Attachment 4a - Sample Tasks.pdf
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- Trial Courtroom Support Services
- Solicitation number
- 50310220Q0031
- Issued by
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Securities and Exchange Commission
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ENF Contractor Legal Support Program
Trial Support Request Form Form has been submitted and is set to read-only.
Only the COR can review data, add comments and verify.
If you have any questions, please email CLSTrialSupport@SEC.GOV
GENERAL INFORMATION
Trial Attorney Evans, Areava
Trial Attorney Phone 202.551.5404
Trial Attorney Email EvansA@SEC.GOV
SEC Office Atlanta Regional Office
SEC Office Address ATLANTA REGIONAL OFFICE 950 East Paces Ferry Road, N.E., Suite 900 Atlanta, GA 30326-1382
Other SEC Attorney On Trial Team Bansbach, Thomas R.
Case Name SEC V. Thompson Financial Services, Inc., et al.
Case # or AP File # 3-19995
ENF POC Davis, Jamie
ENF POC Phone 202.551.7992
ENF POC Email davisjam@SEC.GOV
ENF POC SEC Office Atlanta Regional Office
ENF POC SEC Office Address ATLANTA REGIONAL OFFICE 950 East Paces Ferry Road, N.E., Suite 900 Atlanta, GA 30326-1382
Judge's Name Judge Jackson B. Brown
Trial Location Address United States Courthouse 335 W 1st 6th Floor Courtroom 7d Atlanta, GA. 30326
Trial Court Room # 6D
Will you be using a war room outside of SEC office space?
No
Hotel & address where SEC team will stay (out-of-town-trials)
N/A
Will contractor need access to SEC facility or other government office?
Yes
SEC/GOV's Access POC i:0#.w|ad\jacksonb
SEC/GOV's Access POC Phone 212.336.0997
SEC/GOV's Access POC Email JacksonB@SEC.GOV
DELIVERY SCHEDULE
Estimated Trial Start Date 11/26/2019
Estimated Trial End Date 12/6/2019
Other: Date contractor is needed to begin pre-trial preparatory work(e.g., initial meeting or work to learn about the case).
11/4/2019
Page 1 of 3Trial Support Requests Form - SEC V. Thompson Financial Services_ Inc._ et al.-EVAN...
11/20/2019https://sharepoint/sites/ENF/ENFBusinessOffice/_layouts/15/Print.FormServer.aspx
SAMPLE TASK #1
SUPPORT NEEDED
Type of Support and Duties Required (Check all that apply).
Courtroom presentation of exhibits, Videos and graphics
Assist in development and creation of graphics
Preparation of clips of pre - recorded audio - visual deposition excerpts
Pre-trial upload material provided by SEC Attorneys
Provide war room equipment, setup and removal
Provide courtroom equipment, setup and removal
Estimated End Date (Completion of all services by contractor)
12/13/2019
Other
Other
Estimated Labor Hours Per Day Estimated days for trial prep and trial work Estimated Total number of hours
12 42 504
EQUIPMENT REQUIRED ( including all necessary related equipment and supplies)
Equipment Required
Description or specifications
WAR ROOM
quantities of equipment required (only if not in SEC office)
WAR ROOM
number of days equipment required
COURT ROOM
quantities of requirement required
COURT ROOM
number of days equipment required
Network for WAR Room
1 10
Desktops 3 10
Laptops 1 12
Hard Drives 1 10
Monitors 1 10
Projectors
Screens
Copiers
Printers
Scanners
Fax Machines
Furniture
Other Equipment
Additional Information
Requirement #1
ACKNOWLEDGEMENT
Notes:
Page 2 of 3Trial Support Requests Form - SEC V. Thompson Financial Services_ Inc._ et al.-EVAN...
• This request is only for contractors specifically for trial support, and does not include any contract support you are currently receiving within SEC offices.
• If the case settles or the trial support need is delayed, contact CLSTrialSupport@sec.gov as soon as practical.
As an SEC user of the CLS Program, please acknowledge you have read and will comply with the following by selecting I agree below:
I understand that contractor employees are not SEC government employees, and the contractor vendor is solely responsible for the contractor duty hours, performance evaluations, and leave requests, contractors may not perform certain inherently governmental functions and personal services as described in SEC Regulation 10-24 Management and Administration of Service Contracts and its associated Operating Procedure (OP) and Checklist. Further, I understand that stipulating the contractor employee’s duty hours, requiring the contractor employee to report to a government person for administrative / personal / personnel matters, requiring the contractor employee to complete certain inherently governmental functions, maintaining contractor personnel records, and granting the contractor employee’s leave requests are examples of actions that are grounds for the non-personal services contractor to initiate a claim against the Government. Therefore, I will not exercise relatively continuous supervision or control over the activities of the contractor employee.
Please Note: the CLS Enforce NET Webpage is a resource for managing SEC information concerning contractors. All CLS forms, contact information, contract-related information, frequently asked questions and more can be accessed at EnforceNET/Operations/Legal Services/Contractor Litigation Support Program Office.
I Agree (*)
Page 3 of 3Trial Support Requests Form - SEC V. Thompson Financial Services_ Inc._ et al.-EVAN...
Form has been submitted and is set to read-only.
Only the COR can review data, add comments and verify.
If you have any questions, please email CLSTrialSupport@SEC.GOV
GENERAL INFORMATION
Trial Attorney Black, Kim L.
Trial Attorney Phone 323.965.3855
Trial Attorney Email BlackK@sec.gov
SEC Office Los Angeles Regional Office
SEC Office Address LOS ANGELES REGIONAL OFFICE 444 North Jersey Street, Suite 700 Los Angeles, CA 90071
Other SEC Attorney On Trial Team Jackson, Gary
Case Name SEC v. Northwest, Inc., et al.
Case # or AP File # 3:14cv-078983-FMO-FFMx
ENF POC Black, Kim L.
ENF POC Phone 323.965.3855
ENF POC Email BlackK@sec.gov
ENF POC SEC Office Los Angeles Regional Office
ENF POC SEC Office Address LOS ANGELES REGIONAL OFFICE 444 North Jersey Street, Suite 700 Los Angeles, CA 90071
Judge's Name The Hon. Frank Ewing
Trial Location Address 320 1st Street Courtroom 9D Los Angeles, CA 90071
Trial Court Room # 6D
Will you be using a war room outside of SEC office space?
No
Hotel & address where SEC team will stay (out-of-town-trials)
Will contractor need access to SEC facility or other government office?
Yes
SEC/GOV's Access POC i:0#.w|ad\JacksonG
SEC/GOV's Access POC Phone 323.965.3900
SEC/GOV's Access POC Email
DELIVERY SCHEDULE
Estimated Trial Start Date 8/21/2019
Estimated Trial End Date 8/27/2019
Other: Date contractor is needed to begin pre-trial preparatory work(e.g., initial meeting or work to learn about the case).
8/7/2019
Trial Support Requests Form - SEC v. Northwest Inc._ Page 1 of 3
5/18/2018https://sharepoint/sites/ENF/ENFBusinessOffice/_layouts/15/Print.FormServer.aspx
SAMPLE TASK #2
Courtroom presentation of exhibits, Videos and graphics
Assist in development and creation of graphics
Preparation of clips of pre - recorded audio - visual deposition excerpts
Pre-trial upload material provided by SEC Attorneys
Provide war room equipment, setup and removal
Provide courtroom equipment, setup and removal
Estimated End Date (Completion of all services by contractor)
8/29/2019
Other
Estimated Labor Hours Per Day Estimated days for trial prep and trial work Estimated Total number of hours
10 22 220
EQUIPMENT REQUIRED ( including all necessary related equipment and supplies)
Equipment Required
Description or specifications
WAR ROOM
quantities of equipment required (only if not in SEC office)
WAR ROOM
number of days equipment required
COURT ROOM
quantities of requirement required
COURT ROOM
number of days equipment required
Network for WAR Room
Desktops
Laptops 2 6
Hard Drives
Monitors 2 6
Projectors 1 6
Screens
Copiers
Printers
Scanners
Fax Machines
Furniture
Other Equipment cords/extension cords
Additional Information
ACKNOWLEDGEMENT
Notes:
• This request is only for contractors specifically for trial support, and does not include any contract support you are currently receiving within SEC offices.
Trial Support Requests Form - SEC v. Northwest, Inc., et al. Page 2 of 3
• If the case settles or the trial support need is delayed, contact CLSTrialSupport@sec.gov as soon as practical.
As an SEC user of the CLS Program, please acknowledge you have read and will comply with the following by selecting I agree below:
I understand that contractor employees are not SEC government employees, and the contractor vendor is solely responsible for the contractor duty hours, performance evaluations, and leave requests, contractors may not perform certain inherently governmental functions and personal services as described in SEC Regulation 10-24 Management and Administration of Service Contracts and its associated Operating Procedure (OP) and Checklist. Further, I understand that stipulating the contractor employee’s duty hours, requiring the contractor employee to report to a government person for administrative / personal / personnel matters, requiring the contractor employee to complete certain inherently governmental functions, maintaining contractor personnel records, and granting the contractor employee’s leave requests are examples of actions that are grounds for the non-personal services contractor to initiate a claim against the Government. Therefore, I will not exercise relatively continuous supervision or control over the activities of the contractor employee.
Please Note: the CLS Enforce NET Webpage is a resource for managing SEC information concerning contractors. All CLS forms, contact information, contract-related information, frequently asked questions and more can be accessed at EnforceNET/Operations/Legal Services/Contractor Litigation Support Program Office.
I Agree (*)
Trial Support Requests Form - SEC v. North West Inc., et al.. Page 3 of 3
Form has been submitted and is set to read-only.
Only the COR can review data, add comments and verify.
If you have any questions, please email CLSTrialSupport@SEC.GOV
GENERAL INFORMATION
Trial Attorney Johnson, Alice
Trial Attorney Phone 312.886.2672
Trial Attorney Email JohnsonA@SEC.GOV
SEC Office Chicago Regional Office
SEC Office Address CHICAGO REGIONAL OFFICE 175 West Jackson Boulevard, Suite 900 Chicago,IL 60604
Other SEC Attorney On Trial Team Hopkins,Jason
Case Name In re BB&C
Case # or AP File # File No. 3-33333
ENF POC Handy, John E.
ENF POC Phone 312.886.3900
ENF POC Email HandyJ@sec.gov
ENF POC SEC Office Chicago Regional Office
ENF POC SEC Office Address CHICAGO REGIONAL OFFICE 135 Eastt Jackson Boulevard, Suite 500 Chicago,IL 60604
Judge's Name Judge Alexis Hall
Trial Location Address TBD, Los Angeles, CA
Trial Court Room # TBD
Will you be using a war room outside of SEC office space?
No
Hotel & address where SEC team will stay (out-of-town-trials)
Hilton Checkers 585 North Avenue, Los Angeles, California, 90071, USA TEL:
+1-213-624-0000
Will contractor need access to SEC facility or other government office?
Yes
SEC/GOV's Access POC i:0#.w|ad\JohnsonA
SEC/GOV's Access POC Phone 323.965.3966
SEC/GOV's Access POC Email JohnsonA@sec.gov
DELIVERY SCHEDULE
Estimated Trial Start Date 10/1/2018
Estimated Trial End Date 10/19/2018
Other: Date contractor is needed to begin pre-trial preparatory work(e.g., initial meeting or work to learn about the case).
8/1/2018
Page 1 of 3Trial Support Requests Form - In re BB&C-Chicago Regional Office-2018-07-06
7/11/2018https://sharepoint/sites/ENF/ENFBusinessOffice/_layouts/15/Print.FormServer.aspx
SAMPLE TASK #3
Courtroom presentation of exhibits, Videos and graphics
Assist in development and creation of graphics
Preparation of clips of pre - recorded audio - visual deposition excerpts
Pre-trial upload material provided by SEC Attorneys
Provide war room equipment, setup and removal
Provide courtroom equipment, setup and removal
Estimated End Date (Completion of all services by contractor)
10/19/2018
Other
Estimated Labor Hours Per Day Estimated days for trial prep and trial work Estimated Total number of hours
10 500
EQUIPMENT REQUIRED ( including all necessary related equipment and supplies)
Equipment Required
Description or specifications
WAR ROOM
quantities of equipment required (only if not in SEC office)
WAR ROOM
number of days equipment required
COURT ROOM
quantities of requirement required
COURT ROOM
number of days equipment required
Network for WAR Room
Desktops
Laptops
Hard Drives
Monitors 6 monitors 25 days
Projectors 1 25 days
Screens 1 large screen 25 days
Copiers
Printers
Scanners
Fax Machines
Furniture
Other Equipment
Additional Information
This trial involves the work of three offices (CHRO, NYRO, and LARO). The full trial team includes: Alyssa Qualls, David Van Havermaat, Steve Seeger, Dan Hayes, Ariella Guardi, Leslie Kazon, and Jennifer Calabrese. The matter is currently stayed and we expect to get a new trial date in the near future. We would like the contractor to initially report to the CHRO approximately 60 days before trial to begin learning the case and assisting with the development of demonstratives and exhibits. Then, the contractor would report to LARO approximately 3 business days before the start of the trial.
ACKNOWLEDGEMENT
Page 2 of 3Trial Support Requests Form - In re BB&C-Chicago Regional Office-2018-07-06
Notes:
• This request is only for contractors specifically for trial support, and does not include any contract support you are currently receiving within SEC offices.
• If the case settles or the trial support need is delayed, contact CLSTrialSupport@sec.gov as soon as practical.
As an SEC user of the CLS Program, please acknowledge you have read and will comply with the following by selecting I agree below:
I understand that contractor employees are not SEC government employees, and the contractor vendor is solely responsible for the contractor duty hours, performance evaluations, and leave requests, contractors may not perform certain inherently governmental functions and personal services as described in SEC Regulation 10-24 Management and Administration of Service Contracts and its associated Operating Procedure (OP) and Checklist. Further, I understand that stipulating the contractor employee’s duty hours, requiring the contractor employee to report to a government person for administrative / personal / personnel matters, requiring the contractor employee to complete certain inherently governmental functions, maintaining contractor personnel records, and granting the contractor employee’s leave requests are examples of actions that are grounds for the non-personal services contractor to initiate a claim against the Government. Therefore, I will not exercise relatively continuous supervision or control over the activities of the contractor employee.
Please Note: the CLS Enforce NET Webpage is a resource for managing SEC information concerning contractors. All CLS forms, contact information, contract-related information, frequently asked questions and more can be accessed at EnforceNET/Operations/Legal Services/Contractor Litigation Support Program Office.
I Agree (*)
COR Verification Comment
Request Status Approved
Approved/Rejected By Evans, Areava
Approved/Rejected On 7/9/2018
Page 3 of 3Trial Support Requests Form - In BB&C-Chicago Regional Office-2018-07-06
| Trial Support Requirement#1 |
| Trial Support Requirement#2 |
| Trial Support Requirement#3 |
File details come from the government source that posted it. Updated .