SOW - OGC Communications Center.pdf

STATEMENT OF WORK (SOW)

(DRAFT)

1. PROJECT TITLE.

Office of the General Counsel (OGC) Communication Center

2. BACKGROUND.

The Pension Benefit Guaranty Corporation (PBGC), a wholly owned United States Government corporation, administers the insurance program and termination process for most defined benefit pension plans that are tax-qualified under the Internal Revenue Code. The Office of the General Counsel (OGC) is responsible for providing legal services in connection with PBGC's programs and activities.

The PBGC General Counsel provides legal advice and counsel to the Director and the Corporation on general law and pension law matters. The General Counsel decides financial reporting and corporate law issues and matters arising in the areas of government contracts, EEO, labor relations and employee relations programs. The General Counsel also administers appeals of benefit coverage issues arising under the Employee Retirement Income Security Act (ERISA) as well as the disclosure and other requirements of the Freedom of Information and Privacy Acts. The PBGC General Counsel advises PBGC’s Chief of Negotiations & Restructuring on concerns with protecting the interests of the agency and plan participants and beneficiaries pursuant to ERISA. The Office of the General Counsel relies on business processes in the Center for their written and electronic communications within the agency and with all interested parties external to the agency.

Because PBGC has independent litigating authority, its attorneys regularly appear in courts nationwide on behalf of the corporation. Paper and electronic communications with those courts, adversaries, and other parties are an integral part of the agency's legal business processes. The Communications Center utilizes a generic scanning solution to capture all incoming and outgoing documents as TIF images and readable PDF files before being coded into a case management system. Documents are distributed to legal staff and other corporate personnel through e-mails generated automatically by an intranet server.

As a result, most paper legal records in the Communications Center are now electronic in nature, and management and control of incoming electronic records are critical concerns of the agency.

Communications Center Operations

The Communications Center ("Center") includes a centralized mail and filing operation and certain case tracking and docketing functions for the control of all legal documents and other correspondence, received from and sent to federal and state courts, other federal agencies, parties to PBGC litigation and other legal actions, and other PBGC departments. The Center is currently located at 445 12th Street NW, Washington, DC 20024-2101, and is accessible to the legal staff and other agency personnel. At the present time, the Center has 5 computer/printer workstations, two duplex scanners attached; and one high-speed printer/copiers.

The computer workstations feature software applications appropriate to the business process in the Center, including Microsoft Office; Internet Explorer; Legal Edge for Windows two case management systems; Quick View Plus; and Adobe. The scanners presently are run by Kofax software.

The Center currently houses original copies of all settlements, trusteeship documents, mortgage loans, security documents, confidentiality items, asset purchase and letter agreements. Additional boxes of closed files are archived monthly at a facility off-site and remain accessible to staff on an as-needed basis.

3. SCOPE

The PBGC seeks a qualified, experienced, and highly competent Contractor to operate and manage the Center. The Contractor shall provide personnel who have the technical skills and expertise necessary and sufficient to meet the demands of records management and document controls in a highly computerized environment; to provide the services required to support an effectively paperless environment; to support other related agency initiatives such as knowledge management using similar processes and systems, to manage and support discovery and other litigation-related activities; and to assist in additional projects related to similar corporate and legal activities and administrative processes.

4. SPECIFIC TASKS.

The following sections identify more specifically the tasks that the Contractor shall perform to operate and maintain the Communications Center and the documents that come through the Communications Center.

4.1 Managing and Controlling Legal Documents

The Contractor shall manage and control all legal documents, including hard copy litigation documents that serve as PBGC's primary source of information supporting the agency's litigation in federal and state courts, documents supporting requests for advice and opinions under Title IV of ERISA;

documents from other agency departments and federal entities requesting action, assistance, and/or advice; and all other documents in electronic or paper format.

In connection with maintaining files, Contractor personnel shall process all documents in accordance with established business processes, utilizing case management systems customized for such purposes.

The Center's business processes include the processing of incoming documents to maintain in an exacting and accurate manner a comprehensive docketing system in the case management systems. In some instances, where documents require safeguarding, the Contractor shall perform administrative safeguarding activities to prevent disclosure of data as required by the provisions of federal law, the Internal Revenue Code, PBGC directives, policies, procedures, and confidentiality agreements. The Contractor shall prepare and maintain files for all active and closed legal cases; shall maintain document-related logs of daily activities in the Center; shall retrieve hard copy documents from files or archives when requested by agency personnel; and shall track and aggregate files for archiving in an off-site facility.

The Contractor also shall execute special projects to improve the agency's record management program.

The Contractor shall develop standards for handling and prioritizing special projects assigned by OGC staff. Such projects could include activities in support of an inventory of existing records; aggregating and reporting data from daily, computerized document-related reports; assisting in documenting procedures and processes in the Center; and periodically reviewing and retiring legal hard copy files in accordance with established retention schedules and guidelines issued by the National Archives and Record Administration. The Contractor shall inform the technical liaison from OGC of all special projects and the Contractor’s proposed handling and prioritizing of such special projects.

The Contractor shall draft a comprehensive Statement of Procedures (SOP) for its processing of documents in accordance with the requirements of this section C, and the Contractor shall provide the SOP to OGC within 15 days of award. The SOP shall include a high-level processing guide that summarizes the procedures. The Contractor shall cross-train its personnel so that each Contactor employee is familiar with the procedures and can perform all required functions.

4.2 Services Related to Mail in Electronic, Hard Copy and Facsimile Format

Measured monthly, the Center must be prepared to handle receipt of approximately 4,000 documents.

90% of the incoming documents are in electronic format. For each paper document received, including fax transmissions, Contractor personnel shall open and date-stamp the document; associate the document with an existing matter in the case management systems; code the document by completing a document entry screen; and scan each page of the document into multipage PDF files. The imaged document is delivered through the agency's e-mail system to the staff members assigned to the matter at issue. For documents which are delivered to OGC staff, data from the document entry screen combines with data from the particular matter to create a cover sheet for each document. That cover sheet is printed for each hard copy, incoming document and is attached to the incoming document for filing in the appropriate hard copy matter file.

Cover sheets are not generated for certain electronic documents, such as incoming bankruptcy-related documents.

All documents regardless of format shall be processed and delivered by electronic means to the appropriate staff on the day the documents are received. The Contractor shall complete uploading and indexing of hard copy documents within six hours of receipt. For documents which are delivered to OGC staff, on the same day that hard copy documents are received the Contractor shall deliver to all OGC staff who receive the electronic image of the document a hard copy of the printed cover sheet; this second copy of the cover sheet serves as notice of the e-mail message. For bankruptcy-related documents, no cover sheet is necessary. Envelopes are not distributed to attorneys nor included with documents in the files. The Contractor shall collect the envelopes in bulk, box them by date, and prepare these boxes for archiving at the off-site facility.

In connection with the receipt of paper documents, Contractor personnel shall have an array of other, associated responsibilities. When documents arrive that initiate new OGC matters, Contractor personnel shall prepare the necessary documentation to create a new master and associated matters before processing the incoming document. Contractor personnel shall coordinate the opening of new masters and new matters with appropriate OGC personnel. Contractor is not required to create new masters and matters when fax transmissions are received. Contractor personnel immediately shall advise staff by e-mail of the document; staff can retrieve the fax themselves or wait until the transmission can be retrieved and delivered by contractor personnel. Fax transmissions shall be processed, and the recipient notified within one hour of receipt. The Contractor shall print and distribute cover sheets daily to the appropriate OGC staff for each fax received. The Contractor also shall provide notice to the appropriate individual(s) within 20 minutes of receiving all fax transmissions.

Packages are received in the Center from the Workplace Solutions Department (WSD) or directly from messengers dispatched locally. Contractor personnel shall sign for each package received and shall record on a log the date and tracking number of all packages. As with the receipt of fax transmissions, the Contractor shall notify the appropriate staff member(s) immediately by e-mail that a package has arrived. The Contractor shall upload and index all documents in delivered packages within two hours of receipt.

Since October 2001, the federal and bankruptcy courts, including the District of Delaware and the Southern District of New York where the agency is involved in a large number of matters, have established case management/electronic case filing systems requiring parties to file and be served pleadings electronically. Therefore, in addition to the hard copy documents, the Center must be prepared to receive the bulk of the documents in electronic format from the federal courts.

The processing of electronic court documents requires different skills than the processing of hard copy documents. An e-mail with an electronic document attached is forwarded from the computer where all electronic mail is received to a workstation where the document can be processed. Each electronic document linked to an e-mail shall be opened, saved to a local drive in PDF format, associated with an existing matter in the case management systems, coded into a document entry window; and linked to an image in the case management systems.

Some of this process is automated. Today, e-mail messages received in the Center generally have a number of linked electronic documents; occasionally an e-mail can have over 20 or more linked documents. As the number of linked documents increases, processing each document becomes increasingly more difficult. All Contractor personnel shall be capable of processing electronic documents linked to e-mail messages.

The Center personnel shall re-assemble older, hard copy files into chronological order, code and scan those documents, associate the documents with a matter in the case management system, and process those matter files for archiving at the off-site facility.

The Contractor shall continue this work until it is completed or until instructed otherwise. Presently, the Center codes and scans an estimated 1,000 pages of old or orphaned documents a month. The Contractor’s SOP shall include procedures to have paper files shipped off-site within 10 days.

OGC is currently reevaluating its case management systems, and expects to implement a new, PBGC-customized and built case management system within the next year. The processing format for incoming electronic mail is expected to remain the same. The Contractor must be able to transition between case management systems smoothly and efficiently.

OGC often receives financial instruments such as checks and letters of credit. The Contractor shall process these documents, including maintaining custody of them for a time, prior to delivering them to OGC staff or PBGC’s financial operations department.

4.3 Administrative Duties

Contractor personnel shall respond promptly to miscellaneous inquires by any agency and appropriate contractor personnel in matters relating to the documents housed in the Center. The new case management system expected to go live within the next year will require Contractor personnel to interact with additional divisions within the agency seeking assistance or access to documents. Such inquiries can be received by telephone, e-mail, or in person. Contractor personnel shall ensure that the equipment housed in the Center operates in satisfactory manner and that minor maintenance chores such as loading paper, toner or similar supplies are completed success fully. When routine or emergency repair calls are required for the equipment, the Contractor shall initiate those calls and ensure that the equipment receives the attention and requisite repairs required. Contractor personnel shall assist other PBGC personnel in working on budget or planning items related to functions and activities in the Center and shall engage in periodic reviews of and provide periodic advice concerning business processes in the Center.

4.4 Project Management

The Center shall be managed using the following knowledge, capabilities, and skills:

a working knowledge of general legal processes and documentation sufficient to recognize time-sensitive matters and understand their context in legal proceedings to associate documents with particular matters and masters;

expertise in handling sensitive information, confidential documents, and privileged communications so that such information is handled and processed in accordance with all applicable agency and federal statutes, rules and regulations;

the managerial and supervisory skills and capabilities necessary to instruct and supervise a staff required to handle and process legal or other documents appropriately and engage in related support activities;

understanding all agency requirements associated with the receipt, docketing, distribution, archiving and other disposition of hard copy and electronic communications and providing associated services;

on-site supervision sufficient to ensure that contract tasks are executed effectively and efficiently on a daily basis; that Contractor personnel conduct themselves in accordance with agency regulations and respectable work-place behavior; and that interactions with all agency personnel are conducted courteously and respectfully;

the necessary guidelines which preclude Contractor personnel from using any information gathered on-site in any manner which is contrary to federal rules or regulations or which could be used to promote personal gain for the employee, other persons inside or outside the agency, or any company or other organization, and skills sufficient to construct and implement a series of reasonable measures to quantify workload and personnel productivity on a daily, weekly and/or monthly basis and to report such measurements to management as required.

The Center shall provide monthly status reports to the COR, providing data on documents processed, technical issues, and other relevant matters. The Center shall manage its activities in accordance with its Quality Control Plan.

4.5 Continuing Operations (COOP) Responsibilities

Under certain emergency or other circumstances which could preclude the use of PBGC office space at 445 12th Street NW, Washington, DC 20024-2101, the Contractor shall provide a team of people to work remotely from their residences.

The Contractor's Project Manager, or if absent, the Contractor's Communications Center Supervisor, will be contacted and advised of the need to make personnel available for remote work. At the end of the emergency or when office space is available at one the 445 12th St NW offices, the Contractor's Project Manager will be notified of the responsibility to have personnel report to the designated onsite office

4.6 General Miscellaneous

The Contractor shall perform any other related tasks or activities which may be necessary or required for maintaining the uninterrupted operation, management and long-term efficiency and effectiveness of the Communications Center and of any associated activities assigned or required by the Contracting Officer.

Hours of Operations

The PBGC Communication Center will be operated during normal business hours, 8:00am to 5:30pm, five days a week, excluding legal holidays.

Pandemic Influenza

In the event of a pandemic influenza, the Contractor shall conform its personnel and workplace policies and procedures to the agency's policies and procedures designed for such an eventuality unless otherwise instructed by the agency.

5. DELIVERABLES AND DELIVERY SCHEDULE.

Deliverable Due Date Deliverable Format / Recipient

Party Responsible

Deliver To:

1. Statement of Procedures (SOP) (Para 4.1)

Within fifteen (15) business days of award

Submitted via email in a PDF document

Contractor COR

2. High-level processing guide to SOP (Para. 4.1)

Within fifteen (15) business days of award

Submitted via email in a PDF document

Contractor COR

3. Quality Control Plan

(Para 4.4)

Within five (5) business days of award

Submitted via email Contractor COR

4. Monthly Reports)

(Para 4.4)

Within five (5) business days after the completion of each month

Submitted via email Contractor COR

6. GOVERNMENT-FURNISHED EQUIPMENT AND INFORMATION (GFE/GFI)

The Pension Benefit Guaranty Corporation (PBGC) will furnish an initial briefing to appropriate contractor personnel to provide background on corporation policies and procedures. The briefing will be conducted by qualified PBGC staff members who will also be available to the contractor on an ongoing basis for consultation and guidance as needed. The initial briefing will be held at 445 12th Street SW, Washington, DC 20024-2101. The briefing will be conducted within 30 days following contract award.

PBGC will furnish, at the COR's discretion, and to the extent available, copies of regulations, procedures, policies other materials, administrative support, and/or equipment necessary for the contractor to perform the work required by this contract.

7. PLACE OF PERFORMANCE.

Services shall be performed at PBGC Headquarters located at: 445 12th Street SW, Washington, DC 20024-2101.

Services shall be performed remotely upon approval of the COR.

8. PERIOD OF PERFORMANCE.

Base Year March 17, 2024 – March 16, 2025 Option Year 1 March 17, 2025 – March 16, 2026 Option Year 2 March 17, 2026 – March 16, 2027 Option Year 3 March 17, 2027 – March 16, 2028 Option Year 4 March 17, 2028 – March 16, 2029

9. KEY PERSONNEL

PBGC has identified key contractor positions responsible for performance of the services described in the Statement of Work for the duration of the resulting Task Order. These key contractor positions are identified below. Upon selection of the successful contractor and preparation of the contract, the contractor personnel proposed for these key contractor positions will be added to the Contract “Key Personnel” clause for inclusion into the Award:

1. Project Manager - TBD

2. Supervisor - TBD