Attachment_L-5_Work_Category_1.pdf

Sample “Order” for Work Category 1 - ATTACHMENT L-5

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SECTION I – STATEMENT OF WORK

Work Category 1: Legal Support - Home Office and Regional Offices

C. STATEMENT OF WORK

C.1 Background

The U.S. Securities and Exchange Commission’s (SEC) mission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. The SEC’s Office of Compliance Investigations and Examination (OCIE) and Division of Enforcement utilize a variety of data that contain current, historical and futures information about sensitive public company data, mutual fund data, trade and quote data, to name a few examples.

OCIE administers the SEC's nationwide examination and inspection program. Examiners conduct examinations of the nation's registered entities, including broker-dealers, transfer agents, investment advisers, investment companies, the national securities exchanges, clearing agencies, self-regulatory organizations (SROs) such as the Financial Industry Regulatory Authority ("FINRA") and the Municipal Securities Rulemaking Board, and the Public Company Accounting Oversight Board ("PCAOB"). During examinations, OCIE will determine whether the firm is conducting its activities in accordance with the federal securities laws and rules adopted under these laws (including, where applicable, the rules of self-regulatory organizations subject to the SEC’s oversight); adhering to the disclosures it has made to investors; and implementing supervisory systems and/or compliance policies and procedures that ensure that the firm’s operations are in compliance with the law.

The Division of Enforcement conducts investigations into possible violations of the federal securities laws, and prosecutes the Commission's civil suits in the federal courts as well as its administrative proceedings.

C.2 Objectives

The objective of this requirement is to obtain SEC-wide, non-personal professional legal support services and products to support the mission requirements of the SEC. The primary users of these services are expected to be the Division of Enforcement and the Office of Compliance Inspections and Examinations, 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 11 Regional Offices.

C.3 Scope

The Contractor shall provide OCIE and the Division of Enforcement with legal support services, including investigation and litigation support and specialized professional services.

Historically, the OCIE and Division of Enforcement work in the SEC Home Office and Regional Offices has been performed with the following annual mix and quantities of professional services:

http://www.sec.gov/about/offices/ocie.shtml http://www.sec.gov/divisions/enforce.shtml

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Table 3.1

LOCATIONS*

LABOR CATEGORY

H O

A R

B

C H

D

F W

L A

M I

N Y

P

S F

S

R O

TOTAL HOME and

REGIONAL

OFFICES

QUANTITIES

Accounting Technician 1 1 - - - - - - - - - - 2 Auditor 1 - - - - - - 1 - - - - 2 Document Management Technician 11 2 - - - - 3 - 6 1 - - 23 Financial Analyst 1 - 1 - - - - - - - - - 2 Forensic Technician - - - - 1 - - 1 - - - - 2 Fraud Analyst 2 - 2 - - - - 1 1 - - - 6 Industry Consultant 1 - - - - - - - - - - 1 Law Clerk I 2 1 - - - 2 - - - - - - 5 Law Clerk II 2 - - - - - - - - - - - 2 Paralegal Bilingual - - - - - - - 1 - - - - 1 Paralegal 25 4 7 1 4 - 7 2 18 2 4 2 76 Senior Paralegal 13 4 2 5 1 2 4 3 1 2 1 38 TOTAL by HO/RO 58 13 12 6 6 4 14 9 26 5 5 2 160

*See Section F for location details.

D. DELIVERABLES

Deliverable Delivery Timeline Deliver To Delivery Schedule

Task Reporting

After tasks are assigned Contracting Officer (CO), Contracting Officer’s Representative

(COR)

Weekly

Ad Hoc Reports

The Contractor shall be responsible for reporting progress on each task and subtask for each case and project it is working on.

Examples include data processing status reports, task reports, progress reports, monthly narratives of accomplishments, Task Order funding and expenditures, invoices outstanding, balance and burn rate status

CO, COR As required by either the CO or COR.

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reports, and Contractor Personnel information such as labor categories, tasks assigned, dates on-board at the SEC and dates departed from the SEC. Reports required for individual cases, matters, and projects will vary with the needs of the case, matter, and project. The Contractor shall modify all reports to accommodate the needs of the individual cases, matters, and projects. The Contractor should note that numerous specialized reports may be required, particularly on large and complex 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.

Quality Control (QC) Plan

20 days after Task Order award 10 days prior to updates

CO, COR Once after award Once after each update to the QC Plan.

Contractor Personnel Telework Report

During any time in which teleworking is authorized by the SEC, the Contractor shall submit a monthly telework report naming the Contractor Personnel performing telework, dates and times of telework, and list the work performed during telework.

COR Weekly

Summary Report: Single Projects

The Contractor shall submit a summary report for single projects containing a history of the project(s), important statistics for each project, operational lessons learned from the project(s), and recommendations for improving its own contribution to future projects.

COR At the completion of a project, a Task Order, or a series of Task Orders.

Summary Report: Long- Term Projects

The Contractor shall submit a summary report containing a history of the project(s), important statistics for each project, operational lessons learned from the project(s), and recommendations for improving its own contribution to future

COR As required by the

COR.

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projects. In addition, a more detailed project evaluation report shall be provided when requested by the COR.

Non- Disclosure Agreement

Prior to Contractor Personnel work on SEC projects.

COR At time of Task Order award or when Contractor Personnel is identified.

Contractor Employee Conflict of Interest

The Contractor shall notify the SEC of potential conflicts of interests such as the Contractor Personnel or their family and friends currently or formerly working with opposing counsel.

Prior to assigning work to a Contractor Personnel, the Contractor will ensure no Conflicts of Interest are involved.

CO, COR As conflicts of interest arise.

Personnel Security Clearance Packages

By 30 days of Task Order award and within 3 business days of Contractor Personnel identification.

SEC Personnel Security Office

As required.

Reports Relating to Funding

During Task Order performance. COR 5 business days after COR’s request.

Reports Relating to Government Furnished Property

During Task Order performance. COR Monthly

Notice of Contractor Initiated Personnel Reassignment

At least 30 days prior to reassignment.

COR Before each incident of Contractor Personnel reassignment

Written Appointment of Contractor Program Management and Alternate Contractor Program Management

Within 5 business days of IDIQ/Task Order award and changes to the Program Manager/Alternate Program Manager.

CO, COR At IDIQ award and for each Task Order award.

Five business days in advance of personnel changes.

SEC Form

No later than close-of-business on the Contractor Personnel’s last day in SEC spaces.

SEC Office of Records Management, COR

After each incident of Contractor Personnel’s departing.

Annual SEC Collected automatically by SEC’s As designated Annually

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Information Technology Training

Office of Information Technology. by SEC’s Office of Information Technology

SEC

Information Technology “Rules of the Road”

Prior to Contractor Personnel start performance on SEC projects.

As designated by SEC’s Office of Information Technology

As required by the SEC’s Office of Information Technology.

Return of SEC Badges

No later than close-of-business on the Contractor Personnel’s last day in SEC spaces.

SEC Personnel Security Office

After each incident of Contractor Personnel’s departing.

Reports Relating to Personnel Security

By 30 days of Task Order award.

COR Monthly

E. PERIOD OF PERFORMANCE

CLIN Period of Performance 0001 Base Period – date of award through six (6) months 0002 Base Period – ODCs: Travel reimbursement (Not-To-Exceed $50,000) 0003 Base Period – ODCs: Reimbursement of Expenses (Not-To-Exceed $2,500) 0004 Option Period 1 – date of effective option exercise through six (6) months 0005 Option Period 1 – ODCs: Travel reimbursement (Not-To-Exceed $50,000) 0006 Option Period 1 – ODCs: Reimbursement of Expenses (Not-To-Exceed $2,500) 0007 Option Period 2 – date of effective option exercise through one (1) year 0008 Option Period 2 – ODCs: Travel reimbursement (Not-To-Exceed $50,000) 0009 Option Period 2 – ODCs: Reimbursement of Expenses (Not-To-Exceed $2,500) 0010 Option Period 3 – date of effective option exercise through one (1) year 0011 Option Period 3 – ODCs: Travel reimbursement (Not-To-Exceed $50,000) 0012 Option Period 3 – ODCs: Reimbursement of Expenses (Not-To-Exceed $2,500) 0013 Option Period 4 – date of effective option exercise through one (1) year 0014 Option Period 4 – ODCs: Travel reimbursement (Not-To-Exceed $50,000) 0015 Option Period 4 – ODCs: Reimbursement of Expenses (Not-To-Exceed $2,500) 0016 Option Period 5 – date of effective option exercise through one (1) year 0017 Option Period 5 – ODCs: Travel reimbursement (Not-To-Exceed $50,000) 0018 Option Period 5 – ODCs: Reimbursement of Expenses (Not-To-Exceed $2,500)

F. PLACE OF PERFORMANCE

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The work will be performed at the SEC’s Home Office in Washington, DC and at the SEC’s 11 Regional Offices throughout the continental US.

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

Los Angeles Regional Office (LARO) 5670 Wilshire Boulevard, 11th Floor Los Angeles, CA 90036-3648

Atlanta Regional Office (ARO) 950 East Paces Ferry, N.E., Ste 900 Atlanta, GA 30326-1382

Miami Regional Office (MIRO) 801 Brickell Ave., Suite 1800 Miami, FL 33131

Boston Regional Office (BRO) 33 Arch Street, 23rd Floor Boston, MA 02110-1424

New York Regional Office (NYRO) Brookfield Place, 200 Vesey Street, Suite 400 New York, NY 10281-1022

Chicago Regional Office (CHRO) 175 W. Jackson Boulevard, Suite 900 Chicago, IL 60604

Philadelphia Regional Office (PLRO) The Mellon Independence Center 701 Market Street Philadelphia, PA 19106-1532

Denver Regional Office (DRO) 1961 Stout Street, Suite 1700 Denver, CO 80294-1961

San Francisco Regional Office

(SFRO)

44 Montgomery Street, Suite 2800 San Francisco, CA 94104

Fort Worth Regional Office

(FWRO)

Burnett Plaza, Suite 1900 801 Cherry Street, Unit 18 Fort Worth, TX 76102

Salt Lake Regional Office (SLRO) 15 W. South Temple Street, Suite 1800 Salt Lake City, UT 84101

G. TYPE OF ORDER

This is a Time and Materials Task Order.

H. TRAVEL

It is anticipated that long distance travel will be on a not-to-exceed basis.

Local travel will not be reimbursed. However, in the event travel is required, all travel shall be in accordance with Federal Travel Regulations (FTR) and approved in advance by the COR. Additionally, costs for transportation, lodging, meals, and incidental expenses must be coordinated and approved in advance by the COR. Submit cost breakdown electronically to the COR. (1) Costs incurred by contractor personnel on official company business are allowable, subject to the limitation contained in FAR Part 31.205-46. Government per diem rates can be found on the website at www.gsa.gov. The ability to perform unscheduled travel is contingent upon Government approval and will only be used to address travel needs as they occur.

I. Other Direct Costs http://www.gsa.gov/

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It is anticipated that other direct costs may be included for incidental expenses.

J. GOVERNMENT FURNISHED INFORMATION/PROPERTY

The government will provide office space, and/or access to necessary telecommunications and computer equipment for the support services work that is to be performed on-site. The Contractor will not have a due diligence event to evaluate the government furnished property or information prior to award. The government will make meeting rooms available when required.

The Contractor is responsible for adequate care and safekeeping of all Government Furnished Property, including inventorying, tracking and reporting, etc. The Contractor shall reimburse the SEC for any Government Furnished Property, Equipment, or Materials lost or stolen while in the Contractor's safekeeping. The Contractor shall use the SEC’s Property Management regulation to obtain approval to remove SEC property from SEC facilities, and to track SEC property until it is returned to SEC custody.

K. DRESS CODE

Business attire is required when contractor personnel are on-site.