HOTLINE - SECTIONS C and F.pdf

HOTLINE for ANONYMOUS OR CONFIDENTIAL REPORTING OF COMPLAINTS

SECTION C – SCOPE OF WORK (SOW)

C-1 BACKGROUND

The U. S. Securities and Exchange Commission (“SEC”) Office of Inspector General (“OIG”) is responsible for investigating allegations of fraud, waste, and abuse involving agency programs and operations, and misconduct by agency employees or contractors. The SEC OIG requires a Contractor to operate and maintain its “Hotline” for the anonymous or confidential reporting of complaints.

C-2 SPECIFIC TASKS AND SERVICES REQUIRED

C-2.1 The Contractor shall operate and maintain both: (1) a toll-free number that can be called 24 hours a day, 365 days a year, to speak anonymously, or in confidence, with a trained Hotline operator; and, (2) a web-based system through which complaints may be made anonymously, or in confidence. The call operators shall take the caller information and record that information.

The telephone Hotline will use a message to be provided by the OIG to inform the caller of his/her options. The live operators and messages shall be in English, unless requested differently from the SEC OIG Both the telephone and web-based complaints systems will be designated as the SEC OIG Hotline, through which agency employees and outside individuals may confidentially report fraud, waste, and abuse, as well as complaints of staff and contractor misconduct, to the OIG. Both the telephone operator call format and the web-based complaint form must be customized and tailored to meet the specific needs of the SEC OIG. In addition, incident codes used for the telephone and web-based complaint reports must adhere to the requirements of, and meet the approval of, the SEC OIG. The contractor shall also provide mechanisms by which persons contacting the Hotline can submit follow-up information pertaining to their complaints and by which the SEC OIG may provide responses to complainants.

C-2.2 The Contractor shall be able to respond within four (4) hours or sooner when a call is received and shall also obtain appropriate follow-up information concerning complaints received. Calls shall be answered within 5 rings. The Contractor shall provide timely reports in electronic form (within no more than 24 hours of receipt of a complaint) to the OIG’s Contracting Officer’s Representative (COR) and other designated representatives or e-mail addresses regarding all Hotline complaints (both telephone and web-based) received. The Contractor shall notify the OIG of any complaints categorized as urgent within one (1) hour of receipt of the complaint. The Contractor shall provide monthly summaries of statistical data concerning Hotline complaints. The Contractor’s reports of Hotline complaints shall show, at minimum, the report number; date and time of the call or web-based complaint; the nature and subject of the complaint; details of the allegations; questions asked by the call center staff member (for telephone complaints); name, telephone number, mailing address, and e-mail address of the complainant, if provided upon request; the complainant’s preference on maintaining or waiving confidentiality; nature of any response given to the complainant; any follow-up performed, when the follow-up was completed; and other information identified by the SEC OIG. A sample template is required within five (5) days of the contract award date.

The Contractor shall segregate SEC OIG data entered into the Contractor’s system to ensure the data is isolated from other data contained in the data base. The call data shall be transferred to the SEC OIG using a secure method of communication as approved by the SEC OIG. The Contractor shall participate in virtual meetings, conference calls and/or on-site review meetings with SEC staff as requested during the period of performance.

C-2.3 The Contractor shall maintain a fully operational facility with staff who have executed SEC non-disclosure agreements if they are or will be handling SEC OIG complaints during the entire period of performance. The Contractor must be a U.S. vendor operating and performing all services within the Continental United States (CONUS).

C-2.4 The Contractor may be required to add, delete, or modify existing fields, which are considered minor adjustments, in the web-based complaint request form at no additional charge.

C-3. CONTRACTOR PERSONNEL

The Contractor shall provide qualified personnel in sufficient quantities, including operators, project management and support staff, to meet the requirements of this contract. The Contractor shall ensure confidentiality of data. The Contractor shall provide supervisory/management personnel required for effective project management. The Contractor shall verify United States citizenship for all personnel performing services under this Contract. The Contractor shall ensure that all telephone operators, supervisors, managers, and quality assurance personnel speak, read, and write English fluently.

The Contractor shall provide a running report of personnel assigned to render services against this contract. The report shall include the date the NDA was accomplished, training completion dates, and citizenship. Updates are required to be submitted to the COR(s) as personnel changes are made.

C-4 TRAINING

C-4.1 The Contractor shall provide an ongoing training program for its staff in administering the Hotline telephone and web services for the SEC OIG. The SEC OIG will provide information on SEC OIG specific requirements as necessary. The Contractor shall ensure immediate release from the assignment of any employee who does not successfully complete the training program.

C-4.2 The Contractor, in consultation with the SEC OIG, shall provide an initial briefing to SEC OIG staff on the telephone and web-based Hotline systems, including training on its procedures for notifying the SEC OIG of calls, including any urgent calls.

C-5 EQUIPMENT AND FACILITIES

The Contractor will provide all facilities and workspace for operation of the Hotline. The Contractor will also provide the telephone and computer equipment and services needed for operation of the Hotline, which includes furnishing the toll-free number and website. Any required maintenance of equipment shall not interfere with services. As such, there shall be no interruption of Hotline services via toll-free number or web form.

The contractor shall contact the COR for the purpose of transferring/relinquishing the toll-free number to the SEC within 15 days of contract expiration.

C-6. QUALITY CONTROL AND CUSTOMER SERVICE

C-6.1 The Contractor shall develop internal controls and procedures to identify performance problems and shall promptly resolve any identified problems. The contractor shall immediately notify the Contracting Officer’s Representatives (CORs) in writing of any and all issues that may impede satisfactory and uninterrupted services.

C-6.2 The Contractor shall have a supervisor and/or other qualified person monitor each telephone operator’s performance for quality assurance and appropriate coaching. Industry accepted customer service standards will be followed. The Contractor’s staff who do not meet acceptable customer service standards, as determined by the Contractor, shall be re-trained or released from the contract with the SEC.

C-7. RECORDS

All the records generated under the contract shall be SEC OIG’s property and shall be returned to the SEC OIG upon request or within 24 hours after termination/ expiration of the contract;

whichever comes first.

C-8. NON-PERSONAL SERVICES

C-8.1 This is not a personal services contract. The Government and the Contractor understand and agree that the services delivered by the Contractor to the Government are non-personal services. The parties also recognize and agree that no employer-employee or master-servant relationship exists or will exist between the Government and the Contractor. Contractor personnel are not employees of the Federal Government and are not eligible for entitlement and benefits given federal employees.

C-8.2 Contractor personnel under this contract shall not (i) be placed in a position where there is an appearance that they are employed by the Federal government, or are under the supervision, direction (other than the technical direction with respect to the tasks listed in Section C-2.1 – Requirements), or evaluation of a Federal employee, or (ii) be placed in a position of command, supervision, administration or control over Government personnel.

C-9 CONTRACT PRICING

Contract pricing shall be inclusive of all fully burdened costs that include but are not limited to all costs associated with- management, labor (direct and indirect), equipment, supplies, overhead, G&A, and profit.

SECTION F – PERFORMANCE AND DELIVERABLES

F-1 Period of Performance

Period Performance Dates Base Period July 1, 2023 – June 30, 2024 Option Period 1, if exercised July 1, 2024 – June 30, 2025 Option Period 2, if exercised July 1, 2025 – June 30, 2026 Option Period 3, if exercised July 1, 2026 – June 30, 2027 Option Period 4, if exercised July 1, 2027 – June 30, 2028 Option Period 5, if exercised July 1, 2028 – June 30, 2029 Option Period 6, if exercised July 1, 2029 – June 30, 2030 Option Period 7, if exercised July 1, 2030 – June 30, 2031 Option Period 8, if exercised July 1, 2031 – June 30, 2032 Option Period 9, if exercised July 1, 2032 – June 30, 2033

F-2 Schedule of Deliverables

SECTION Deliverable Schedule C-2.2 Contractor’s Fully Operational Call

Center and web-based complaint system By no later than 12 a.m.

June 1, 2023.

C-2.2 Individual Complaint Reports Transmitted within 24 hours or less of receipt by the Hotline (via telephone or the web site).

C-2.2 Individual Complaint Reports Categorized as Urgent

Transmitted within one (1) hour of receipt by the Hotline (via telephone or the web site).

C-2.2 Monthly Summary Reports Five days after end of the previous month.

C-2.2 Monthly Summary Report Template Five days after contract award.

C.3 Personnel List Within 5 days of contract’s start date and along with monthly summary reports

C-4 NDAs and training certificates As required C-4.2 Briefing of contractor’s telephone and web-based Hotline systems, including procedures for notifying SEC OIG of calls, including urgent calls

Five days after contract award.

C-5 Contact COR for instructions on transferring the toll-free number

Within 15 days of contract expiration

I Notice of Request for Equitable Adjustment (REA) (see FAR 52.222-43)

Annually, NLT 30 days after new Wage Determinations are incorporated

F-3 DELIVERABLES FORMAT

All deliverables shall be compatible using the Microsoft Office Suite including MS-Word, MS- Excel, MS-Project and MS-PowerPoint. Flow charts and other diagrams included in the deliverables should be developed using Visio Professional 2000 software.