of 49

Ordering Period 3

2019 Key Word Indexing

Deposition Ordering Period 3

0.000000 PA $____________ $___________________

2020 Additional Copies

Deposition Ordering Period 3

0.000000 PA $____________ $___________________

2021 Exhibit Copies

Deposition Ordering Period 3

0.000000 PA $____________ $___________________

2022 CD-R

Deposition Ordering Period 3

0.000000 EA $____________ $___________________

2023 Audio Cassette

Deposition Ordering Period 3

0.000000 EA $____________ $___________________

2024 Videographer Attendance Fee

Deposition Ordering Period 3

0.000000 HR $____________ $___________________

2025 Attendance Fee

Deposition Ordering Period 3

9.000000 HR $____________ $___________________

2026 Cancelation Fee

Deposition Ordering Period 3

1.000000 EA $____________ $___________________

2027 Travel

Ordering Period 3

0.000000 LT $____________ $___________________

3001 Regular Transcript

Grand Jury Ordering Period 4

2,280.000000 PA $____________ $___________________

3002 Intermediate Transcript

Grand Jury Ordering Period 4

0.000000 PA $____________ $___________________

3003 Daily Transcript

Grand Jury Ordering Period 4

0.000000 PA $____________ $___________________

3004 Expedited Transcript

Grand Jury Ordering Period 4

30.000000 PA $____________ $___________________

3005 Condensed Transcript

Grand Jury Ordering Period 4

0.000000 PA $____________ $___________________

3006 Key Word Indexing

Grand Jury Ordering Period 4

0.000000 PA $____________ $___________________

3007 Additional Copies

Grand Jury Ordering Period 4

0.000000 PA $____________ $___________________

3008 Exhibit Copies

Grand Jury Ordering Period 4

50.000000 PA $____________ $___________________

3009 CD-R

Grand Jury Ordering Period 4

0.000000 EA $____________ $___________________

3010 Audio Cassette 0.000000 EA $____________ $___________________

15JA0519R00000137 Page 9 of 49

Grand Jury Ordering Period 4

3011 Videographer Attendance Fee

Grand Jury Ordering Period 4

0.000000 HR $____________ $___________________

3012 Attendance Fee

Grand Jury Ordering Period 4

185.000000 HR $____________ $___________________

3013 Cancelation Fee

Grand Jury Ordering Period 4

1.000000 EA $____________ $___________________

3014 Regular Transcript

Deposition Ordering Period 4

310.000000 PA $____________ $___________________

3015 Intermediate Transcript

Deposition Ordering Period 4

0.000000 PA $____________ $___________________

3016 Daily Transcript

Deposition Ordering Period 4

0.000000 PA $____________ $___________________

3017 Expedited Transcript

Deposition Ordering Period 4

0.000000 PA $____________ $___________________

3018 Condensed Transcript

Deposition Ordering Period 4

0.000000 PA $____________ $___________________

3019 Key Word Indexing

Deposition Ordering Period 4

0.000000 PA $____________ $___________________

3020 Additional Copies

Deposition Ordering Period 4

0.000000 PA $____________ $___________________

3021 Exhibit Copies

Deposition Ordering Period 4

0.000000 PA $____________ $___________________

3022 CD-R

Deposition Ordering Period 4

0.000000 EA $____________ $___________________

3023 Audio Cassette

Deposition Ordering Period 4

0.000000 EA $____________ $___________________

3024 Videographer Attendance Fee

Deposition Ordering Period 4

0.000000 HR $____________ $___________________

3025 Attendance Fee

Deposition Ordering Period 4

9.000000 HR $____________ $___________________

3026 Cancelation Fee

Deposition Ordering Period 4

1.000000 EA $____________ $___________________

3027 Travel

Ordering Period 4

0.000000 LT $____________ $___________________

4001 Regular Transcript

Grand Jury Ordering Period 5

2,280.000000 PA $____________ $___________________

15JA0519R00000137 Page 10 of 49

4002 Intermediate Transcript

Grand Jury Ordering Period 5

0.000000 PA $____________ $___________________

4003 Daily Transcript

Grand Jury Ordering Period 5

0.000000 PA $____________ $___________________

4004 Expedited Transcript

Grand Jury Ordering Period 5

30.000000 PA $____________ $___________________

4005 Condensed Transcript

Grand Jury Ordering Period 5

0.000000 PA $____________ $___________________

4006 Key Word Indexing

Grand Jury Ordering Period 5

0.000000 PA $____________ $___________________

4007 Additional Copies

Grand Jury Ordering Period 5

0.000000 PA $____________ $___________________

4008 Exhibit Copies

Grand Jury Ordering Period 5

50.000000 PA $____________ $___________________

4009 CD-R

Grand Jury Ordering Period 5

0.000000 EA $____________ $___________________

4010 Audio Cassette

Grand Jury Ordering Period 5

0.000000 EA $____________ $___________________

4011 Videographer Attendance Fee

Grand Jury Ordering Period 5

0.000000 HR $____________ $___________________

4012 Attendance Fee

Grand Jury Ordering Period 5

185.000000 HR $____________ $___________________

4013 Cancelation Fee

Grand Jury Ordering Period 5

1.000000 EA $____________ $___________________

4014 Regular Transcript

Deposition Ordering Period 5

310.000000 PA $____________ $___________________

4015 Intermediate Transcript

Deposition Ordering Period 5

0.000000 PA $____________ $___________________

4016 Daily Transcript

Deposition Ordering Period 5

0.000000 PA $____________ $___________________

4017 Expedited Transcript

Deposition Ordering Period 5

0.000000 PA $____________ $___________________

4018 Condensed Transcript

Deposition Ordering Period 5

0.000000 PA $____________ $___________________

4019 Key Word Indexing

Deposition Ordering Period 5

4020 Additional Copies 0.000000 PA $____________ $___________________

15JA0519R00000137 Page 11 of 49

Deposition Ordering Period 5

4021 Exhibit Copies

Deposition Ordering Period 5

0.000000 PA $____________ $___________________

4022 CD-R

Deposition Ordering Period 5

0.000000 EA $____________ $___________________

4023 Audio Cassette

Deposition Ordering Period 5

0.000000 EA $____________ $___________________

4024 Videographer Attendance Fee

Deposition Ordering Period 5

0.000000 HR $____________ $___________________

4025 Attendance Fee

Deposition Ordering Period 5

9.000000 HR $____________ $___________________

4026 Cancelation Fee

Deposition Ordering Period 5

1.000000 EA $____________ $___________________

4027 Travel

Ordering Period 5

0.000000 LT $____________ $___________________

Supplies/Services and Prices General

SECTION B

SUPPLIES/SERVICES AND PRICES

B.1 General

(a) The contractor shall provide Grand Jury and Deposition Court Reporting Services for the United States Attorney’s Office (USAO) in the U.S. Attorney’s Office Middle District of North Carolina.

(b) The ordering period under this contract is defined in FAR Clause 52.216-18.

(c) The contract will be an Indefinite Delivery Indefinite Quantity (IDIQ) Contract with firm fixed unit prices.

(d) Multiple awards may result from this solicitation. In addition, an award may be made for grand jury services only, deposition services only or both. This decision is made at the unilateral discretion of the Government. The offeror must propose on all work as specified by the solicitation.

15JA0519R00000137 Page 12 of 49

(e) There will be no Government Furnished Property for the awardee.

(f) The Department of Labor wage rates are applicable if the contractor anticipates using more than five (5) service employees to provide services under this procurement over the term of the contract.

(g) The Government requires the following for this effort: Minimum of 1 court reporter and a maximum of 3.

(h) All Contractor personnel who will have access to Grand Jury material will need to be cleared.

B.2 Minimum Guaranteed Amount

(a) The USAO will order a minimum guaranteed amount of $TBD during the life of this contract. The minimum amount is NOT re-established with each ordering period.

B.3 Pricing

(a) All unit prices are fixed unit prices that include ALL costs (including, but not limited to: labor (including supervision), material, equipment, facilities, fringe benefits, overhead, delivery fees, travel, G&A, and profit) necessary to provide the Grand Jury and Deposition Court Reporting services required in the solicitation.

(b) For planning purposes only, the following general information is provided:

1. Historically, the average number of Grand Jury proceedings per year for the USAO has been 13.

2. Historically, the average maximum number of simultaneous proceedings in any one day for the USAO has been 0.

3. Historically, the average number of depositions per year has been 3.

(c) In the event the contract is extended through FAR clause 52.217-8 Option to Extend Services, the price proposed for the final ordering period will apply.

EOUSA AI-10-1E Federal Grand Jury Court Reporter Security Requirements (December 2015)

Federal Grand Jury Court Reporter Security Requirements (December 2015)

1. Grand Jury (GJ) Security.

15JA0519R00000137 Page 13 of 49

The work to be performed under this contract will involve access to sensitive information subject to the rules of 6(e) of the Federal Rules of Criminal Procedures. The adequate and continual protection of the information (hereafter referred to as GJ information which includes GJ testimony, discussions, exhibits, etc.) and how it is used, shared, and stored, is extremely important. The secrecy and ultimate security of the GJ information and proceedings is vital to the performance of the U.S. Attorney’s Office (USAO) and the Court. A failure to protect GJ information by anyone involved may be considered a breach of contract, breach of agreement, a violation of standards, and perhaps, an unlawful act. Disclosures of matters appearing before the GJ other than its deliberations, including the vote of any juror may be made available to the attorneys for the Government to use in the performance of their duties.

Otherwise, a juror, attorney, interpreter, stenographer, or operator of recorded testimony may disclose matters appearing before the GJ only when so directed by the Court.

a. Violations of the Terms and Conditions. Unauthorized use of GJ information or material could subject the disclosing individual to contempt of court penalties and other applicable penalties. Sensitive information may include, but is not limited to: data found within GJ information, informant and witness information, investigative material, tax information, medical information, computer systems information, Privacy Act (as amended) information, Department of Justice proprietary information, or Federal information that is not releasable to the general public and/or under the guidelines of the Freedom of Information Act (FOIA). Unauthorized duplication or disclosure of the data and other information to which the Contractor may have access as a result of this contract is prohibited by Public Law and is subject to criminal penalties.

b. Court Reporter Security Training. The Contractor is responsible for ensuring all employees approved to work with and have access to GJ information and materials are familiar with - and required to follow - continuing responsibilities and the security requirements as outlined in the contract.

c. Failure to Meet Security Requirements. Should the Government determine that the Contractor has failed to comply with the security requirements of the contract, the Contractor may be held responsible, as a minimum, for all reasonable and necessary costs incurred by the Government to: (a) provide coverage (performance) through assignment of individuals employed by the Government or third parties in cases where absence of contract personnel would cause a delay in the proceedings, a security threat, and/or disrupt a DOJ program, and (b) conduct security investigations in excess of those which would otherwise be required. Nothing in this clause shall require the Contractor to bear costs involved in the conduct of security investigations for the replacement of an employee who becomes incapacitated, severely ill, or deceased. Any violation of this requirement subjects the Contractor, subcontractor, employees, etc., to certain penalties including, but not limited to termination of the contract, issuance of a cure notice for less serious violations, and being held in Contempt of Court for failing to safeguard federal GJ information.

d. List of Contractor’s Employees. The Contractor shall submit to the USAO a list of the names of all principals, staff members, and regular employees requiring access to the work performed under the contract. This includes personnel of the principal Contractor and any subcontractor(s).

e. Sub-Contractors. The Contractor must ensure that any sub-contractor furnishing supplies and services which will involve access to GJ materials complies with the security requirement of the contract and has been approved by the Government.

2. Personnel Security.

The USAO will process the background investigations for GJ court reporter(s) identified by the Contractor to the USAO to perform work under this contract. However, this background investigation does not replace or supersede the employer’s responsibility to sufficiently screen and eliminate unsuitable applicants and to take all necessary steps to ensure only qualified persons perform services.

a. Residency Requirement. All Contractor employees assigned to this contract and working within the United States shall meet the DOJ Residency Requirement. The Residency Requirement states that, for 3 of the 5 years immediately prior to applying for a position, the individual must have: (1) resided in the United States; (2) worked for the United States overseas in a Federal or military capacity; or (3) be a dependent of a Federal or military employee serving overseas.

b. Sufficient Personnel. The Contractor must maintain a sufficient number of approved personnel to execute the contract. The Contractor is not to assign GJ court reporting duties unless, and not until, the COR or representative of the USAO provides notification in writing that the employee has been granted the necessary security approval to perform GJ court reporting duties as outlined under this contract.

c. Suspension or Revocation of Access Approval. Access to GJ information can be suspended or revoked for cause at any time by the Contractor and/or the COR.

15JA0519R00000137 Page 14 of 49

d. Required Suitability Approval and Background Investigation. Contractor employees must receive a security approval based upon: (1) A Government conducted Moderate Background Investigation (MBI) or higher background investigation, and (2) Favorable adjudication. A security waiver may be requested by the contractor prior to completion of a background investigation when necessary and as outlined by the Government. The Contractor will ensure the required security background investigation forms are completed and submitted. The intent and purpose of the investigation is to preclude the assignment of any individual who poses a threat to the Government or successful contract completion due to past unlawful or inappropriate behavior.

e. Background Investigation Process and Forms. The USAO will initiate the Electronic Questionnaires for Investigations Processing (e-QIP) upon receipt of the Contractor’s or Contractor employee applicant’s name and other information. The applicant will complete sign and submit e-QIP forms to the USAO/POC on the same day the signature pages are signed. The USAO will have 5 days to forward the forms to SEMS/PERSEC. Waiver package will include the following: e-QIP package, and the following forms; Certification, General Release, Medical Release, and Fair Credit pages, DOJ-555 Disclosure & Authorization Pertaining to Consumer Reports, Standards of Conduct Form, OF-306 Declaration for Federal Employment, Foreign Nat’l Relatives or Associates Form (if applicable), employment vouchers (2 if most recent employment is less than 2 years; 1 if most recent employment is more than 2 years), and fingerprints cards (form FD 258) or results. The forms shall be submitted to the SEMS/PERSEC upon completion of e-QIP. The Government may request additional security forms, or additional information, if the contract employee's security forms contain information which requires clarification (i.e.

information concerning criminal history, financial problems, citizenship of family members, etc.)

3. Protecting the GJ Information.

a. Contractor’s GJ Information Processing Site. The location selected by the Contractor and approved by the Government (USAO) for the processing, storage, and preparation of GJ information must be determined in advance of commencement of work. The location for processing is not to be changed or modified without the prior consent of the USAO unless extenuating circumstances or emergencies demand relocation. In such cases, the Contractor must coordinate with the CO or COR. The means and methods for transfer or relocation of any GJ material will also be coordinated and approved by the USAO in advance.

b. Contractor Physical Security Requirements. The physical security standards are extremely important to the Government.

The Contractor has a duty and legal obligation to ensure that all physical security measures, practices, and policies are strictly followed and any deviation must be coordinated and approved by the CO. If the Contractor and the CO mutually agree to only using USAO provided space in lieu of the Contractor’s own space, then the physical security requirements of subparagraphs 3d, 3e, and 3f contained in this Annex do not apply.

c. Designated Room or Space. The Contractor will have and use a designated room or space to process, proofread, and store GJ material. When a dedicated room is not feasible or practical, the Contractor must ensure that the room or space used meets or exceeds the required physical security controls, protection standard, and has been pre-approved by the USAO. The requirement is to prevent unauthorized access to the GJ material. The GJ material must be protected against unauthorized disclosure and viewing by other tenants, co-business employees, and unauthorized persons (family, friends, customers, etc.)

d. Door and Locking Hardware. The designated room or space must have an operational door and lock which prevents unauthorized entry into the room or space. Doors must be closed and locked when the room is not in use and when the room is vacated for short periods of time. (The alarm is also to be set if the user is not expected to return within 5 minutes.) The Contractor must have total key control and accountability. Only persons who have been approved to access the GJ information are to possess a key to the pre-approved room or space. The Contractor must ensure that no one is allowed unsupervised and/or unrestricted access to the space where the GJ material is stored unless approved by the government.

e. Windows and Emergency Exits. Windows are allowed provided they are locked and the pre-approved room or space is alarmed and monitored. Emergency exits are allowed and if present, must be alarmed.

f. Intrusion Alarm and Monitoring Service. The designated room or workspace where the material is stored must be equipped with an Intrusion Detection System (IDS) that is connected to a central monitoring station. The Contractor will provide the USAO a copy of the call or notification list and responder protocols on alarm annunciation. The Contractor must notify the USAO within 2 business days of any alarm activation. The notification must include the time and date of the alarm activation, an explanation of cause if known, incident details including the identification of any missing GJ material (devices, storage media, paper, etc.), and a copy of the activity log from the monitoring station. The Contractor must provide the USAO with

15JA0519R00000137 Page 15 of 49 a copy of the IDS monitoring history log quarterly (every 90 days) and as requested by the USAO. Knowledge of the code number used to program, arm and/or disarm the system must be limited to those who have Government approved access to the GJ material. Remote monitoring services are not allowed to have the code number. The alarm must be set to “armed” whenever the room is not in use. Short absences of less than 5 minutes in duration do not require the alarm to be set to “armed.” The alarm system is to be tested at least once per year to ensure it is functioning properly and the desired response occurs.

g. Contractor’s GJ Information Storage. The GJ material must be stored only in USAO approved storage container(s). The container must be either equipped with an approved lock or locking mechanism. The combination of a lock shall be restricted to those who have a need-to-know the information and have a security approval. An entry/closure log shall be maintained to record each time a security container is opened and closed and by whom. Any combination will be changed when a person with knowledge of the combination no longer needs or is approved for access, or upon compromise of the combination.

End of day security checks shall be performed within the contract facility to ensure that precautions are taken to protect GJ material. The Contractor or an approved contractor’s employee is to make periodic checks to ensure all GJ material has been properly stored. The periodic security checks shall be annotated in a log or journal. The storage container must be locked when not in use. A storage container that can be easily moved or illegally removed should be mounted or anchored to the floor or wall. It is recommended that the Contractor use a GSA-approved container whenever possible. A Class 3, 4, 5, or 6 is sufficient.

h. Use and/or Sale of Grand Jury Information and Transcripts. Grand Jury transcripts may not be sold or made available to anyone other than the Government at any time under any circumstances.

i. Personal Identity Verification (PIV) of Contractor Personnel. The Contractor shall comply with agency personal identity verification procedures that implement Homeland Security Presidential Directive-12 (HSPD-12), Office of Management and Budget (OMB) Guidance M-05-24, and Federal Information Processing Standards Publication (FIPS Pub) Number 201. The Contractor’s employees who require physical access to the USAO or to USAO controlled information technology or device may be required to be issued and use a PIV Card issued in accordance with HSPD-12. The Contractor must comply with access procedures, policies, and security requirements if and/or when physical and/or virtual access is required to a federally-controlled facility or information system(s).

4. Information Technology (IT) Equipment.

The Contractor must ensure that all devices used to process, store, record, and duplicate GJ information meet the requirements of the USAO and have been approved by the USAO for use. (IT equipment refers to computers, recording devices, scanners, printers, laptops, copiers, and all other devices used to process and/or store GJ information.) When processing GJ Information the computer/ laptop must be used as standalone with internet connectivity disabled. The computer/laptop can only be the internet enabled during the timeframe of transmitting files when using file exchange software. Administrative controls over all approved IT devices and settings used for this contract are to be restricted and approved by the Government.

a. Approval and Marking Approved Devices. The Contractor will provide to the USAO the serial numbers of all IT devices used in the performance of this contract over the term of the contract in advance of their use. The approved devices will be clearly marked and labeled as containing federal GJ information or FGI. The devices will also be marked as containing controlled unclassified information (CUI).

b. IT Processing, Transmitting, and Storing GJ. The GJ information processed and stored on a Contractor owned or provided device, must be used solely for the purpose of processing and/or storage of GJ information. Data must be encrypted, including additional peripherals or devices such as a flash drive, thumb drive, and/or external storage. In addition to encryption, any temporary file(s) created by the operating system or user must be deleted after each use. Any and all portable devices or removable media used for GJ must be stored in the approved security container(s) when not in use. The contractor is required to establish an internal process for backing-up GJ information. The USAO can provide physical storage of backed-up GJ information for the Contractor upon request or necessity. The GJ information may not be processed or backed-up on a commercial mainframe, data server, cloud, or with a data warehousing service.

c. Modification and/or Changes to Approved IT. Any modification, repair, or replacement of any IT device used to process and/or store GJ information must be approved by the USAO. Only individuals approved by the USAO are authorized to repair or modify any previously approved device or equipment used for the processing and storage of GJ information.

15JA0519R00000137 Page 16 of 49

d. Damaged or Defective Storage Devices. The Contractor will turn over any and all damaged or defective storage media used for processing and/or storing GJ information to the USAO throughout the term of the contract.

e. Access to IT. Access to IT used for, and any products created from or containing, GJ information must be restricted to individuals approved, by name, by the USAO or the Court. Equipment must be turned off and sufficiently secured when not in use even for short periods of time during normal business or working hours as well.

f. IT Storage Device No Longer Used and at End of Contract. When a storage device including a laptop, removable hard drive, flash drive, DVD, etc., is no longer needed during the course of the contract or upon termination of the contract, storage devices used will be given to the COR.

g. Security of Systems and Data including Personally Identifiable Information (PII) Data. The term “PII,” as defined in OMB Memorandum M-07-1616 refers to information that can be used to distinguish or trace an individual’s identity, either alone or when combined with other personal or identifying information that is linked or linkable to a specific individual. The definition of PII is not anchored to any single category of information or technology. Rather, it requires a case-by-case assessment of the specific risk that an individual can be identified. In performing this assessment, it is important for an agency to recognize that non-PII can become PII whenever additional information is made publicly available — in any medium and from any source — that, when combined with other available information, could be used to identify an individual.

Standard A (Storing PII on less than 25 Individuals). This standard applies to Contractors handling electronically stored information containing PII on less than 25 individuals in connection with this contract. Refer to Standard B below if more than 25 individuals.)

(1) Keep the computer in a safe place, such as a locked office or other location with limited access, when not in use.

(2) Mark any laptop with contact information in case of loss to facilitate its safe return.

(3) Keep the operating system, security, and application software used in connection with any computer updated on a regular basis.

(4) Use anti-viral software.

Standard B (Storing PII on more than 25 Individuals). This standard applies to Contractors handling electronically stored information containing PII on more than 25 individuals in connection with this contract. Refer to Standard A above if less than 25 individuals.)

(1) The work to be performed under this contract requires the handling of data that originated within the Department, data that the contractor manages or acquires for the Department, and/or data that is acquired in order to perform the contract and concerns Department programs or personnel. For all systems handling such data, the contractor shall comply with all security requirements applicable to Department of Justice systems, including, but not limited to, all Executive Branch system security requirements (e.g., requirements imposed by OMB and NIST), DOJ IT Security Standards, and DOJ Order 2640.2F.

(2) The Contractor shall provide DOJ access to and information regarding the Contractor’s systems when requested by the Department, in connection with its efforts to ensure compliance with all such security requirements, and shall otherwise cooperate with the Department in such efforts. DOJ access shall include independent validation testing of controls, system penetration testing by DOJ, Federal Information Security Management Act (FISMA) data reviews, and access by the DOJ Office of the Inspector General for its reviews. The use of contractor-owned laptops or other media storage devices to process or store data covered by this clause is prohibited until the contractor provides a letter to the CO certifying the following requirements:

(a) Laptops must employ hard drive encryption using a NIST Federal Information Processing Standard (FIPS) 140-2 validated product; (FIPS 140-2 is available on line at:

http://csrc.nist.gov/publications/fips/fips140-2/fips1402.pdf. Instructions for obtaining a paper copy of FIPS 140-2 are outlined in the document as well.)

(b) The Contractor must develop and implement a process to ensure that security and other applications software is kept up-to-date;

(c) Laptop will utilize anti-viral software;

15JA0519R00000137 Page 17 of 49

(d) The Contractor shall log all computer-readable data extracts from databases holding sensitive information and verify each extract including sensitive data has been erased within 90 days or its use is still required. All DOJ information is sensitive information unless designated as non-sensitive by the Department. Contractor-owned removable media, such as removable hard drives, flash drives, CDs, and floppy disks, containing DOJ data, shall not be removed from DOJ facilities unless encrypted using a NIST FIPS 140-2 validated product;

(e) When no longer needed, all removable media and laptop hard drives shall be processed (sanitized, degaussed, or destroyed) in accordance with security requirements applicable to DOJ;

(f) Contracting firms shall keep an accurate inventory of devices used on DOJ contracts;

(g) Rules of behavior must be signed by users. These rules shall address at a minimum: authorized and official use; prohibition against unauthorized users; and protection of sensitive data and PII; and

(h) All DOJ data will be removed from Contractor-owned laptops upon termination of contractor work. This removal must be accomplished in accordance with DOJ IT Security Standard requirements. Certification of data removal will be performed by the contractor’s project manager and a letter confirming certification will be delivered to the CO within 15 days of termination of contractor work.

h. Data Security Breach Reporting. By acceptance of, or performance on, this contract, the contractor agrees that with respect to the data identified above, in the event of any actual or suspected breach of such data (i.e., loss of control, compromise, unauthorized disclosure, access for an unauthorized purpose, or other unauthorized access, whether physical or electronic), the contractor will immediately (and in no event later than within one hour of discovery) report the breach to the CO and COR.) If the data breach occurs outside of regular business hours and/or neither the CO nor the COR can be reached, the contractor shall call the EOUSA Security Operations Center at (803) 705-5533 within one hour of discovery of the breach. The Contractor shall also notify the CO as soon as possible during regular business hours.

i. Personally Identifiable Information Security Breach Notification. The Contractor further certifies that it has a security policy in place that contains procedures to promptly notify any individual who’s PII has, or is reasonably believed to have been, breached. Any notification shall be coordinated with the Department, and shall not proceed until the Department has made a determination that notification would not impede a law enforcement investigation or jeopardize national security.

The method and content of any notification by the Contractor shall be coordinated with and be subject to the approval of the Department. The Contractor assumes full responsibility for taking corrective action consistent with the Department’s Data Breach Notification Procedures, which may include offering credit monitoring when appropriate.

j. Pass-through of IT Security Requirements to Subcontractors. The requirements set forth above, apply to all subcontractors who perform work in connection with this contract. For each subcontractor, the Contractor must certify that it has required the subcontractor to adhere to all such requirements. Any breach by a subcontractor of any of the provisions set forth in this clause will be attributed to the Contractor.

5. Destruction Requirements.

The Contractor must destroy by cross-cut shredding that meets or exceeds National Security Agency/Central Security Service (NSA/ CSS) Level 4 requirement or by burning all waste documents associated with any GJ proceeding. Or as an alternative, the Contractor may elect to transport GJ waste (i.e., drafts, notes, working papers, CDs, DVDs, typewriter ribbons, copies of GJ information, and other material which is no longer needed) to the USAO for destruction. When GJ information and related working papers are no longer needed during the course of the contract or upon termination of the contract, the original documents and tapes shall be returned to the USAO. This includes storage devices such as hard drives (internal or external), flash drives, CDs or DVDs, memory cards, and other storage media used to store GJ information.

a. Destruction methods and equipment must be approved by the COR in writing.

b. The Contractor is not authorized to destroy any GJ material or replace any electronic storage devices without prior approval from the COR or USAO representative in writing.

c. When an electronic storage device is no longer needed during the course of the contract and/or upon termination of the contract, the storage devices used will be given to the COR for destruction by the Government.

6. Duplication of GJ Information.

15JA0519R00000137 Page 18 of 49

The GJ information may not be copied without the approval of the COR or USAO. If duplication of GJ information is required, the Contractor will only produce the number of copies needed or requested. Copiers used to duplicate GJ information must have security features approved by the COR which may include an on-demand or automatic overwrite feature. Running the on-demand overwrite function of the copier immediately after copying the GJ material is encouraged.

7. Delivery, Shipping, and Packaging GJ Information to USAO.

The GJ information must be protected from unauthorized and/or inadvertent disclosure at all times. This includes during shipment and electronic transfer or delivery to the USAO. The Contractor must either (1) hand carry, (2) use government approved messengers/ messenger service, (3) use the U.S. Postal Service from an official post office or picked-up by a U.S. Postal employee, (4) use an overnight mail service with the online capability to track packages shipped and delivered, or (5) use a secure government provided file exchange system. The USAO must approve the method(s) before the Contractor can use a given method of delivery. The Contractor must maintain a delivery or shipping log, double-wrap GJ information (envelope within an envelope or box within a box, etc., with the inner packaged marked GJ Information), and must notify the USAO in advance when GJ information is shipped or is electronically transmitted by the Government’s file exchange system to the USAO. The use of curbside collection is strictly prohibited when mailing packages containing GJ information.

a. Packing Materials. Grand Jury Information and Transcripts must be double wrapped in two opaque layers; both of which provide reasonable evidence of tampering and which conceal the contents. The inner enclosure shall clearly identify the address of both the sender and the intended recipient, and must clearly display the following warning notice:

GRAND JURY MATERIAL ENCLOSED

TO BE OPENED BY AUTHORIZED PERSONNEL ONLY

UNAUTHORIZED VIEWING OF THIS MATERIAL IS A VIOLATION OF THE LAW

The outer enclosure shall also clearly identify the address of both the sender and the intended recipient except that no markings to indicate that the contents contain grand jury information shall be visible.

b. Using the U.S. Postal Service. When documents cannot be personally transported between authorized recipients, or by official couriers or messengers, the transmittal of GJ information and related working papers shall be transferred by the U.S.

Postal Service Certified Mail with a return receipt. Facsimile is not permitted.

c. Using a Commercial Overnight Service. When an urgent requirement exists for overnight delivery of GJ information, the USAO may authorize the use of an overnight delivery service. Any such delivery service shall be U.S. owned and operated, provide automated in-transit tracking of the package, and ensure package integrity during transit. The sender is responsible for ensuring that an authorized person will be available to receive the delivery and verification of the correct mailing address.

The release signature block on the receipt label must not be waived under any circumstances. The use of external (street side) collection boxes is prohibited.