Enterprise Process Servers SOW FY25.pdf

ENTERPRISE PROCESS SERVER

STATEMENT OF WORK

C.2 Objective The objective of this requirement is to obtain non-personal professional Enterprise Process Server and related Ad-Hoc Support Services to support the mission requirements of the SEC in all 50 U.S. states and the District of Columbia. The primary users of these services are expected to be the Division of Enforcement, but other Divisions and Offices of the SEC are authorized to use the services. The SEC is comprised of the Home Office (Washington, DC) and 10 Regional Offices. A list of the SEC offices and their addresses is provided in the list below.

Home Office (HO) 100 F Street, NE Washington, DC 20549

Los Angeles Regional Office (LARO) 444 South Flower Street, Suite 900 Los Angeles, CA 90071

Atlanta Regional Office (ARO) 950 East Paces Ferry, NE, Suite 900 Atlanta, GA 30326-1382

Miami Regional Office (MIRO) 801 Brickell Avenue, Suite 1950 Miami, FL 33131

Boston Regional Office (BRO) 33 Arch Street, 24rd Floor Boston, MA 02110-1424

New York Regional Office (NYRO) 100 Pearl Street, Suite 20-100 New York, NY 10004-2616

Chicago Regional Office (CHRO) 175 W Jackson Boulevard, Suite Chicago, IL 60604

Philadelphia Regional Office (PLRO) 1617 JFK Boulevard, Suite 520 Philadelphia, PA 19103

Denver Regional Office (DRO) Byron Rogers Federal fc Bldg 1961 Stout Street, Suite 1700 Denver, CO 80294-1961

San Francisco Regional Office (SFRO) 44 Montgomery Street, Suiter 2800 San Francisco, CA 94104

Fort Worth Regional Office (FWRO) Burnett Plaza, Suite 1900 801 Cherry Street, Unit 18 Fort Worth, TX 76102

C.3 Tasks Routine Service (first attempt within 72 Hours) Rush Service (first attempt within 24 Hours) Service Plus (all of the services included in this requirement plus special services, as determined by the SEC circumstances) Ad-Hoc Support Services (described below in subsection j) The service provider is required to perform, in a timely manner, the following:

(a) Pick-up documents from the SEC office placing the order, or receive documents via email, fax, mail, or delivery service, as determined by the SEC. There will be no additional charge for the Contractor to print the documents emailed or faxed to them.

(b) Serve papers (including subpoenas, summons, complaints, notices to appear and other legal documents) by hand-delivery, or other means specified by SEC staff, upon individual or entity defendants, witnesses or others located throughout the United States in a manner authorized by the Federal Rules of Civil Procedure, or other applicable rules, and as instructed by SEC staff.

Perform such service within the time frames directed by SEC staff, and arrange for service to be performed by personnel meeting applicable requirements by SEC staff, such as being over 18 years of age and not a party to the case.

PLEASE NOTE that if a process server is issued a subpoena to give witness testimony in court, the SEC is allowed to pay for travel expenses, as defined in the Joint Travel Regulation, but may not pay the process server's wages.

(c) Serve, in an expedited manner and as directed by SEC staff, emergency action documents, such as papers in support of Temporary Restraining Orders, and other requests for emergency relief individual and entity defendants, witnesses, and others.

(d) Use skip tracing or any other means to identify the current location and addresses of defendants, witnesses, or others who are to be served with papers.

(e) Immediately advise the SEC point of contact of the status of any served complaints, orders or other papers. Also immediately advise the SEC point of contact after three (3) failed service attempts, and describe any problems in effecting service (e.g., the individual or entity we intend to serve no longer is located at the address provided). In the event this is a Rush Service or Service Plus request, contact the SEC point of contact immediately following one (1) failed attempt for further instructions. If a Rush Service has been ordered, the SEC staff may change it to Service Plus.

(f) When required by the SEC, provide stake-out process service personnel to watch a location and, if requested by SEC, effect service if the subject individual appears at the location.

(g) Provide returns of service, declarations, affidavits and/or other supporting documentation evidencing service or attempted service upon defendants or parties in compliance with the Federal Rules of Civil Procedure, or other applicable rules, to the SEC promptly after effecting service. Such returns of service must be in proper form specified by SEC staff, such as notarized returns of service, if necessary. (Note: payment will not be tendered without proper service documentation; this is critical in litigation since returns might have to be filed with the court).

(h) Provide administrative assistance relating to the SEC account, including: maintaining accurate records relating to all work performed for the SEC; providing bi-weekly billing and estimated budget reports to the SEC; and providing prompt correspondence, guidance and updates to SEC staff regarding work performed.

(i) Service Plus: all of the above plus special circumstances as described by the SEC.

(j) Ad-hoc Services: Perform other process server related services as follows:

1. Serve subpoenas by USPS mail. Receive subpoena packages from SEC offices via secure email, print, and mail each subpoena to addressee within 24 hours via USPS regular mail or Express Overnight Mail without signature receipt as directed by the Government. For requests received on Friday, those mailings shall be processed on the next business day.

2. Serve legal documents by Certified Mail. Print documents received from the Government via electronic means, prepare envelope with addressee's information, prepare USPS Certified

Mail card, mail package via United States Postal Service (USPS) certified mail, scan and email a copy of the USPS certified mail receipt to the Government, provide same day service, except for documents received after 3:00pm EST which shall be served the following business day.

3. Serve documents to Congress via courier. Pick-up documents from the courier office at SEC Headquarters prior to 2:00pm EST and hand-deliver within business hours on the same day to designated locations in the House and Senate buildings in Washington, DC, obtain a signature from the Congressional staff person who receives the package, and electronically deliver a copy of that signed page to SEC.

C.3.1 Task Reporting The Contractor shall be responsible for reporting progress on each process service order it is working on. The Contracting Officer's Representative (COR) may require a variety of daily, weekly, and monthly reports. Examples include progress reports, monthly narratives of accomplishments, and contract funding and expenditures, invoices outstanding, and balance and burn rate status reports. The Contractor should note that specialized reports maybe required, particularly on large and complex cases, matters and projects. All reports described in this section are considered part of the company's overhead costs for overall contract project management and are not separately billable. Costs for copying reports for distribution are not separately billable. Reports may also be required in electronic form, as specified by the SEC. Ad hoc reports must be provided in a timely fashion by the deadlines specified by the SEC.

Meetings with the COR will be required, sometimes with little or no advance notice, to discuss these reports. There will be a quarterly report providing an analysis of subpoena delivery success rate for the quarter and for the contract to date.

(SEC 4003.01) SCHEDULE OF DELIVERABLES (FEB 2012)

The Contractor shall provide the following deliverables to the COR, unless otherwise specified, in a format compatible with Microsoft Office Suite products. The Contractor shall return revised documents to the COR within 3 business days of receiving feedback on the draft document from the COR. If the Contractor has not received feedback from the COR on a document within 14 days after the Contractor submits the document, the Contractor may consider the document approved.

Section Deliverable Delivery Timetable Deliver To Delivery Schedule C.3(g) Returns of

Service, documentation of service, etc.

After every instance of the SEC requiring process server or ad-hoc services

COR and

SEC POC

who contacted the Contractor, or other designated

POC

Once after each SEC technical direction to serve papers.

Provide to SEC as required by the SEC designated POC, or if not otherwise given a required due date, provide in this time frame: Routine Service and Service Plus -within 48 hours; for

Rush Service - within 24 hours.

C.3(h) Billing and estimated budgeting reports

Bi-weekly after SEC issues technical direction to serve papers. The reports are to include all such direction at the time of the report.

COR Every two weeks, after contract award date.

C.3(h) Correspondenc e, guidance and updates to SEC staff regarding work performed

Bi-weekly after SEC issues technical direction to serve papers. The reports are to include all such direction at the time of the report.

COR Every two weeks, after the contract award date.

C.3.1 Ad Hoc Reports The Contractor shall be responsible for reporting progress on each service it has been given technical direction to perform.

Examples include reporting progress, giving narratives of accomplishments, contract funding and expenditures, invoices outstanding, and balance and burn rate status reports.

Numerous additional reports that may be required for individual cases, matters, and projects will vary with the needs of the case, matter and project.

Contracting Officer

(CO), COR

As required by either the CO or COR.

The Contractor shall modify all reports to accommodate the needs of the individual cases, matters, and projects. The contractor shall also provide specified ad hoc reports and timely written minutes of ad hoc meetings as required by the COR.

C.3.1

Success Rate Analysis

The Contractor shall provide a quarterly report providing an analysis of subpoena delivery and ad- hoc services success rate for the quarter and for the contract to date.

COR Quarterly, after the contract award date.

Service by Social Media

Serve documents by social media. Obtain documents from the Government that the Government specifies are to be served by social media. The Government will specify the particular social media platforms and recipient accounts on which the documents are to be served. The service provider will then serve the documents on behalf of the Government to the individuals at the designated social media platforms and recipient accounts by using the direct messaging feature on the applicable social media platform. The service provider will not “friend” or follow individuals on social media to carry out service. After service is complete, the service provider will prepare an affidavit of service describing the manner in which service was effected. If the recipient acknowledges receipt within three business days, that should be noted in the affidavit of service. If a servee attempts to engage in further conversation with the service provider after service has been completed and acknowledged, the service provider shall refer the individual to a specific point of contact within the Government, for whom a name, email, and phone number should be provided when the request is initiated.

This service modification is contingent on social media platforms’ terms of service and the service provider's ability to create accounts that a social media platform does not suspend. The service provider may have no control or ability to reinstate accounts suspended for appearing like a fake account, for being reported by a servee or for other unforeseen reasons. The service provider agrees to use and maintain its accounts in order to avoid being suspended. The service provider shall not be held responsible for glitches or actions on the part of social media platforms.

Routine will be defined as within three business days from receipt of the request. Rush will be defined as within 24 hours from receipt of the request, excluding weekends and federal holidays.

Completion may be delayed at the sole discretion of the service provider due to account creation, account reinstatement, or any other hindrance.