Attachment_L-7_Work_Category_3.pdf

Sample “Order” for Work Category 3 - ATTACHMENT L-7

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SECTION I – STATEMENT OF WORK

Work Category 3: Mock Jury Support

C. STATEMENT OF WORK

C.1 Background

The Securities and Exchange Commission (SEC) is an independent federal agency charged with primary responsibility for enforcing the federal securities laws and regulating the securities industry, the nation’s stock and options exchanges, and other electronic securities markets in the United States. With its headquarters located in Washington, D.C., the agency’s functional responsibilities are organized into 5 Divisions and 16 Offices. The approximately 3,500 staff members are located in the Washington, D.C. area and 11 Regional Offices throughout the country.

The SEC is responsible for litigating actions to enforce the federal securities laws in federal district courts across the nation and administrative proceedings before the SEC.

The firm identifies and screens a pool of individuals to serve as mock jurors from the location where the trial will be held. The firm also provides a moderator who instructs the mock jurors about the role of the SEC and provides certain details about the case. SEC litigators then give a mock closing argument for the plaintiff and the defense. The moderator then obtains feedback from the jurors about the strength of the parties’ arguments, the presentations of the lawyers, and their overall impression of the case. The feedback is recorded on tape and/or in writing and provided to the SEC litigation team to assist in fine tuning their arguments for trial. The firm also assists with the preparation for voir dire (jury questioning) and jury selection, including attending during the jury selection portion of the trial.

C.2 Objectives

The objective of this requirement is to obtain the services of a consulting firm that conducts feedback forums and mock jury sessions for trial lawyers and that can assist with jury selection and voir dire (jury questioning).

C.3 Scope

The contractor shall provide the SEC litigation team with comprehensive assistance on communicating their case information to the Jury through Jury Research Support Services that will conduct feedback forums and mock jury sessions. The contractor will also assist the SEC with voir dire and jury selection, including attending the jury selection portion of the trial.

The tasks to be performed include the following activities:

3.1 Conduct feedback forums and mock jury sessions for trial lawyers, and assist

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with voir dire (jury questioning) and jury selection before trial.

3.2 Identify and screen a pool of mock jurors from the area where the trial will be held that will serve as our mock jury.

3.3 Review the candidates and select 1-3 panels of between 10-15 people for the feedback forum/ mock jury. Multiple panels will require multiple qualified individual consultants – approximately one consultant per panel.

3.4 Prior to the mock jury exercise, learn the case through discussion with the SEC lawyers and by reading the pleadings and any summary judgment papers.

3.5 Locate and arrange for a facility for the mock jury exercise located where the trial will take place, facilitate audio and video equipment for the lawyers’ presentations (PPT and video depositions), one observation room for each panel, and meals.

3.6 Schedule the exercise for a time that fits the SEC lawyers’ schedules and the SEC’s trial preparation schedule, including during non-regular business hours (e.g., evenings and weekends.)

3.7 Obtain Non-Disclosure Agreements (NDAs) from all mock jurors.

3.8 Screen the mock juror candidates for potential conflicts.

3.9 Select the mock jurors to replicate the locality and demographic traits from which real jurors will be selected.

3.10 Under guidance from SEC lawyers, prepare shortened jury instructions and a verdict form for the mock jurors to use in their deliberations.

3.11 Anonymously and in writing, poll the mock jurors and solicit written comments after several agreed-upon points in the exercise, including at minimum after a neutral introduction to the case, the SEC opening/closing, the defense opening/closing, and the SEC rebuttal.

3.12 Provide a neutral introduction to the mock jurors, after which the opening/losing will be delivered to all the mock jurors assembled for the session (may include several panels aggregated into one group.)

3.13 After the opening/ closing, divide the whole group of mock jurors into 2 to 3 panels of 10-15. Panels should reflect a demographic balance and opinion balance based on the jurors’ written answers from the opening/closing portion of the exercise.

3.14 After brief instructions, facilitate unguided deliberations for each panel; observe from an adjoining room without involvement by the SEC lawyers and consultants;

instruct each panel to reach a unanimous verdict if at all possible. Provide each panel with the jury instructions and verdict form.

3.15 After the deliberations, question each panel to learn more about their reactions to the SEC and defense arguments.

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Mock Jury Consultant requirements: Significant experience in jury consulting on complex cases and law enforcement cases. Each individual consultant shall have an advanced degree in a relevant field (e.g., psychology) with a minimum of 2 years of experience or a minimum of 7 years of experience as a trial lawyer.

For proposal pricing purposes, Offerors should estimate five (5) mock juries in the vicinity of the locations listed below and provide a facility for the required locations to conduct the exercise accordingly.

Location* Mock Jury Facility Provided By SEC Atlanta Regional Office Contractor SEC Los Angeles Regional Office Contractor SEC New York Regional Office Government SEC Miami Regional Office Government SEC Home Office - Washington, DC Contractor

*See Section F for location details.

D. DELIVERABLES

Section Deliverable Due Date

3.1 Conduct feedback forum Within seven (7) days after

Task Order issuance

3.2 Identify, screen, and select mock jury Three (3) days after Task Order issuance

3.1 Written report on feedback forum documenting

the results of the polls taken during the exercise, the demographics of the mock jurors, assessment of the jurors’ reaction to the parties’ facts and arguments, and assessment of the jurors’ answers to key questions presented by the case. The report must assist the SEC lawyers in assessing the persuasiveness of relevant facts and arguments, juror types who appear favorably or unfavorably disposed to the SEC case, and juror attitudes to such matters as the SEC, the government, the violations alleged in the case, and the securities industry.

Seven (7) days after feedback forum

3.2 Mock trial digital video recording of the forum

and written analytical report

Three (3) days after feedback forum

3.11 Assist with juror questionnaire and voir dire During feedback forum

E. PERIOD OF PERFORMANCE

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CLIN Period of Performance

0001 Date of Award through Six (6) Months

F. PLACE OF PERFORMANCE

The work will be performed in the vicinity of the following five locations, one (1) mock jury per location:

Home Office (HO) 100 F Street, NE Washington, DC 20549 Atlanta Regional Office (ARO) 950 East Paces Ferry, N.E., Ste 900 Atlanta, GA 30326-1382 Los Angeles Regional Office

(LARO)

5670 Wilshire Boulevard, 11th Floor Los Angeles, CA 90036-3648 New York Regional Office (NYRO) Brookfield Place, 200 Vesey Street, Suite 400 New York, NY 10281-1022 Miami Regional Office (MIRO) 801 Brickell Ave., Suite 1800 Miami, FL 33131

G. TYPE OF ORDER

This is a Firm-Fixed-Price Task Order.