SECHQ1-15-R-0012_Amendment_0002.pdf

SECHQ1-15-R-0012

SECTION B – SUPPLIES OR SERVICES AND PRICES / COSTS

Note to Offerors: Provide a Labor Hour (LH) quote that includes labor categories and rates for each LH CLIN (CLIN’s 0001 through 4001). See Section L.5 on for complete instructions on preparing your price quotes.

On-site and Off-site Hourly Rates should be based on a Full-Time Equivalent (FTE) with 1,920 hours.

Offerors must submit pricing by completing Attachment 14– Pricing Sheet. Failure to complete the Pricing Sheet will result in exclusion of Offeror for consideration of award.

Note: quantities for CLIN 0002, 1002, 2002, 3002, and 4002 will be measured by the size of the compressed input file provided by the SEC.

Year 1 Labor Hour CLIN 0001 (Tasks 1, 2, 4, 5, 6, 7, 8, 9, 10, 11, and 3 sub-tasks Bates matching and online unitization)

CLIN Description Estimated Hours per Month

Labor Hour

Estimated Cost

0001A 0001B 0001C

Program Management Task Project Manager Labor Categories to be proposed by the contractor

TBD

TBD TBD

CLIN 0002 (Task 3)

CLIN Description U/I Quantity Unit Price

Total Price

0002A Electronic Document Discovery (EDD) with TIFF image creation. Priced on a fixed unit price per GB of compressed input file size.

GB 300

0002AA Requests up to 500 MB in size GB 75 TBD $TBD

0002AB Requests larger than 500 MB up to 5 GB GB 75 TBD $TBD

0002AC Requests larger than 5 GB GB 150 TBD $TBD

0002B

Electronic Document Discovery (EDD) with metadata and text extraction, but without TIFF image creation. Priced on a fixed unit price per GB of compressed input file size.

GB

9,000

0002BA Requests up to 20 GB in size GB 300 TBD $TBD

0002BB Requests 20 GB or larger GB 8,700 TBD $TBD

0002C Optical Character Recognition (OCR) processing. Priced on a fixed unit price per GB of compressed input file size.

GB 1,000

TBD $TBD

0002D Electronic Endorsement (Task 4). Priced on a fixed price per page

Page 2,500,000 TBD $TBD

Other Direct and Reimbursable Costs

0003 Tools LOT NTE $TBD

0004 Travel LOT NTE $TBD

0005 ODC LOT NTE $TBD

Year 2 Labor Hour CLIN 1001 (Tasks 1, 2, 4, 5, 6, 7, 8, 9, 10, 11, and 3 sub-tasks Bates matching and online unitization)

CLIN Description Estimated Hours per Month

Labor

1001A 1001B 1001C

Program Management Task Project Manager

CLIN 1002 (Task 3)

CLIN Description Unit

1002A Electronic Document Discovery (EDD) with TIFF image creation. Priced on a fixed unit price per GB of compressed input file size.

GB

TBD $TBD

1002AA Requests up to 500 MB in size GB 75 TBD $TBD

1002AB Requests larger than 500 MB up to 5 GB GB 75 TBD $TBD

1002AC Requests larger than 5 GB GB 150 TBD $TBD

1002B

Electronic Document Discovery (EDD) with metadata and text extraction, but without TIFF image creation. Priced on a fixed unit price per GB of compressed input file size.

TBD $TBD

1002BA Requests up to 20 GB in size GB 300 TBD $TBD

1002BB Requests 20 GB or larger GB 8,700 TBD $TBD

1002C Optical Character Recognition (OCR) processing. Priced on a fixed unit price per GB basis of compressed input file size

GB 1,000

TBD $TBD

1002D Electronic Endorsement (Task 4). Priced on a fixed unit price per page

1003 Tools LOT NTE $TBD

1004 Travel LOT NTE $TBD

1005 ODC LOT NTE $TBD

Year 3 Labor Hour CLIN 2001 (Tasks 1, 2, 4, 5, 6, 7, 8, 9, 10, 11, and 3 sub-tasks Bates matching and online unitization)

CLIN Description Estimated Hours per Month

Labor

2001A 2001B 2001C

Program Management Task Project Manager

CLIN 2002 (Task 3)

2002A Electronic Document Discovery (EDD) with TIFF image creation. Priced on a fixed unit price per GB of compressed input file size.

GB

TBD $TBD

2002AA Requests up to 500 MB in size GB 75 TBD $TBD

2002AB Requests larger than 500 MB up to 5 GB GB 75 TBD $TBD

2002AC Requests larger than 5 GB GB 150 TBD $TBD

2002B

Electronic Document Discovery (EDD) with metadata and text extraction, but without TIFF image creation. Priced on a fixed unit price

2002BA Requests up to 20 GB in size GB 300 TBD $TBD

2002BB Requests 20 GB or larger GB 8,700 TBD $TBD

2002C Optical Character Recognition (OCR) processing. Priced on a fixed unit price per GB basis of compressed input file size

GB 1,000

TBD $TBD

2002D Electronic Endorsement (Task 4). Priced on a

2003 Tools LOT NTE $TBD

2004 Travel LOT NTE $TBD

2005 ODC LOT NTE $TBD

Year 4 Labor Hour CLIN 3001 (Tasks 1, 2, 4, 5, 6, 7, 8, 9, 10, 11, and 3 sub-tasks Bates matching and online unitization)

CLIN Description Estimated Hours per Month

Labor

3001A 3001B 3001C

Program Management Task Project Manager

CLIN 3002 (Task 3)

3002A Electronic Document Discovery (EDD) with TIFF image creation. Priced on a fixed unit price per GB of compressed input file size.

GB

TBD $TBD

3002AA Requests up to 500 MB in size GB 75 TBD $TBD

3002AB Requests larger than 500 MB up to 5 GB GB 75 TBD $TBD

3002AC Requests larger than 5 GB GB 150 TBD $TBD

3002B

Electronic Document Discovery (EDD) with metadata and text extraction, but without TIFF image creation. Priced on a fixed unit price

3002BA Requests up to 20 GB in size GB 300 TBD $TBD

3002BB Requests 20 GB or larger GB 8,700 TBD $TBD

3002C Optical Character Recognition (OCR) processing. Priced on a fixed unit price per GB basis of compressed input file size

GB 1,000

TBD $TBD

3002D Electronic Endorsement (Task 4). Priced on a

3003 Tools LOT NTE $TBD

3004 Travel LOT NTE $TBD

3005 ODC LOT NTE $TBD

Year 5 Labor Hour CLIN 4001 (Tasks 1, 2, 4, 5, 6, 7, 8, 9, 10, 11, and 3 sub-tasks Bates matching and online unitization)

CLIN Description Estimated Hours per Month

Labor

4001A 4001B 4001C

Program Management Task Project Manager

CLIN 4002 (Task 3)

4002A Electronic Document Discovery (EDD) with TIFF image creation. Priced on a fixed unit price per GB of compressed input file size.

GB

TBD $TBD

4002AA Requests up to 500 MB in size GB 75 TBD $TBD

4002AB Requests larger than 500 MB up to 5 GB GB 75 TBD $TBD

4002AC Requests larger than 5 GB GB 150 TBD $TBD

4002B

Electronic Document Discovery (EDD) with metadata and text extraction, but without TIFF image creation. Priced on a fixed unit price

4002BA Requests up to 20 GB in size GB 300 TBD $TBD

4002BB Requests 20 GB or larger GB 8,700 TBD $TBD

4002C Optical Character Recognition (OCR) processing. Priced on a fixed unit price per GB basis of compressed input file size

GB 1,000

TBD $TBD

4002D Electronic Endorsement (Task 4). Priced on a

4003 Tools LOT NTE $TBD

4004 Travel LOT NTE $TBD

4005 ODC LOT NTE $TBD

SECTION C - DESCRIPTION/SPECIFICATIONS/STATEMENT OF WORK

C.1 PURPOSE

The purpose of this procurement is to support the Securities and Exchange Commission (SEC) efforts to collect, receive, process, and store paper and electronic submissions from Federal securities inspections, examinations, investigations, and litigation.

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.

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.3 – Scope, Section C.4 - Tasks), or evaluation of a Federal employee, or

(ii) be placed in a position of command, supervision, administration or control over Government personnel.

C.2 BACKGROUND

The SEC is an independent Federal agency established pursuant to the Securities Exchange Act of 1934. It is headed by a bipartisan five-member commission consisting of the chairman and four commissioners who are appointed by the President and confirmed by the Senate. The SEC is organized into four main divisions, i.e.

Corporation Finance, Market Regulation, Investment Management, and Enforcement (ENF). The SEC Divisions of Market Regulation, Investment Management, and Corporation Finance, and the Office of Compliance Investigations and Examinations regulate the securities industry. These organizations collect information during inspections and examinations, and receive filings and other information from regulated entities. For archival purposes, cross-referencing, reuse, information sharing, and other analysis, the SEC loads the documents into a repository.

Document collections arrive on electronic media, and may need to be converted or processed before it is loaded into the repository. Other documents come in paper format, which must be imaged and loaded into SEC systems.

The Division of Enforcement was created in August 1972 to consolidate enforcement activities that previously had been handled by the various operating divisions at the Commission's headquarters in Washington. The Securities and Exchange Commission (SEC) Division of Enforcement (ENF) staff has the primary responsibility to enforce Federal Securities Laws. They conduct investigations into possible violations of the Federal securities laws, and prosecute the Commission's civil suits in the Federal courts as well as its administrative proceedings.

The ENF has about 1,200 employees, with about 400 located in the Washington DC area and 600 distributed nationwide among SEC's 11 Regional Offices. ENF staff investigates potential violations of Federal securities laws.

As necessary, ENF staff litigates cases that are not settled in the course of an investigation. About 1,100 cases are initiated each year, and each case generates a file of various kinds of associated records. ENF obtains leads of possible violations of the securities laws from many sources, including its own surveillance activities, other Divisions of the SEC, the self-regulatory organizations and other securities industry sources, press reports, and investor complaints. Paper and electronic documents received by ENF are considered evidentiary material, some documents are used in litigation, and Federal rules of civil procedure apply to the way the documents are handled and processed. ENF cases may remain active for more than 10 years.

The Office of Compliance Inspections and Examinations ("OCIE") began operating on May 1, 1995. By creating OCIE, the Commission consolidated into one office the examination and inspection programs authorized by the Securities Exchange Act of 1934 ("34/Act"), the Investment Advisers Act of 1940 and the Investment Company Act of 1940 (collectively the "40 Acts"). The authority to carry out these examination programs was previously divided between the Divisions of Market Regulation and Investment Management. The Commission created OCIE to streamline the exam process by consolidating the management of the programs, reducing duplication, and improving coordination with the regional office exam staff and with other regulatory agencies. Fundamentally, OCIEs mission is to conduct and coordinate the nationwide examination program for entities over which the Commission has regulatory authority.

The OCIE has about 891 employees, with about 155 located in the Washington, DC area and 736 distributed nationwide among SEC's 11 Regional Offices. The OCIE staff visits the offices of regulated entities, interviews management, reviews documents, and analyzes the entity's operations. Where examiners identify failures by a regulated entity to comply with securities laws, the violation may relate to any of a broad range of issues from record-keeping to misrepresentations or other sales practice abuses. Most of the problems identified by the examination staff result in deficiency letters being issued to the registrant that identify the problems the staff found and require the registrant to correct the deficiency. Where the violations found are serious, such as when investor funds or securities are at risk, the examination staff may refer the matter to the Division of Enforcement to consider whether an investigation and possible enforcement action are appropriate.

C.2.1 Division of Enforcement Process

The ENF investigation and litigation support work flow process is depicted in the diagram below. In response to subpoenas, ENF receives paper materials and electronic submissions in various forms, including various digital media, emails and attachments. Processes include: "Metadata and Text Extraction", “OCR of TIFF Images”, “Create TIFF Images”, and “Online Unitization." A separate document imaging Contractor provides the “Imaging Services” in the “Hardcopy Evidence” line. Other separate contracts provide “Data Copy” and “Data Load” services, and perform independent quality control of the entire process. In addition, the Contractor shall address the linkages and interfaces with other current and proposed electronic document processes shown on the flow diagram.

ENF currently uses Recommind for all new cases and "Concordance" litigation support software (from LexisNexis) to access legacy databases. The cases are maintained on multiple litigation support servers at the SEC's Washington, DC office and data center. Scanned documents are captured and Optical Character Recognition (OCR) converted.

C.2.2 Current Information Technology Environment

ENF currently uses Recommind Axcelerate litigation support software as the primary repository for document collections. ENF currently uses Concordance litigation support software (from LexisNexis) as a legacy repository for older cases. The Concordance databases are maintained on multiple litigation support servers at SEC's Washington, DC office and at each Regional office.

The SEC has primary and alternate data centers. The servers and storage in the primary data center are replicated at the alternate site. Recommind Axcelerate is operated on many virtual servers connected to over 300 terabytes (TB) of storage capacity on SAN and NAS devices. For Concordance there are eleven (11) servers connected to over 100 terabytes (TB) of storage capacity on NAS devices. Electronic discovery consumes an additional 7-9 TB each month.

There are approximately 300 Recommind users at the SEC Headquarters. Additionally, there are approximately 500 Recommind users in eleven SEC Regional Offices nationwide. As Recommind is deployed to OCIE, the number of Recommind users will increase to approximately 2,000 SEC staff.

The SEC uses the EnCase product from Guidance Software as an IT Forensics tool. Electronic evidence in the form of an EnCase e01 image file is denisted and then processed for metadata and text extraction. The results of processing are then loaded into the litigation support repository.

Data copiers and database loaders working on-site at SEC Headquarters have about 65 Dell 755/980 workstations to use. The electronic productions group has a Microsoft Windows server and 4 TB local RAID array for collecting, manipulating, and temporarily storing SEC productions. IT Forensics, electronic productions, database migration, and centralized production unit groups have additional SEC provided workstations. An independent quality control group uses 20 Dell 755/980 workstations for their work.

C.3 SCOPE

In support of the SEC, the scope of this performance-based blanket purchase agreement is to provide data/document conversion/migration; receipt and logging of productions; litigation support database loading; Electronic File Processing (EFP) or Electronic Document Discovery (EDD); documentation production for litigation support; eD2.0 system administration support; records management support; and IT forensics support. The contractor shall collect and analyze electronic evidence in the document discovery process, document and present findings impartially, and objectively analyze such findings in a legal environment using SEC-approved tools, procedures, and techniques developed by the ENF Information Technology (IT) Forensics program. The contractor shall support this effort at either the Government’s site or their own depending on the task area. The contractor shall travel to case sites in support of Forensics gathering and analysis.

The SEC has an increasing workload of requests for documents to be processed and to be produced electronically as well as an increasing IT Forensics case load. Several large cases require support where producing the documents in paper form is not feasible. The contractor shall perform computer forensic tasks with due diligence consistent with Federal law and SEC standards and procedures.

The contractor shall work with other SEC contractors who are providing imaging, electronic file processing, independent quality control, and litigation support software to the SEC. The contractor shall work with other SEC contractors who are performing task orders under this IDIQ contract. The SEC has separate contract vehicles for imaging paper documents and creating structured load files. The structured load file deliverables from other contractors will become input to this contract’s database loading work. The SEC receives electronic data in a variety of formats from a variety of sources, including contractors. The contractors for this contract may receive electronic data for further processing from any of these sources. To assist in verifying the quality and consistency of litigation support databases used by the SEC staff, the SEC has an independent contract for quality control, including checking Recommind and Concordance databases against the original paper documents and electronic media.

Contractor personnel, particularly those performing forensic services, will not have ability, discretion or authority to determine investigation/litigation targets or strategy.

C.4 TASKS

The contractor shall provide the support described in the following integrated functional task areas. The contractor shall use the Box, Document, and Media Tracking (BDMT) system provided by the SEC to track and to monitor the status of requests. The contractor shall use a Microsoft Access database system to record, track and report on additional information that is not captured in BDMT. When the BDMT system is replaced by an Evidence Tracking System (ETS), the contractor shall use ETS provided by the SEC to track and to monitor the status of requests.

Task 1 - Program Management Support

Task 2 - Receipt and Logging of Productions

Task 3 - Electronic Document Discovery (EDD) o Sub-Task - Optical Character Recognition (OCR) Processing o Sub-Task - Electronic Endorsement o Sub-Task - Bates Number Matching o Sub-Task - Online Unitization

Task 4 - Database Loading and EDD Processing within eD2.0/eD2.1

Task 5 - Data and Database Migration

Task 6 - eD2.0/eD2.1 System Administration

Task 7 - Electronic Discovery Analysis

Task 8 - Creating SEC Productions

Task 9 - Records Management

Task 10 - Computer Forensics

Task 11 - Data Conversion and Data Programming

C.4.1 Task 1 - Program Management Support

The contractor shall provide all necessary personnel, administrative, financial, and managerial resources necessary for the support of this contract. The contractor shall use proven methodologies that assure that all activities are identified, documented, and tracked so that the resultant contract will continuously be evaluated and monitored for timely and quality service. Should the contractor encounter any technical, financial, personnel, or general managerial problems throughout the period of performance, the contractor shall immediately contact the Contracting Officer’s Representative (COR). The contractor shall ensure all staff comply with SEC personnel and IT security requirements and with Rules of the Road currently Version 7.0), see Section J, Attachments 1-5. The contractor shall ensure all staff complete SEC required periodic security and safety training. The contractor shall perform the following management activities and deliver the following plans and reports.

C.4.1.1 Program Management Plan (PMP)

The contractor shall develop and deliver a Draft and Final PMP that is based on the contractor’s proposed solution and provide all work products to the COR for review and approval. The contractor shall provide PMP Updates as changes occur, but at least annually. At a minimum this PMP shall include:

a. All technical activities (including documentation development) identified and organized at a level of detail sufficient for the contractor to manage the work at no less than at a week by week basis.

b. Action Item Log and procedures for tracking, reviewing and closing action items

c. All standards followed in support of these requirements

d. A planned level of effort (by labor category) for all elements of each task order

e. A matrix of all deliverables, their version/release, and planned delivery dates. This may be produced in part by reports from the BDMT or ETS system.

f. A matrix of all personnel assigned to the program and total aggregate level of effort for all tasks, including position, office location, security clearance status, and SEC computer equipment (if any).

g. Status of current and planned initiatives and programs

h. Task dependencies and interrelationships

i. Program organization

j. Contractor organizational structure

k. Process management and controls

l. Performance and quality processes and controls

m. Hardware and software utilized by the contractor in off-site work

n. Subcontracting plan, including scope and terms of all active subcontracts

o. Security plan for physical and computer security of off-site work

C.4.1.2 Monthly Status Reports

The contractor shall provide a Monthly Status Report (MSR) for COR review and approval that briefly summarizes, by task area, the management, and technical progress to date, as well as provides the information indicated below by task area. The contractor shall provide at a minimum the following information by calendar month:

a. Status of all activities/requirements by program

b. Progress against milestones and estimated cost

c. Deliverables submitted for the period

d. Name, rate, and total billed hours by individual

e. Travel costs

f. ODC costs

g. Total cost

h. Hours expended by labor category

i. Labor overhead

j. Subcontractor labor

k. Other subcontractor costs

l. Planned vs. actual hours

m. Planned vs. actual dollars using cost accounting

n. Deviations from planned expenditures

o. Summary of productivity results (See Section C.4.1.3 below) to include all items processed related to the EFP tasks

p. Charts of productivity and workload showing history and trends

q. Charts that address SLA’s related to various task

The contractor shall reconcile the MSR with each invoice such that they can be matched month by month.

C.4.1.3 Productivity Reports

At the request of the Government COR and in coordination with the contractor’s project manager, the contractor shall provide the Government with Productivity Reports. The contractor shall prepare weekly and monthly productivity reports as outlined in this section. Monthly productivity reports shall be a summarized roll-up of the weekly reports. At the request of the Government, the contractor shall provide the Government with Productivity Reports that address all tasks. The reports should also include the: number of each type of media received (e.g., CD, DVD, disk drive, tape); number of each type of media processed through conversion, EDD and OCR; number of each type of file processed (e.g., PDF, TIFF, PST, native files); and total size in Megabytes (MB) received and produced by type of media and type of file. The contractor may use the ETS system provided by the SEC, as available, to produce part for the reports.

The contractor shall prepare and deliver weekly reports in a spreadsheet format that show Electronic Document Discovery (EDD) and Optical Character Recognition (OCR) tasks separately. The contractor shall prepare and deliver weekly reports that answer the following questions:

What is in the pipeline to be processed?

What was delivered since the last report?

What is delayed, and why is it delayed?

What is the actual delivery time compared to the service level agreements (by task size)?

C.4.1.4 Technical Procedures and Documentation

The Contractor shall draft Standard Operating Procedures (SOP) for performing the tasks in this contract. The SOP’s will describe roles, responsibilities, workflow, management and tracking, steps to perform the task, and quality control procedures. All work will be done in compliance with applicable agency security rules and regulations and are further referenced in Section J Attachments.

The Contractor shall provide technical writing services to plan and document commercial off-the-shelf software projects and program office organizational change projects. The contractor shall draft Privacy Impact Assessments, System Security plans, Business Impact Analysis, Disaster Recovery plans, Standard Operating Procedures (SOP) and other documents required by the OIT life cycle management process. The contractor shall deliver the documents to the COR for review. The contractor shall incorporate feedback from the COR and shall deliver final versions of the documents with updates to the COR for review and approval. The contractor shall ensure that COR approved documents required for the Planning Phase Review and Production Readiness Review are submitted to the Configuration Management / Quality Assurance branch in time for the reviews to be conducted on schedule per the approved project schedule for software development or implementation projects. The contractor shall prepare Planning Phase and Production Readiness Review checklists and submit to COR for review and approval prior to implementation.

C.4.1.5 Transition

The contractor shall provide an incoming transition plan and an outgoing transition plan as described below.

a. Incoming Transition Plan: The contractor shall prepare and deliver Draft and Final versions of an Incoming

Transition Plan (See Section F) recommending the steps necessary to migrate from the existing Government and contractor operations for COR review and approval. The plan shall be defined in detail by specific task, deliverable, and milestone to ensure an orderly and complete transition. At a minimum the plan shall include the following:

1. Methodologies for transitioning and ensuring a seamless transition

2. An orientation phase and program to introduce Government personnel, programs, and users to the contractor's team, tools, methodologies, and business processes

3. Transition of requirements in the task order to include special projects

4. Methods for providing domain expertise

5. Change management issues to include methods of communicating to stakeholders

6. Resource requirements

7. Methodology for delivery of required metrics and statistics

8. Roles and responsibilities of Government and contractor personnel

9. Identification of risks and risk mitigation practices

10. Schedule

11. Proposing staffing and distribution

The contractor shall perform the transition activities under the direction of the contractor’s project manager based on the Government-approved Incoming Transition Plan.

b. Outgoing Transition Plan: The contractor shall provide an Outgoing Transition Plan for transitioning work from this contract to a follow-on effort. In accordance with the approved plan, the contractor shall assist the Government in planning and implementing a complete transition from the existing contract to the follow-on support provider. The contractor shall formally coordinate with the Government and incoming contractor staff and management; deliver copies of existing policies and procedures; deliver required metrics and statistics, and migrate databases (if required). The contractor shall ensure that this document is current with all changes that occurred throughout the life of the contract for COR review and approval.

C.4.1.6 Project Kickoff Meeting

The COR and the contractor’s project manager shall schedule and coordinate a Project Kick-Off Meeting at the SEC Headquarters. At a minimum, the attendees shall include key contractor personnel, key Government personnel, and the Contracting Officer’s Representative (COR). At a minimum the contractor shall discuss the following:

a. Schedule

b. Performance metrics

c. Security requirements

d. Government-furnished information

e. Monthly meeting dates

f. Reporting Requirements, e.g. Monthly Status report

g. Points of Contact

h. Roles and responsibilities

i. Task order transitioning process and timeframes

j. Prioritization of contractor activities

k. Quality surveillance

l. Initial deliverables

m. Forensics initiation procedures

n. Forensics investigations that must begin immediately

o. Invoicing procedures

The contractor shall prepare a Project Kick-off Agenda for COR review and approval that includes at a minimum the above referenced items.

C.4.2 Task 2 – Receipt and Logging of Productions

Productions may arrive as hard copy (paper) documents or as electronic documents. Electronic productions may be delivered on electronic media such as CDs, DVDs, thumb drives, hard drives (internal or external), via email, or by File Transfer Protocol (FTP). The Contractor shall follow the Centralized Production Unit (CPU) standard operating procedures. The Contractor shall check the designated CPU mailbox for productions. The Contractor shall monitor the shared CPU email account (ENF-CPU@sec.gov) for electronic productions under 10MB. The Contractor shall also monitor the FTP site for new productions arriving via FTP. The Contractor may also receive productions directly from the Litigation Support Specialists (LSS). Specifically, these productions will originate from staff, the SEC IT Forensics Laboratory (ITFL) or from the Office of International Affairs (OIA).

The Contractor shall log productions into the Evidence Tracking System (ETS). Each record in the database shall correspond to a single production. The Contractor shall analyze productions to determine what type(s) of processing are required. For example, the Contractor shall check productions to determine whether they contain delimited text files ready for data loading, or native files requiring processing and data loading. The Contractor shall deliver productions to other Contractors for processing or loading, and with approval of the COR shall deliver productions to an SEC point of contact in the SEC Headquarters or Regional Offices. The Contractor shall prepare logs and transmittal sheets for media transferred to Enforcement Records Management. The SEC estimates there will be up to 3,000 productions to receive and log each month.

The Contractor shall provide receipt and logging support from 7:00 AM EDT through 9:00 PM EDT on Federal work days.

The Contractor shall copy data from media such as CDs, DVDs, and hard drives to SEC file servers and database servers. Electronic files may come from electronic media or through a network file transfer. The contractor shall follow SEC directory and file-naming conventions and the SEC procedures for data copying, see Media Processing Pipeline in Section J, Attachment 9, as well as comply with all IT security requirements for the delivery and uploading of electronic files, such as virus checking and use of secure connections. The Contractor shall ensure that all files are processed completely through all data copying steps, including error correction and correction verification. The Contractor shall perform the work at the Government’s site using Government-supplied hardware and software, or remotely through Government approved connections to the SEC network. In addition the contractor shall perform the following:

a. Update the BDMT / ETS record for the request as necessary.

b. Maintain copies of log files and error files on the SEC file servers and database servers.

c. Update the SEC procedures for data copying as process and requirements changes are made.

d. Verify the status of any request in the copying process at any time.

The Contractor shall adhere to the following completion time requirements for receipt and logging of productions and copying electronic data to SEC network shared folders. Task size will be measured by the file size on the media received by the Contractor to log and copy (compressed input file size).

Task Size Copied to SEC Storage and Made Available and SEC staff notified

Less than 10 megabytes (MB) email productions

Two (2) hours after receipt of email

Less than 5 gigabytes (GB) and “RUSH” priority

Four (4) hours after receipt of the media

Less than 200GB and routine priority; or “RUSH” priority greater than 5 GB and less than 200 GB

One (1) business day after receipt of the media

Greater than 200GB A request or an aggregate of requests greater than 200GB will be processed and delivered according to a schedule negotiated between the SEC and the contractor.

Contractor performance compared to these service levels will be evaluated as follows:

How is this SLA measured? Dates and times in BDMT/ETS/Production Log for receipt of a production and confirmed transfer to the next step in the workflow.

When does the clock start? When the contractor receives an emailed production, or when the contractor receives mail and packages.

When does the clock end? When the data loading or electronic document discovery tasks and the SEC are notified, and the production is available to be processed and loaded.

Period of Measurement Elapsed time.

Standard of Measurement % of requests completed on time Exceptions High priority tasks and tasks that require reprocessing

The SEC will designate some tasks as high priority or “RUSH.” High priority tasks will be moved to the front of the queue to be processed. Tasks delayed by being preempted by rush tasks will not be included in calculating the percentage of requests completed on time.

C.4.3 Task 3 – Electronic Document Discovery (EDD)

The Contractor shall perform EDD processing in accordance with the Federal Rules of Evidence and existing case law and consistent with ISO standards 17025, 9001, 4390, and 15489. The SEC will use the Independent Quality Control Checklist in Attachment 7 to inspect the quality of the Contractor’s deliverables. The Contractor shall perform the following EDD processing functions at their site using Contractor-supplied hardware and software as appropriate. During FY 2013 through FY 2014 the SEC estimates EDD processing requirements in a range of 500 – 700 jobs per month with an estimated average of 250 GB’s per month. Data quantities will fluctuate each month.

Most processing requests will be for native files, e-mail messages and attachments with TIFF images, but some requests will be for processing without creating TIFF images.

In support of this task the Contractor shall perform the following:

a. Perform EDD on electronic storage media provided by the SEC. The media may be original or a copy.

b. Deliver EDD data in a Concordance 9 database and industry standard delimited text files with relative paths.

c. Deliver EDD data in an Electronic Discovery Reference Model (EDRM) eXtensible Markup Language

(XML) format, when requested.

d. Deliver a Concordance Image 4.5 (Opticon) image cross-reference file when Tagged Image File format

(TIFF) images are delivered from EDD.

e. Deliver the original metadata values without modifying the original document to include system and document metadata.

f. Identify any unprocessable files in a log file with the reason why the file could not be processed; such as, unknown file type, or password protected.

g. Determine the type of a file from its file signature.

h. Identify documents with tracked changes by placing a “Y” value in the Tracked Chgs field

i. Identify documents with hidden or white text in rows and columns of an Excel spreadsheet by placing a

“Y” value in the HIDDENTEXT field. Populating an additional field with the hidden or white text would be valuable to the Government.

j. Remain compatible with the current Concordance and Opticon software versions in use at the SEC. The Contractor shall update and revise Concordance database fields based on Government guidance. Initially, the Contractor shall include the fields provided in Section J, in Concordance 9 databases.

k. Extract all data from compound files, as defined by either the OpenDoc or Microsoft Object Linking and Embedding (OLE) standards. Update the BDMT record for the request as necessary.

l. Perform OCR on files without embedded text that are uncovered during EDD, in accordance with the description provided in Task 3, OCR Processing.

m. Load files unsuitable for OCR or text extraction; such as, audio files (.wav) and Microsoft Access databases (.mdb), into Concordance databases with a link to the native file.

n. Extract the metadata contained in Section J, from files being processed by EDD.

o. Use a MD5 or SHA-1 hash algorithm when de-duplicating electronic mail messages.

p. Process files that are in the most current versions of Microsoft Office, Lotus Notes, and other commonly used software products.

q. Process files that are in older versions of Microsoft Office, Lotus Notes, and other commonly used software products.

r. Decode embedded documents such as MIME.

s. Decode and process UNIcode documents.

t. Process files that originated from servers, personal computers, laptops, tablets, smart phones and other devices running Microsoft Windows, Apple OS, or other operating systems.

C.4.3.1 Types of EDD Processing

The Contractor shall perform the following types of EDD processing:

C.4.3.1.1 Native Files, Electronic Mail Files and Attachments with TIFF Images (Deliverable 10)

The Contractor shall create TIFF images from messages in electronic mail databases; such as, Microsoft Exchange, Microsoft Outlook, Apple Mac (MBOX), and Lotus Notes. The Contractor shall create TIFF images from attachments to the electronic mail messages. Specifically, the Contractor shall perform the following:

a. Create a separate record for each electronic mail message and electronic mail attachment.

b. Create a link from electronic mail messages to each child electronic mail attachment.

c. Create a link from each electronic mail attachment back to the parent electronic mail message.

d. Allow the SEC to set a size threshold below which embedded objects are kept within the parent record.

e. Create a separate record for embedded objects above the size threshold.

f. Fully process all levels of embedding’s and attachments down to the size threshold.

g. Extract text from the electronic mail messages and their attachments and deliver document-level or page-level text files referenced by a relative path in the Concordance 9 databases and industry standard delimited text files.

h. Extract metadata about the electronic mail messages and deliver it as fields in the Concordance 9 databases and industry standard delimited text files.

i. Extract document specific and system metadata from the electronic mail databases and deliver it as fields in the

Concordance 9 databases and industry standard delimited text files.

j. Reference native files for attachment records in the Concordance 9 databases and industry standard delimited text files with relative paths.

k. Reference message (.msg, .eml) files to email messages in the Concordance 9 databases and industry standard delimited text files with relative paths.

l. Uniquely number the email messages and attachments in fields in the Concordance 9 databases and industry standard delimited text files.

m. Use a numbering scheme that provides unique numbers for every message and attachment within a case. With guidance from the Government, the Contractor shall endorse the TIFF images of electronic mail messages and attachments with Bates numbers.

n. Continue Bates numbering in sequence when a new request / task are processed for the same case number and source / producing party combination as a previous task.

The Contractor shall extract text from native (loose) files. The Contractor shall create TIFF images from native (loose) files. The Contractor shall extract text at least from all file types supported by the most current version of Quick View Plus (http://www.avantstar.com/Products/Quick_View_Plus/QuickViewPlusOverview) or Stellent. Specifically, the Contractor shall perform the following:

a. Extract document specific and system metadata from the native files and deliver it as fields in the Concordance

9 databases and industry standard delimited text files.

b. Create TIFF images from the native files.

c. Endorse the TIFF images of native files with Bates numbers. The Contractor shall use a Bates numbering scheme that provides unique numbers for every native file within a case.

d. Extract text from the native files and deliver the most accurate text possible as document-level or page-level text files referenced by a relative path in the Concordance 9 databases and industry standard delimited text files.

e. Create a relative path reference in the Concordance database record to the native file in the “LINK” field.

C.4.3.1.2 Text Extraction from Native Files, Electronic Mail Files and Attachments (Deliverable 11)

The Contractor shall extract text from messages in electronic mail databases; such as, Microsoft Exchange, Microsoft Outlook, Apple Mac, and Lotus Notes. The Contractor shall extract text from attachments to the electronic mail messages. Specifically, the Contractor shall perform the following:

a. Create a separate record for each electronic mail message and electronic mail attachment.

b. Create a link from electronic mail messages to each child electronic mail attachment.

c. Create a link from each electronic mail attachment back to the parent electronic mail message.

d. Allow the SEC to set a size threshold below which embedded objects are kept within the parent record.

e. Create a separate record for embedded objects above the size threshold.

f. Fully process all levels of embedding’s and attachments down to the size threshold.

g. Extract text from the electronic mail messages and their attachments and deliver document-level or page-level text files referenced by a relative path in the Concordance 9 databases and industry standard delimited text files.

h. Extract metadata about the electronic mail messages and deliver it as fields in the Concordance 9 databases and industry standard delimited text files.

i. Extract document specific and system metadata from the electronic mail databases and deliver it as fields in the

Concordance 9 databases and industry standard delimited text files.

j. Reference native files for attachment records in the Concordance 9 databases and industry standard delimited text files with relative paths.

k. Reference message (.msg, .eml) files to email messages in the Concordance 9 databases and industry standard delimited text files with relative paths.

l. Uniquely number the email messages and attachments in fields in the Concordance 9 and industry standard delimited text files databases.

m. Use a numbering scheme that provides unique numbers for every message, attachment, and document within a case.

n. Continue unique document numbering in sequence when a new request / task is processed for the same case number and source / producing party combination as a previous task.

The Contractor shall extract text from native (loose) files, electronic mail files and attachments. The Contractor shall extract text at least from all file types supported by the most current version of Quick View Plus (http://www.avantstar.com/Products/Quick_View_Plus/QuickViewPlusOverview) or Stellent. Specifically, the Contractor shall perform the following:

a. Create a relative path reference in the Concordance database record to the native file in the “LINK” field.

b. Number the native files in “FIRSTBATES” and “LASTBATES” fields in the Concordance 9 databases and industry standard delimited text files. The Contractor shall use a numbering scheme that provides unique numbers for every native file within a case.

c. Extract text from the native files and deliver document-level text files referenced by a relative path in the Concordance 9 databases and industry standard delimited text files.

d. Extract document specific and system metadata from the native files and deliver it as fields in the Concordance 9 databases and industry standard delimited text files.

The contractor may be asked to reprocess existing productions received into a workable format to ingest into the eDiscovery platform. This work may include:

a. Bloomberg data – The contractor shall reformat the xml data to msg or eml format.

b. Forensic productions - The contractor shall convert data submitted as forensic image files from various formats like, EnCase (E01, Ex01, L01, Lx01), AccessData (ad1), DD, into native documents before ingestion.

*Note – SEC is in the process of upgrading to Concordance 10 thus vendor should confer with the agency on software version compatibility.

C.4.3.2 On-site and Contractor Facility Processing of EDD

The Contractor shall provide all staff, computer hardware, software, to process up to 700GB of EDD work per month at the Contractor’s facilities. Note that the total estimated capacity of 500 – 700 GB range per month in this paragraph provides a margin of estimated capacity and Contractor is expected to handle surges when compared to the estimated average workload of 500 - 700 GB range per month in paragraph C.4.2 above.

The Contractor may perform limited EDD processing on-site to minimize delays in transporting media. The Contractor shall perform EDD processing at Contractor facilities to handle large tasks and surges in workload that exceed the on-site staging area capacity.

The Contractor shall pick up electronic media from the SEC at least once per day. The Contractor shall ship or courier electronic media to and from SEC Offices and Contractor facilities. The Contractor shall give the original electronic media to the SEC’s independent quality assurance Contractor or to a Litigation Support Specialist after it has been processed. The Contractor shall copy original media to the SEC litigation support storage. The Contractor shall copy processed deliverable files to the SEC litigation support storage. When supported by the SEC and when suitable for the size of the data, the Contractor shall use secure file transfer software tools to move data between the SEC network and the Contractor’s facilities. The Contractor shall provide deliverables on the fewest number of pieces of electronic media based on the size of the deliverable.

The Contractor can utilize agency FTP via secure file transfer (Accellion) to move smaller files electronically offsite for processing and back following established protocols.

The Contractor shall encrypt electronic media that will be taken by courier or shipped outside of the SEC’s Offices.

The Contractor shall decrypt data, so that it can be copied or processed.

The Contractor shall make duplicate copies of deliverable media, when requested in the processing request.

C.4.3.3 Preservation of Data and Media During EDD Processing

The Contractor shall maintain tracking for all electronic storage media containing evidentiary data to assure continuous accountability. The Contractor shall ensure that no information is added or changed.

In support of this process the Contractor shall perform the following:

a. Preserve electronic media containing evidentiary data to maintain the integrity of the media in its original condition.

b. Provide a log with every EDD deliverable that provides lists of all files removed through the de-duplication process. The Contractor shall include Exception reports that list: files that were password protected or encrypted, regardless of whether the Contractor was able to open and extract the data in the file; Compound files; files not suitable for OCR or text extraction; and files not supported by the EDD system. The Contractor shall list the file name and the file path to the file on the original media provided to the Contractor in the Exception reports.

c. Provide a report with every EDD deliverable that includes: Case #, Source, BDMT request #, total data volume in megabytes processed (incoming), total data volume in megabytes delivered (outgoing), a list of each file type processed, and the number of files processed per file type.

d. Log when electronic storage media is received from and returned to SEC staff.

C.4.3.4 Delivery Time Standards

The Contractor shall adhere to the following turnaround requirements for processing electronic documents and data discovery and delivering the Concordance databases on electronic media to the Government. Task size will be measured by the file size on the media given by the SEC to the Contractor to process (compressed input file size).

Task Size Copied to SEC Storage and ETS Updated Less than 1 GB One (1) business day after receipt of the media Greater than 1 GB and less than 5GB (approximately 1 DVD)

Three (3) business days after receipt of the media

Greater than 5GB and less than 20GB Five (5) business days after receipt of the media Greater than 20GB and less than 100GB Seven (7) business days after receipt of media Greater than 100GB A request or an aggregate of requests greater than 100GB will be processed and delivered according to a schedule negotiated between the SEC and the Contractor.

How is this SLA measured? Dates in BDMT/ETS for delivery and receipt of a request.

When does the clock start? The day a request is received by the vendor.

When does the clock end? When the SEC is notified and the database is available to be loaded.

Period of Measurement Elapsed days.

The SEC will designate some tasks as high priority or “RUSH.” High priority tasks will be moved to the front of the queue to be processed. Tasks delayed by being preempted by rush tasks will not be included in calculating the percentage of requests completed on time.

C.4.3.5 Exception Handling and Reprocessing

The Contractor shall create listings of all exceptions that occur during processing. The Contractor shall create a list of all password protected files that could not be processed. The Contractor shall create a list of all corrupted files that could not be processed. The Contractor shall create a list of all files with an unknown or missing file signature.

The Contractor shall communicate…