15JA0522Q00000003.pdf

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Request for Quotation

#15JA0522Q00000003

This is a combined synopsis/solicitation for Deposition Court Reporting Services (commercial items) prepared in accordance with the format in FAR subpart 12.6, as supplemented with additional information included in this notice. This announcement constitutes the only solicitation; quotes are being requested and a written solicitation will not be issued.

This acquisition is being conducted as a small business set aside. All offerors are required to verify their small business status under NAICS code 561492 in their quote. Any quotes from offerors that do not meet the small business size standard will not be considered for award. The NAICS code for this acquisition is 561492 with a small business size standard of $16,500,000.

Questions in regard to this solicitation are due December 1, 2021 at 1:00 PM Eastern to the Contracting Officer via email at brandon.wish@usdoj.gov. Questions submitted after this deadline may not be responded to.

Quotes are due December 13, 2021 at 1:00 PM Eastern to the Contracting Officer via email at brandon.wish@usdoj.gov.

Instructions to offerors and quote submission criteria are located in Section 10, Addendum to 52.212-1- Instructions, Conditions and Notices to Offerors (Jul 2021)

For further information regarding this solicitation, contact:

Brandon Wish Contracting Officer Executive Office for United States Attorneys brandon.wish@usdoj.gov 803-297-2111

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Section 1 - Supplies or Services and Prices/Costs

1.1 General

a) The contractor shall provide Deposition Court Reporting services for the United States Attorney’s Office

(USAO), District of Alaska. Service locations primarily include Anchorage, Alaska and local vicinity within 50 mile radius of Anchorage, Alaska.

b) The period of performance for this contract will include a base year and four one-year options as follows:

Base Year: 12/20/2021 – 12/19/2022 Option Year I: 12/20/2022 – 12/19/2023 Option Year II: 12/20/2023 – 12/19/2024 Option Year III: 12/20/2024 – 12/19/2025 Option Year IV: 12/20/2025 – 12/19/2026

Contract may be extended an additional six months pursuant to FAR 52.217-8, Option to Extend Services. In the event the contract is extended pursuant to FAR clause 52.217-8, Option to Extend Services, the prices for the most recent period shall apply.

c) The contract will be an Indefinite Delivery Indefinite Quantity (IDIQ) contract. Contract type will be Time-and-Materials (T&M).

d) No Government Furnished Property shall be provided to the awardee.

e) The Department of Labor wage rates are applicable. See attached, applicable Wage Determination #2015-5681

Revision 13 last revised October 20 2021.

f) The Government requires the following for this effort:

i. Three (3) court reporters

a. At least two (2) court reporters shall be local and reside within 50 miles of Anchorage, Alaska

ii. One (1) videographer

1.2 Minimum Guarantee, Order Limits, & Ceiling

a) The USAO will order a minimum guaranteed amount of $1,000.00 during the life of this contract. The minimum amount is not re-established with each option year.

b) The minimum order limit is $100.00 and the maximum order limit is $50,000.00.

c) The IDIQ contract ceiling is $250,000.00.

d) Each task order ceiling is established in the individual order and in accordance with FAR 52.212-4 Alt I (i), the

Contractor shall provide requisite notification in the event expenditures are expected to exceed 85% of current funding ceiling.

1.3 Pricing

a) All unit prices are fixed and includes, but are not limited to, labor (including supervision), material, equipment, facilities, fringe benefits, overhead, G&A, and profit necessary to provide the Deposition Court Reporting services required. Travel is priced separately and referenced in Section 2.

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

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i. Historically, the average number of Depositions per year has been 50.

ii. Under normal circumstances, Depositions will occur as follows:

a. There is no regular schedule for depositions; however, each session generally lasts an average of 3 hours.

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Section 2 - Statement of Work

2.1 Work Statement

1. The Contractor shall provide all labor (including supervision), material, equipment, facilities, and whatever else may be needed to record and transcribe Deposition testimony or audio/video recordings on an "as needed" basis for the USAO specified in Section 1 in accordance with the terms, conditions, and Statement of Work set forth herein.

2. The location(s) where Depositions may be required are listed below. In rare instances, services may be required at an alternative location.

U.S. Courthouse & U.S. Attorney’s Office Federal Building District of Alaska 222 W. 7th Avenue, Room 253 Box 9 Anchorage, AK 99513

Within 50 mile radius of Anchorage, Alaska.

2.2 Deposition Transcripts

a) Scheduling of Depositions: The USAO will notify the Contractor of the requirements for attendance at a deposition no later than two business days before the scheduled session. Each request will set forth the date, place and time of the session. The Contractor shall reply stating they have received the work order by returning the signed work order form or other form of written acceptance as may be agreed upon by the USAO and communicate the name of the reporter who will be in attendance. Any change will be communicated by the Contractor to the USAO prior to the session. In the event a deposition is continued for more than one day, the Contractor will make reasonable efforts to assign the same court reporter for each continued segment of that given deposition. Should the Contractor not be able to provide the same court reporter, it will notify the USAO before the scheduled session that another court reporter will be providing the court reporting services.

b) Original Transcripts. Unless otherwise stated, depositions shall be typed in an original and delivered within the turnaround times as set forth below. Transcripts may be ordered by the USAO within the following timeframes. Billing rates for these turnaround times are set forth in the Pricing Schedule of this contract.

i. Regular: All regular transcripts will be completed and delivered on or before the 10th business day after the date a witness testifies in the deposition. A regular transcript shall be delivered to the USAO of each witness’s testimony, only when requested by the USAO. Colloquy outside the presence of the witness will not be transcribed unless requested by the USAO.

ii. Intermediate: All intermediate transcripts shall be completed and delivered on or before the 5th business day after the Contractor receives a request from the USAO. This request will sometimes be made the same day as the proceedings.

iii. Daily: All daily deposition transcripts shall be delivered before 9:30am of the following business day after conclusion of each day's proceedings. This may require performance after normal business hours. The Contractor may not be notified in advance of the testimony of this requirement.

iv. Expedited: All expedited transcripts shall be delivered by 9:00pm on the same day as the proceedings. The Contractor may not be notified in advance of the testimony of this requirement.

v. Condensed Transcripts: All condensed transcripts shall include four original transcript pages in reduced format on a single 8 ½ x 11 inch page. All condensed transcripts shall be completed and delivered to the USAO, as ordered, within the same turnaround times as set forth for delivery of an original transcript.

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vi. Key Word Indexing: The keyword index gives an alphabetical listing of each word within the transcript and provides a page and line reference. The Contractor shall include a key word index with all transcripts.

vii. Additional Copies of Transcripts: Even though the Government has the right to copy and distribute transcripts acquired under this contract, the Government may order additional copies of any transcript. Additional copies of transcripts shall be provided to the USAO, as ordered, within the same turnaround times as set forth above.

viii. Videographer Attendance Fee. The Contractor is entitled to a Videographer Attendance Fee as set forth in the Pricing Schedule of this contract. This fee is payable for each hour the Contractor's videographer records a scheduled proceeding. The minimum charge for any single day is three (3) hours. The videographer is not paid during a lunch break. This hourly fee shall account for the price of the videotape/recording itself.

ix. Attendance Fee. The Contractor is entitled to an Attendance Fee in the amount set forth in the Pricing

Schedule of this contract. The minimum charge for any single day is three (3) hours. Attendance fees will be paid for each hour the Contractor's reporter appears for a scheduled proceeding. Proceedings are presently scheduled for 9:00am to12:00pm and 1:00pm to 5:00pm with a one (1) hour lunch break in between. The Contractor is not paid during this lunch break. These hours are subject to change. A shorter day may be scheduled. The Government guarantees payment of a minimum of three (3) hours. In the event that there are time periods during the day during which no testimony is taken, and the reporter is required to remain available for testimony later in the day, the Contractor will be paid the hourly attendance fee during those time periods. In the event that a reporter's presence is required for a whole day and no testimony is recorded, the Contractor will be paid either one (1) cancellation fee or the number of hours attendance fee the reporter was available, whichever is higher. The Contractor shall allow the Government ten (10) working days to request proceedings transcript before assessing an attendance fee.

x. Cancellation Fee. The contractor may wish to charge a cancellation fee. The Government will notify the contractor by telephone of any cancellations no later than 5:00pm the day before the scheduled proceedings. If the Government does not notify the contractor within the designated time, the contractor may request a cancellation fee.

xi. Other Requirements. As follows:

• A transcript of all witness testimony shall be produced only when the USAO makes a specific request that a transcript be produced. Colloquy outside the presence of the witness will not be transcribed unless requested by the USAO.

• Each witness' testimony shall be in a separate transcript.

xii. Delivery. Deposition transcripts shall be delivered as instructed by the individual Assistant U.S. Attorney.

c) Depositions Travel and Per Diem Reimbursement Restrictions:

The Contractor(s), when Deposition is located within a 50-mile radius of the locations listed in Section 2.1(b) shall not be entitled to travel reimbursements. Travel required outside the 50-mile radius is allowable and shall be pre-approved in writing by the Contracting Officer’s Representative or Contracting Officer prior to traveling.

Travel expenses shall be reimbursed in accordance with the Federal Travel Regulations (FTR). The FTR can be found at this address: www.gsa.gov.

d) Certification. Each reporter shall attach his/her official certification to the original transcript so recorded as follows:

CERTIFICATE

I, (NAME OF REPORTER), a Shorthand Reporter and a Notary Public, do hereby certify that the foregoing witness, (NAME OF WITNESS), was duly sworn on the date indicated, and that the foregoing is a true and accurate transcription of my notes and is a true record of the testimony given by the foregoing witness.

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I further certify that I am not employed by or related to any party to this action by blood or marriage and that I am in no way interested in the outcome of this matter.

In witness whereof, I have hereunto set my hand this day of , 20 .

There shall be no charge for either this certification page or any index page if used.

2.3 Audio/Video Transcription

a) The Contractor shall prepare transcripts from audio or video recordings (provided media, regardless of format, furnished by the United States Attorney's Office of the District of Alaska) using the same format that applies to reported transcripts. The audio/videos to be transcribed include, but are not limited to: hearings, recordings of depositions, conversations, conferences, police interviews, speeches, jail phone calls, witness interviews and body cameras. Within 48 hours of receipt of these provided media, the Contractor shall verify that the files can be opened and are of sufficient quality to be transcribed. If the Contractor determines that the files cannot be opened or the quality is too poor to transcribe, the Contractor shall notify the sender immediately. The Contractor shall deliver an original, electronic transcript within the number of business days requested: 2, 5, or

10. Turn-around times begin from the next business day after the request was sent. Contractor shall be capable of transferring media by using USAfx (USAO’s proprietary Box Platform), encrypted email (less than or equal to 25 megabytes), encrypted thumb drive or encrypted CD.

2.4 Remote Depositions

a) Contractor shall be capable of conducting remote depositions. Remote depositions can be conducted in two ways:

1. Coordinated with other U.S. Attorney’s offices where the person is being deposed, using DOJ’s VTC systems

2. Video conference platform(s) offered by the Contractor

b) When the Contractor hosts remote depositions:

1. Shall be capable of using USAfx or encrypted email (less than or equal to 25 megabytes) to receive exhibits before the deposition and load them to the presentation application before the deposition. The process for exhibit numbering, delivering, and presenting exhibits to the witness and counsel should be discussed with the court reporter well in advance of the deposition, and it may depend upon the application(s)/tool(s) used for remote deposition. The stenographer should also take custody of the introduced exhibits for the final transcript.

2. Shall conduct a test session with all the parties a few days before the deposition. This helps ensure that all parties have the appropriate bandwidth, cameras, microphones and lighting, as well as the opportunity to ask technical questions before the deposition.

3. The stenographer shall be the meeting host and send links to all parties. The stenographer will also swear in the witness and control the proceeding.

4. Separate from the role of the stenographer, a videographer is required to manage the live video streaming and record the video. The videographer can also ensure that the deponent remains in full screen during the deposition, pause the recording for off-the record discussions, and may add timestamps and/or transcript syncing to the final product.

5. Provide technical support to assist with issues during the deposition.

6. Upon request, provide synchronized video with the transcript.

3. Stipulations for remote depositions:

1. [Fed. R. Civ. P.] Rule 30(b)(4) allows parties to stipulate that a deposition be taken by “telephone or other remote means.” If everyone is not in the same room, put an appropriate stipulation on the record at the beginning of the deposition, indicating that the deposition is being taken remotely and indicating where each participant is located. The deposition is considered to be taking place where the deponent is located, and if the deponent is not in the same room as the court reporter, there is an issue about the

15JA0522Q00000003 Page 7 of 40 court reporter’s administration of the oath to the witness. A sample stipulation may include the following language:

We understand that notary laws may not permit the court reporter to administer an oath to the witness if they are not in the same location. [As such, counsel agree that the reporter will not administer the oath. Instead] or [In addition to the oath given by the court reporter], the witness will verbally acknowledge the following: “Do you solemnly swear or affirm under penalties of perjury that the testimony you will give in this matter will be the truth, the whole truth, and nothing but the truth?” The parties agree that nothing about this process will impair in any way the use of this deposition as otherwise permitted by the Federal Rules of Civil Procedure.

2. Prior to administering of the oath, the court reporter is required to positively verify the identity of the witness. The witness should be required to have positive identification (s)he can produce or have opposing counsel verify and stipulate to the identity of the witness.

2.5 Recording Requisites

a) Recording hereunder shall be taken by reporters qualified in the operation of Steno-type equipment, Real Time recording, Computer Aided Transcription (CAT), Shorthand and/or monitored Multi-Microphone recording systems, and when permitted by the Presiding Official, by Steno mask. At the request of the USAO, recording shall also be taken by videotape. Regardless of the type of equipment used, it is mandatory that there be an accurate read back capability and that a back-up system be utilized. It is also mandatory that tape recording devices shall have a separate monitor head which shall allow the reporter to monitor the recorded tape.

i. Monitored Multi-Microphone Recording Systems. The mandatory requirements follow:

• The Contractor's personnel shall operate and monitor the recording equipment at all times.

• The operating personnel shall provide to the USAO, prior to the commencement of each proceeding, a certification that the equipment is turned on and operating.

• The recording equipment utilized shall provide for the instant playback of testimony.

• The equipment shall be capable of recording as many as twenty-three grand jurors together in one room with the prosecutor and the witness.

• The system utilized shall have a back-up system to allow continuous recording of speakers. The proceedings shall not be stopped for any reason such as the changing of a tape.

• The media shall be of such quality that there shall be no instances of inaudibility because of accents or words used by the speakers.

• The system shall be portable to allow for transportation of media to another location when an immediate decision is required by a Federal District Court Judge.

• The recording monitor shall be able to identify speakers.

• A back-up system shall be available so as not to delay the proceedings.

• The equipment utilized shall not pose any safety hazards due to exposed wires, cords, or for any other reason.

ii. Real Time Recording. The steno machine is attached to the computer. As the steno types the strikes/words are translated into English onto the screen.

iii. Computer Aided Transcription (CAT). With this type of system, the steno strikes a key which is written onto a disk. The disk is inserted into an attachment to the computer and the information is brought up on the computer screen. Also, a back-up voice tape is made so that a re-verification can be made of the transcript.

iv. Video Recording. The USAO will determine video formatting, DVD, CD, or other recordable media.

b) The Contractor, or the duly authorized employee, agent, or representative of the Contractor, shall present himself/herself to the person in charge of the proceedings and he/she shall at all times be governed by the

15JA0522Q00000003 Page 8 of 40 instructions of the Presiding Official in matters affecting the composition of the record, adjournment to other times or places, and matters of like character.

c) Depositions shall be taken by a Contractor-furnished reporter who must be a duly authorized notary for the State or District in which the deposition is held. Reporters are required to comply with Rules 28 and 30 of the Federal Rules of Civil Procedure, and specifically Rule 30(e), which provides in pertinent part as follows:

"If requested by the deponent or a party before completion of the deposition, the deponent shall have 30 days after being notified by the officer that the transcript or recording is available in which to review the transcript or recording and, if there are changes in form or substance, to sign a statement reciting such changes and the reasons given by the deponent for making them. The officer shall indicate in the certificate prescribed by subdivision (f)(1) whether any review was requested and, if so, shall append any changes made by the deponent during the period allowed."

The Contractor must give the USAO its copy prior to the witness being presented their testimony. The USAO may choose to present the deposition to the witness. In the event further information is desired, the above referenced volume is a part of the United States Code, Title 28 and may be found at any public library.

d) Everything spoken pertaining to the subject matter of the deposition shall be reported, unless the Presiding

Official otherwise directs. No part of any proceedings, of which notes have been taken as required, shall be omitted from the record, unless the Presiding Official so directs.

e) All notes, records, documentary exhibits, and any other material which is a part of, or relates to, any action recorded by the Contractor shall be the property of the United States and shall be delivered to the ordering office, together with furnished transcript, unless otherwise instructed.

f) Right to Remove Individual Reporter - It shall be an absolute right of the USAO to inform the Contractor through the Contracting Officer of the unacceptability of specific court reporters. The failure of the Contractor to provide a court reporter other than one designated unacceptable by the USAO shall provide a basis for the USAO's decision to obtain court reporting services from another source.

2.5 Transcript Format

a) A separate transcript shall be provided for each witness/deponent. The title page shall show the name of the witness/deponent, proceedings date, time of the commencement of the proceeding for that particular witness, docket number, the date of proceedings, the name, title and address of the attorney appearing for the Government, caption of matter, the authority for taking the deposition, etc. and shall be followed by a page of distinctive color indexing the exhibits where applicable.

b) The paging of the transcripts shall be in a single series by consecutive numbers regardless of the number of days consumed in the hearings, proceeding, etc., and the paging of the transcript in a hearing shall follow consecutively the paging of the last previous hearing in the same case.

c) All transcripts shall be provided to the USAO electronically using USAfx.

d) All transcripts shall be typed with black ribbon or reproduced by regular office type duplicating machines on white linen unglazed paper of good quality, #30 white bond paper or similar stock, to be approved by the ordering office. Transcripts shall be typed on paper 8 ½ inches x 11 inches in size, with a ruled margin of 1 3/4 inches at the left side and 3/8 inch at the right side. Typing shall be 10 spaces to the inch, double spaced, and shall not be less than 25 lines to the page exclusive of the line containing the witness name, date of testimony, and page number. The lines of testimony are to be numbered on each page beginning with #1. These numbers will appear just to the left of the left ruled margin. Whenever testimony is continuous, requiring more than one line, the typing shall begin one blank space after the left hand ruled margin and shall continue to the right hand ruled margin, with no blank spaces. The distance between the left hand ruled margin and the right hand ruled margin will be 6 3/8 inches. Therefore, there will be no less than 60 characters per line available. No word should wrap to the next line that would properly fit within the 60 count. Pages necessarily containing less than

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25 lines shall be charged and paid for at the full-page rate. No payment will be made for lines in excess of 25 lines to the page. The first line of Q and A's will be indented 5 spaces, then followed by a period and 3 blank spaces. The second line will return to one blank space after the left hand ruled margin. The first line of colloquy will be indented 10 spaces, followed by a period and 3 blank spaces. The second line will return to one blank space after the left hand ruled margin. No extraneous words should be used on the title page or at the beginning of a witness' testimony. No statement that can properly fit on a line should be extended to an additional line. There should be no unnecessary blank lines unless absolutely necessary for readability. The USAO will be the sole judge of this format.

Reduced page transcripts (Condensed Transcripts) shall include four transcript pages in reduced format on a single 8 ½ x 11 inch page.

e) Exhibits admitted in evidence, identified in a deposition, or other proceedings, when requested by the Government attorney shall be stamped, marked, numbered by the Contractor, and arranged in numerical order, as directed by the individual Assistant U.S. Attorney (AUSA) and shall be annexed to the deposition transcript. The marking shall indicate clearly whether the exhibit is offered by the complainant, protestant, intervener, defendant, respondent, applicant, the ordering office, or other party of record. The numbering of exhibits shall be in a single series of consecutive numbers, regardless of the number of days consumed in the hearing, unless otherwise directed by the Presiding Official. The number of exhibits introduced at a hearing or in a reopened case shall follow consecutively the number on the last previous exhibit introduced by such party. Exhibits shall not be copied into the record nor shall photo static copies of exhibits for inclusion in the record be made by the reporter unless the Presiding Official so directs.

2.6 Availability/Sale of Transcripts

a) Recording of proceedings shall be transcribed by the Contractor only when directed by the USAO. In the handling of transcripts, the Contractor shall observe and comply with security requirements stipulated herein. Transcripts will not be made available to the public by the Contractor.

2.7 Reports

The Contractor shall submit immediately, in writing, to the Contracting Officer and the USAO the following reports:

• Unauthorized Entry. A report on any information coming to his attention concerning unauthorized entry (actual, attempted, or threatened) at his facilities where work for the USAO is performed.

• Loss, Compromise or Suspected Compromise. A report on any loss, compromise or suspected compromise of transcripts, notes or other related material.

• Any change of ownership, including stock transfers that affect the control of the corporation.

• Change of operating or address of the facility.

• A report of any change during the performance of the contract in location of closed or restricted areas as established, including the creation of any new areas requiring approval of the United States Attorney

(USA).

• A report of any change in the storage capability which would affect the information which the Contractor is required to safeguard.

The Contractor shall also maintain and keep available for review by the USAO a master index of the Deposition sessions, including the date, name of case, name of AUSA(s), case number, name of witnesses and pages from those witnesses, and the name of the court reporter.

2.8 Orders

a) The Contracting Officer will provide funding at the Task Order level on Optional Form 347, which will state the amount of funding available for each ordering period. Services to be furnished will subsequently be ordered by the issuance of work orders (see Attachment 3) signed by the Contracting Officer’s Representative (COR) or

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Authorized Individual(s) of the USAO listed in Attachment 1. All work orders issued hereunder are subject to the terms and conditions of this contract which shall control in the event of conflict with any work order.

b) All work orders placed under this contract must contain the following information:

i. Date of Order

ii. Order Number

iii. Description of Service

iv. Place of Performance

v. Primary Point of Contact of the work order

A sample Court Reporting Ordering Form is attached.

c) In accordance with FAR 52.212-4 Alt I (i), the Contractor shall provide requisite notification in the event expenditures are expected to exceed 85% of current Task Order funding ceiling.

2.9 Key Personnel

a) The key personnel whom the Contractor shall furnish for the performance of this contract are as follows:

Name: To Be Determined Title: Court Reporter

Name: To Be Determined Title: Videographer

b) The personnel specified above is/are considered to be essential to the work being performed hereunder. Prior to replacing any of the specified individuals, the Contractor shall immediately notify both the Contracting Officer and COR reasonably in advance and shall submit written justification (including proposed substitutions) in sufficient detail to permit evaluation of the impact on the program. No replacement of personnel shall be made by the Contractor without the written consent of the Contracting Officer.

2.10 Notice to Proceed

Within ten (10) calendar days after the contract award, the USAO will furnish the Contractor with personnel security application forms. The Contractor shall complete and return to the COR all personnel security application forms within seven (7) calendar days after receipt. After a sufficient number of Contractor Personnel are cleared by the Government, a notice to proceed will be issued by the Contracting Officer or the Contracting Officer’s Representative specifying a performance start date.

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Section 3 - Packaging and Marking

All information and submittals, including receipts, forms, reports, and other materials provided to the CO or the COR shall be clearly marked with the contract number as follows:

EOUSA CONTRACT NUMBER: TBD

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Section 4 - Inspection and Acceptance

Final inspection and acceptance of work performed, reports, and other deliverables shall be performed by the COR.

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Section 5 - Deliveries or Performance

5.1 Period of Performance:

See Section 1

5.2 Place of Performance:

See Section 2

5.3 Performance Standards

Evaluation of the Contractor's overall performance in accordance with the performance standards set forth in this Statement of Work shall be conducted jointly by the COR and the Contracting Officer and shall form the basis of the Contractor's permanent performance record with regard to this contract.

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Section 6 - Contract Administration Data

6.1 Contracting Officer

The Contracting Officer for this contract is:

Brandon Wish Executive Office for US Attorneys 1600 Hampton St, Rm. 203 Columbia, SC 29208

Written communications shall make reference to the contract number and shall be emailed to brandon.wish@usdoj.gov.

6.2 Payment/Invoice Requirements

Payment for actual work and services rendered under this contract will be made in accordance with the Prompt Payment Act. Invoices shall be submitted monthly, at minimum, by the 1st day of the following month. To constitute a proper invoice, the invoice must be submitted in accordance with FAR 52.212-4(g). In addition, the following information must appear on the invoice:

• Date service was performed

• Location service was performed

• Attorney’s Name

• Name of witness

• Number of pages

• Cost per page

• Order Number

Invoices shall be submitted to the address shown in block 21 of the OF 347. All follow-up invoices shall be marked “Duplicate of Original.”

6.3 Accounting and Appropriation Data

Accounting and Appropriation Data is assigned with each task order

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Section 7 – Local Provisions & Clauses

Electronic Signatures (May 2019)

(a) The Department of Justice is committed to doing business in the most efficient and effective way possible, and to facilitate paperless processes. In furtherance of this goal, the Contracting Officer may apply their digital signature to procurement documents in the Portable Document Format (PDF) through the use of their government issued Personal Identity Verification (PIV) Card with a valid public key certificate. A digital signature made with these certificates is evidence that a specific individual signed the electronic record and that it was not altered. The recipient of a signed document can rely on the digital signature as evidence for a third party that the signature was generated by the claimed signer.

(b) For procurement documents that require a signature from a representative of the Contractor, the Contractor may utilize manual or electronic signature. Should the Contractor utilize an electronic signature, by returning the document with an electronic symbol affixed to the appropriate signature block, the Contractor representative signing on behalf of the Contractor certifies that:

Electronic Form of Signature: The Contractor representative has knowingly adopted, applied or affixed an electronic symbol to the document;

(2) Intent to Sign: The Contractor representative has applied an electronic symbol with the intent to legally bind the Contractor;

(3) Association of Signature to Record: the Contractor representative’s signature is attached to the electronic record being signed;

(4) Identification and Authentication of Signer: The Contractor has a means to identify and authenticate a particular person as the signer; and

(5) Integrity of Signed Record: The Contractor can attest to the integrity of the signed record between the time of signature and the returned record to the government.

(c) This clause applies to this document and any subsequent documents (e.g., modifications, task/delivery orders) associated with this action.

(end of clause)

2852.201-70 Contracting Officer's Representative (COR) – (EOUSA modified, March 2014)

a) TBD is hereby designated to act as Contracting Officer's Representative (COR) under this contract.

b) The COR is responsible, as applicable, for: receiving all deliverables, inspecting and accepting the supplies or services provided hereunder in accordance with the terms and conditions of this contract; providing direction to the contractor which clarifies the contract effort, fills in details or otherwise serves to accomplish the contractual Scope of Work; evaluating performance; and certifying all invoices/vouchers for acceptance of the supplies or services furnished for payment.

c) The COR does not have the authority to alter the contractor's obligations under the contract, and/or modify any of the expressed terms, conditions, specifications, or cost of the agreement. If as a result of technical discussions it is desirable to alter/change contractual obligations or the Scope of Work, the Contracting Officer shall issue such changes.

EOUSA AI-10-1A - Personnel Security Requirements for Contractor Employees (OBD) (June 2021)

Work performed under this contract will involve any one or more of the following: access to DOJ Information, which may include Controlled Unclassified Information (CUI), i.e., unclassified, sensitive DOJ information, 15JA0522Q00000003 Page 16 of 40 and/or access to DOJ Information Technology (IT) systems, and/or unescorted access to DOJ space or facilities. Contractor employees will occupy Public Trust Positions, unless clause alternates are applied.

1.1 General Requirements

(a) (1) All references to “contract(or) personnel” and “contract(or) employee” in this clause means all individuals, without limitation, to include individuals employed by the contractor, team member, subcontractor, consultant, and/or independent contractor, who will have access to information of the Department of Justice (DOJ) or information that is within the custody and control of the DOJ, access to DOJ IT systems, and/or unescorted access to DOJ facilities/space in connection with the performance of this contract. “Employment” as used herein does not create nor imply an employer/employee relationship between the DOJ and contractor employees.

(b) (1) The type of security investigation required for each contractor employee will be governed by the type and risk level of information made available to the contractor employee. The contractor will not be permitted to commence performance under this contract until a sufficient number of its personnel, as determined by the Security Programs Manager (SPM), in consultation with the Contracting Officer’s Representative if one is appointed, have received the requisite security approval.

(c) Except where specifically noted otherwise, the federal government will be responsible for the cost and conduct of the investigation.

(d) The contractor shall ensure that no contractor employee commences performance prior to receipt of a written authorization from the contracting officer, COR, or the SPM that performance by the respective contractor employee is authorized.

(e) The data and other information to which the contractor may have access as a result of this contract is the property of, and/or within the custody and control of, the Department, and its disclosure to third parties is governed by various statutes and regulations, the violation of which may subject the discloser to criminal penalties.

1.2 Citizenship and Residency Requirements

(a) Residency Requirement. (1) Contractor employees in Public Trust positions, both U.S. citizens and non- U.S. citizens, must meet the Department’s residency requirement if they will require access to DOJ information, IT systems, or unescorted access to facilities. For three years (not necessarily consecutive years) out of the last five years immediately prior to employment under the Department contract the contractor employee must have: (i) resided in the U.S.; (ii) worked for the U.S. in a foreign country as either an employee or contractor in a federal civilian or military capacity; or, (iii) been a dependent of a federal civilian or military employee or contractor working for the U.S. in a foreign country. At the Department’s sole discretion, the residency requirement may be waived by the Department Security Officer (DSO) for contractor employees on a case-by-case basis where justified by extenuating circumstances. The residency requirement does not apply to contractor employees residing in foreign countries that are hired to work in American embassies/consulates/missions located outside of the United States and who require access to DOJ information, IT systems, or unescorted access provided that an adequate background investigation can be conducted, with favorable adjudication, as determined by the DSO.

(b) Citizenship. (1) Aside from the specific exceptions set forth in Section 1.2(b)(2), for Public Trust positions, the DOJ requires that contractor employees be U.S. citizens and nationals, or lawful permanent residents seeking U.S. citizenship. Any prospective non-U.S. citizen contractor employee who requires access to DOJ information systems, DOJ information, and/or unescorted facilities access must also have been granted a waiver as described in paragraphs 1.2(d) and/or (e) below. The contractor is responsible for verifying that the non-U.S. citizens working under this contract are lawful permanent residents seeking U.S. citizenship.

(2) Exception for Certain Non-U.S. Citizen Contractor Employees: (i) Non-U.S. citizen expert witnesses, litigative consultants, and interpreters in rare foreign languages are not required to be lawful permanent residents seeking U.S. citizenship. However, they must be granted a waiver for access to unclassified DOJ

15JA0522Q00000003 Page 17 of 40 information, whether CUI or not, DOJ IT systems, and/or unescorted facility access, as described in paragraph 1.2(d) and (e) below, regardless of the duration of their duties. (ii) Non-U.S. Citizen contractor employees residing in foreign countries who are hired to work for the Department of Justice in American embassies/consulates/missions outside of the United States are not required to be lawful permanent residents seeking U.S. citizenship.

(c) Dual Citizenship. (1) U.S. citizens who hold dual citizenship with a foreign country are considered U.S. citizens within the meaning of this clause, and may be considered for, but are not entitled to, contract employment as U.S. citizens consistent with this clause. The means by which the contractor employee obtained or exercises his or her dual citizenship status will be a consideration in the Public Trust Investigation (PTI) adjudication, and/or waiver approval processes discussed in this clause.

(d) Access to DOJ Information Technology Systems. Non-U.S citizens are not authorized to access DOJ information technology (IT) systems or assist in the development, operation, management, or maintenance of DOJ IT systems, including providing IT system support, unless a waiver has been granted by the Head of the DOJ component or designee, with the prior concurrence of both the DSO and the DOJ Chief Information Officer, allowing computer access by the non-U.S. citizen. Such a waiver will be granted only in exceptional and unique circumstances on a case-by-case basis. It should be noted that the Justice Consolidated Office Network (JCON) is a sensitive DOJ IT system and any contractor employee who will need access to JCON must be a U.S. citizen or have received a waiver. In order for a waiver to be considered for approval: (1) There must be a compelling reason for using this individual as opposed to a U.S. citizen; (2) The type of personnel security vetting that has been conducted on the individual, and vetting results, that would mitigate risk; and (3) The waiver must be in the best interest of the federal government.

2. Access to Unclassified DOJ Information and Unescorted Access to DOJ Facilities or Space. (1) Except as provided under 1.2(b)(2), non-U.S citizens are not authorized to access DOJ information and/or unescorted access to DOJ facilities or space, unless a waiver has been granted by the DSO, allowing access by the non-U.S. citizen. Such a waiver will be granted on a case-by-case basis where justified at the discretion of the DSO.

2.2 Background Investigation Requirements

(a) (1) Unless otherwise stated below, all contractor personnel are subject to a Public Trust Investigation (PTI).

The SPM will determine the type of investigation for each contractor employee based on the risk category (i.e., the nature of the position and degree of harm that could be caused by the individual in that position) and whether the position is long-term or short-term. The PTI risk categories are listed below.

(i) High Risk Positions. The minimum background investigation required is a Tier 4 (T4) investigation, and the five year reinvestigation required is a Tier 4R (T4R) investigation.

The 2017 version of the Standard Form (SF) 85P, Questionnaire for Public Trust Positions, is required.

(ii) Moderate Risk Positions. The minimum background investigation required is a Tier 2 (T2) investigation. The five year reinvestigation required is a Tier 2R (T2R) investigation. The 2017 version of the SF-85P is required.

(iii) Low Risk/Non-Sensitive Positions. The minimum background investigation required for

Low Risk/Non-Sensitive positions is a Tier 1 (T1) investigation and the required five year reinvestigation is also a Tier 1 (T1) investigation. The SF 85, Questionnaire for Non Sensitive Positions, is required.

(b) Exception for Expert Witnesses. Expert Witnesses, litigative consultants, and interpreters in rare foreign languages may not be subject to full background investigation requirements if alternative security requirements are approved by the DSO.

(c) Short-Term U.S. Citizen Contractor Employees. Other than the exception in Section 1.3(b), short-term

15JA0522Q00000003 Page 18 of 40 contractor employees (6 months or less) who are U.S. citizens are not subject to a full background investigation, however, must receive an approved pre-employment background investigation waiver. The required forms to complete and submit are listed in Section 1.4(b) and (c)(2).

(d) Long-Term U.S. Citizen Contractor Employees. Other than the exception in Section 1.3(b), all long-term U.S. citizen employees (longer than 6 months) are subject to a full background investigation in the risk category appropriate to the position they will hold.

(e) Non U.S. Citizen Contractor Employees. Other than the exception in 1.3(b), all non-U.S. citizen contractor employees regardless of performance duration (short or long term) are subject to a full background investigation in the risk category appropriate to the position they will hold.

(f) Reciprocity. A Public Trust Investigation will be accepted under reciprocity if it meets the following guidelines: (i) the investigation is current (investigations are considered current if completed within the last five years) and favorably adjudicated, or the reinvestigation has been deferred; (ii) the investigation meets or exceeds the level of investigation required for the DOJ contractual instrument; (iii) there has been no continuous (not cumulative) break in federal contract/service employment of two years or more; (iv) there is no derogatory information since the favorable fitness determination or adjudication that calls into question the individual’s fitness based on character or conduct; and (v) the investigative record does not show conduct that is incompatible with the core duties of the new contract position. A “core duty” is a continuing responsibility that is of particular importance to the relevant covered position or the achievement of an agency’s mission. Core duties will vary from position to position.

2.3 Background Investigation Process

(a) e-QIP (or its successor). Public Trust background investigations/reinvestigations of contractor employees will be performed by the DCSA. The investigative process requires contractor employees to complete the Electronic Questionnaires for Investigations Processing (e-QIP) and provide additional information as specified in paragraph 1.4(b) below. Immediately after contract award, the contractor shall designate an employee as its “e-QIP Initiator” and provide the name of this person to the SPM. The e-QIP Initiator must have, at a minimum, a favorably adjudicated Tier 1 investigation and the appropriate DOJ security approval before being given access to e-QIP. After the e-QIP Initiator’s security approval is granted, the Contractor will be configured in e-QIP as a sub-agency to DOJ. The contractor will then be responsible for initiating investigations for all contract personnel, whose previous investigation does not meet reciprocity, in e-QIP for completion of the security questionnaire form and forwarding the electronic form with the remainder of the security package to the SPM. Subject to the prior written approval of the SPM, the contractor may designate an e-QIP Initiator for each subcontractor.

Subcontractor e-QIP Initiators must have, at a minimum, a favorably adjudicated Tier 1 investigation and the appropriate DOJ security approval before being provided access to e-QIP.

(b) Additional Documentation. (1) In addition to completing the e-QIP questionnaire (see paragraph 1.4(a) above), the contractor shall ensure that each contractor employee occupying Public Trust Positions, including short-term employees, completes and submits the following information through the contractor’s Corporate Security Officer:

(i) Digital Fingerprinting/FD-258 Applicant Fingerprint Card. Two sets are required per applicant. The contractor may schedule appointments with the SPM to be digitally fingerprinted; otherwise, fingerprinting by the FBI or other law enforcement entity, as approved by the SPM, is required to ensure the identity of the person being fingerprinted and for printing quality. All pertinent information must be completed by the individual taking the fingerprints (FBI or other). Use of the physical FD-258 Applicant Fingerprint Card should only be used in extenuating circumstances.

(ii) DOJ-555 Fair Credit Reporting Act Disclosure. Authorizes DOJ to obtain one or more consumer/credit reports on the individual. This form will be required if the Component SPM determines a credit check is necessary for its Low Risk Level 1 contractor positions.

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(iii) OF-306, Declaration for Federal Employment.

(iv) Foreign National Relatives or Associates Statement. This is only required if foreign national relatives or associates were not disclosed on the security questionnaire form.

(v) Self-Reporting Requirements for All Contractor Personnel. This is an acknowledgement and acceptance statement that every contractor must sign.

(vi) Additional information as may be required based on the review of the security questionnaire form.

The contractor shall review all forms/documents to ensure each is complete, accurate and meets all DOJ requirements, including applicable residency and citizenship requirements. The contractor shall resolve any issues or discrepancies with the contractor employee, including resubmission of corrected forms or documentation. Completed forms/documents shall be submitted to the SPM (or designee, which may include the COR) within five (5) calendar days after being finalized.

(c) Adjudication and Pre-Employment Background Investigation Waivers

(1) Except as set forth in this section, background investigations must be conducted and favorably adjudicated for each contractor employee prior to commencing their work on this contract. Where programmatic needs do not permit the federal government to wait for completion of the entire background investigation, a pre-employment background investigation waiver for public trust contractors can be granted by the SPM, in consultation with the cognizant COR.