DRAFT_RFP_SECHQ1-16-R-0002_(Sections_A-K).pdf

DRAFT

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TABLE OF CONTENTS

Page Number

PART I - THE SCHEDULE

SECTION A - SOLICITATION/CONTRACT FORM……………………………………..1

SECTION B - SUPPLIES OR SERVICES AND PRICES/COSTS…………… ……….….8

Section B Overall Summary……………………………………………………………… Table I - Summary Sheet-Schedule A Matters…………………………………………..…11

Table II - Summary Sheet-Schedule B, C, and D Matters……………………………..…..11 Table III - Summary Sheet- Schedule B, C, and D Matters, Realtime and Other Optional CLIN Services…….……………………………………………………………….…...…..12

Table I - Prices Per Page to the Commission for Schedule A Matters Base Period……………………………………………………………………………… Option Period 1……………………………………………………………………………..14 Option Period 2……………………………………………………………………………..15 Option Period 3……….………………………………………………………………… Option Period 4…………………………………………………………………………

Table II - Prices Per Page to the Commission for Schedule B, C and D Matters Base Period……………………………………………………………………………… Option Period 1……………………………………………………………………………..20 Option Period 2……………………………………………………………………………..22 Option Period 3……….………………………………………………………………… Option Period 4…………………………………………………………………………

SECTION C - DESCRIPTION/SPECIFICATIONS/STATEMENT OF WORK..…….…..28

C.1 Scope C.2 Applicable Documents C.3 Requirements C.4 Contract Test Program

SECTION D-PACKAGING AND MARKING…………………………..….…………...…40

D.1 Packaging and Marking D.2 Contract Number D.3 Labels and Package D.4 Reporter’s Notes and Recording Tapes

SECTION E - INSPECTION AND ACCEPTANCE……………………………….……….41

SECTION F - DELIVERIES OF PERFORMANCE…………………………………….…..42

F.1 Performance Period

F.2 CD

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F.3 Deliverables F.4 Delivery Time and Location F.5 Response Time F.6 Place of Performance

SECTION G - CONTRACT ADMINISTRATION DATA…………………………………48

G.1 Contract Administration Office G.2 Contract Administration for Non-Severable Seervices G.3 Submission of Invoices (Paper or Electronic) G.4 Payment Schedule G.5 Contract Ceiling Price

SECTION H - SPECIAL CONTRACT REQUIREMENTS……………...………….………51

H.1 Type of Contract H.2 Non-Personal Services H.3 Key Personnel H.4 Contractor Substitution of Key Personnel H.5 Restrictions on Use, Disclosure, and Duplication of Confidential and Non-Public

Information H.6 SEC Non-Disclosure Requirements and Agreements H.7 SEC Non-Disclosure Agreement H.8 Personally Identifiable Information (PII) H.9 OnBoarding Contract Employees H.10 Confidentiality H.11 Neutrality Requirements H.12 Hours of Operation/Differential Rates H.13 Minimum Order Charges H.14 Cancellation Notice and Charges H.15 Accuracy of Transcript/Damages for Unusable Transcripts H.16 Delinquent Transcript and Liquidated Damages H.17 Failure of Contractor to Appear H.18 Furnishing Transcripts to the Public

Table IV - Per Page Prices to the Public

Base Period Option Period 1 Option Period 2 Option Period 3 Option Period 4 Notes for Table IV

H.19 Fact Witness Services H.20 Stenographic Notes and Tapes H.21 Legal Requirements and Permits

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H.22 Penalty Mail H.23 Performance Bond H.24 Ordering-Testimony Tracking System H.25 SEC Rules of Practice, Rule 351 H.26 Contractor Security Requirements H.27 Alternate Format H.28 Data Destruction H.29 New, Improved, or Additional Equipment or Services (Technology Refreshment Included) H.30 Administration H.31 Other Direct Costs and Travel H.32 Security and Privacy Matters H.33 Representations and Certifications H.34 Organizational Conflicts of Interest H.35 Contractor Responsibilities/Standards of Conduct H.36 Point of Contact H.37 Electronic and Information Technology H.38 Contractor Workforce Inclusion

PART II - CONTRACT CLAUSES ………………………………………………………..77

SECTION I - CONTRACT CLAUSES………………………………………………….….77

52.252-2 Clauses Incorporated By Reference (FEB 1998) 52.209-5 Certification Regarding Responsibility Matters (OCT 2015) 52.209-7 Information Regarding Responsibility Matters (JUL 2013) 52.209-9 Updates of Information Regarding Responsibility Matters (JUL 2013) 52.212-4 Contract Terms and Conditions-Commercial Items (MAY 2015) 52.212-5 Contract Terms and Conditions Required to Implement Statutes or Executive Orders- Commercial Items (NOV 2015) 52.216-4 Economic Price Adjustment-Labor and Material (JAN 1997) 52.217-6 Option for Increased Quantity (MAR 1989) 52.217-7 Option for Increased Quantity-Separately Price Line Item (MAR 1989) 52.217-8 Option to Extend Services (NOV 1999) 52.217-9 Option to Extend the Term of the Contract (MAR 2000) 52.228-16 Performance and Payment Bonds-Other Than Construction (NOV 2006) 52.244-6 Subcontracts for Commercial Items (OCT 2016)

PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS…..…..92

SECTION J - LIST OF ATTACHMENTS…………………………………………………..92

PART IV - REPRESENTATIONS AND INSTRUCTIONS………………………………...92

SECTION K - REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF

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QUOTERS……………………………………………………………………………………92

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SECTION B - SUPPLIES OR SERVICES AND PRICES/COSTS

OVERALL SUMMARY

CONTRACT PERIOD / CLINS DESCRIPTION QTY UNIT UNIT

PRICE

TOTAL CEILING

PRICE

Base Period

CLIN 00001

Table I Schedule A - - - $ Table II Schedules B, C & D - - - $ Total $

CLIN 00002 (Optional CLIN) Table III Schedules A, B, C & D - - - $ 250,000.00

Total Base Period $

Option Period 1

CLIN 00003

Table I Schedule A - - - $

CLIN 00004 (Optional CLIN)

Total Option Period 1 $

Option Period 2

CLIN 00005

Table I Schedule A - - - $

CLIN 00006 (Optional CLIN)

Total Option Period 2 $

Option Period 3

CLIN 00007

CLIN 00008 (Optional CLIN)

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Total Option Period 3 $

Option Period 4

CLIN 00009

CLIN 00010 (Optional CLIN) Table III Schedules A, B, C & D - - - $250,000.00

Total Option Period 4 $

Total Contract Ceiling $

Note: The amount of CLINs can vary, but their total amounts shall not exceed the price of Section B.

*CP - Ceiling Price. See the following Tables I, II, and III. See Section J, Attachment F: The approved minimum wage rates incorporated by the Contractor for its Section B pricing including Table IV in Section H.18; and other rates in Section H for the SEC’s Offices are based on the U.S. Department of Labor, Register of Wage Determinations under the Service Contract Act available at www.dol.gov/esa .

Instructions for Section B tables to be filled out are shown in Section L.2.1. The Optional CLINs 00002, 00004, 00006, 00008, and 00010 are Not To Exceed CLINs. The unfunded Optional CLINs are described under Section C.4 and H.30.

B.1 CLIN MINIMUM/MAXIMUM DOLLAR

There is no minimum quantity guarantee under this contract. The Government’s minimum dollar obligation is $10,000.00, inclusive of the option periods. If the dollars placed during the contract period do not exceed the guaranteed minimum obligation, at the end of the final option period of the contract the Contractor may invoice and receive payment for the difference between the dollar value of all orders placed under the contract and the minimum obligation. The minimum dollar amount for all orders issued against the CLIN(s) on this contract shall not be less than $10,000.00. The maximum dollars for all orders issued against the CLIN(s) on this contract shall not exceed $__TBD__.

B.2 GUARANTEEE MINIMUM

The guaranteed minimum under this contract is $2,000.00 and will be applied duering the base period only. There is no guaranteed minimum for the option periods for this IDIQ.

http://www.dol.gov/esa

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B.3 DOL WAGE DETERMINATION

Annual refresh is required of this contract per FAR clause 52.222-43. The SEC will incorporate the requested wage determination adjustments on a yearly basis at the time of IDIQ option exercise. Any Contractor requests for equitable adjustments based on a revised wage determination will be executed after the option exercise.

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TABLE I SUMMARY SHEET - SCHEDULE A MATTERS

Base Period (March 1, 2016-February 28, 2017)

CLIN 00001AA-AX

TOTAL CEILING PRICE $

Option Period 1 (March 1, 2017-February 28, 2018)

CLIN 00003AA-AX

TOTAL CEILING PRICE $

Option Period 2 (March 1, 2018-February 28, 2019)

CLIN 00005AA-AX

TOTAL CEILING PRICE $

Option Period 3 (March 1, 2019-February 28, 2020)

CLIN 00007AA-AX

TOTAL CEILING PRICE $

Option Period 4 (March 1, 2020-February 28, 2021)

CLIN 00009AA-AX

TOTAL CEILING PRICE $

TOTAL BASE AND OPTION PERIODS $

TABLE II SUMMARY SHEET - SCHEDULE B, C & D MATTERS

CLIN 00001BA-CY-5

TOTAL CEILING PRICE $

Option Period 1 (March 1, 2017-February 28, 2018)

CLIN 00003BA-CY-5

TOTAL CEILING PRICE $

Option Period 2 (March 1, 2018-February 28, 2019)

CLIN 00005BA-CY-5

TOTAL CEILING PRICE $

Option Period 3 (March 1, 2019-February 29, 2020)

CLIN 00007BA-CY-5

TOTAL CEILING PRICE $

Option Period 4 (March 1, 2020-February 28, 2021)

CLIN 00009BA-CY-5

TOTAL CEILING PRICE $

TOTAL BASE AND OPTION PERIODS $

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TABLE III SUMMARY SHEET - SCHEDULE A, B, C & D MATTERS

REALTIME AND OTHER OPTIONAL CLIN SERVICES

OPTIONAL CLIN 00002AA

TOTAL CEILING PRICE (Not to Exceed) $ 250,000*

Option Period 1 (March 1, 2017-February 28, 2018)

OPTIONAL CLIN 00004AA

TOTAL CEILING PRICE (Not to Exceed) $ 250,000*

Option Period 2 (March 1, 2018-February 28, 2019)

OPTIONAL CLIN 00006AA

TOTAL CEILING PRICE (Not to Exceed) $ 250,000*

Option Period 3 (March 1, 2019-February 29, 2020)

OPTIONAL CLIN 00008AA

TOTAL CEILING PRICE (Not to Exceed) $ 250,000*

Option Period 4 (March 1, 2020-February 28, 2021)

OPTIONAL CLIN 00010AA

TOTAL CEILING PRICE (Not to Exceed) $ 250,000*

TOTAL BASE AND OPTION PERIODS $1,250,000*

* Note: In accordance with Sections C.4 and H.30, a request to the Offeror for Table III services will be sent to the Contractor no later than 60 days prior to the test date for the particular service. The Contractor shall provide a firm fixed price, which will be evaluated and negotiated for the test service based on the Statement of Work and task order issued by the SEC.

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TABLE I

PRICES PER PAGE TO THE COMMISSION FOR SCHEDULE A MATTERS1

Item Description2 Unit Qty Unit Price

Ceiling Price

Stenotype Reporting-Ordinary4 00001AA Metro D.C. PG 1,500 $ $ 00001AB Otherwise within CONUS PG 2,500 $ $ 00001AC Outside CONUS PG 100 $ $ 00001AD Additional Computer Readable CD EA 10 $ $ 00001AE Additional Transcript Paper Copy PG 10 $ $ Stenotype Reporting-Expedited4 00001AF Metro D.C. PG 500 $ $ 00001AG Otherwise within CONUS PG 2,500 $ $ 00001AH Outside CONUS PG 100 $ $ 00001AI Additional Computer Readable CD EA 10 $ $ 00001AJ Additional Transcript Paper Copy PG 10 $ $ Stenotype Reporting-Accelerated4 00001AK Metro D.C. PG 2,500 $ $ 00001AL Otherwise within CONUS PG 6,000 $ $ 00001AM Outside CONUS PG 100 $ $ 00001AN Additional Computer Readable CD EA 10 $ $ 00001AO Additional Transcript Paper Copy PG 10 $ $ Stenotype Reporting-Daily4 00001AP Metro D.C. PG 2,500 $ $ 00001AQ Otherwise within CONUS PG 8,500 $ $ 00001AR Outside CONUS PG 100 $ $ 00001AS Additional Computer Readable CD EA 10 $ $ 00001AT Additional Transcript Paper Copy PG 10 $ $ 00001AU Unedited CD EA 3,000 $ $ 00001AV Condensed Transcript CD PG 150,000 $ $ 00001AW Attendance Fee HR 100 $ $ 00001AX Cancellation Fee EA 100 $ $

Note 1: The Government does not guarantee the level of work and the figures presented are approximations and estimates only.

Note 2: There will be no charge for original transcript pages which are less than 25 lines in length.

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Ceiling Price

Stenotype Reporting-Ordinary4 00003AA Metro D.C. PG 1,600 $ $ 00003AB Otherwise within CONUS PG 2,600 $ $ 00003AC Outside CONUS PG 100 $ $ 00003AD Additional Computer Readable CD EA 10 $ $ 00003AE Additional Transcript Paper Copy PG 10 $ $ Stenotype Reporting-Expedited4 00003AF Metro D.C. PG 1600 $ $ 00003AG Otherwise within CONUS PG 2,600 $ $ 00003AH Outside CONUS PG 100 $ $ 00003AI Additional Computer Readable CD EA 10 $ $ 00003AJ Additional Transcript Paper Copy PG 10 $ $ Stenotype Reporting-Accelerated4 00003AK Metro D.C. PG 2,600 $ $ 00003AL Otherwise within CONUS PG 6,100 $ $ 00003AM Outside CONUS PG 100 $ $ 00003AN Additional Computer Readable CD EA 10 $ $ 00003AO Additional Transcript Paper Copy PG 10 $ $ Stenotype Reporting-Daily4 00003AP Metro D.C. PG 2,600 $ $ 00003AQ Otherwise within CONUS PG 8,600 $ $ 00003AR Outside CONUS PG 100 $ $ 00003AS Additional Computer Readable CD EA 10 $ $ 00003AT Additional Transcript Paper Copy PG 10 $ $ 00003AU Unedited CD EA 3,000 $ $ 00003AV Condensed Transcript CD PG 150,000 $ $ 00003AW Attendance Fee HR 103 $ $ 00003AX Cancellation Fee EA 103 $ $

Note 1: The Government does not guarantee the level of work and the figures presented are approximations and

Note 2: There will be no charge for original transcript pages which are less than 25 lines in length.

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Option Period 2 (March 1, 2018-February 28, 2019)

Ceiling Price

Stenotype Reporting-Ordinary4 00005AA Metro D.C. PG 1,700 $ $ 00005AB Otherwise within CONUS PG 2,700 $ $ 00005AC Outside CONUS PG 100 $ $ 00005AD Additional Computer Readable CD EA 11 $ $ 00005AE Additional Transcript Paper Copy PG 11 $ $ Stenotype Reporting-Expedited4 00005AF Metro D.C. PG 1,700 $ $ 00005AG Otherwise within CONUS PG 2,700 $ $ 00005AH Outside CONUS PG 100 $ $ 00005AI Additional Computer Readable CD EA 11 $ $ 00005AJ Additional Transcript Paper Copy PG 11 $ $ Stenotype Reporting-Accelerated4 00005AK Metro D.C. PG 2,700 $ $ 00005AL Otherwise within CONUS PG 6,200 $ $ 00005AM Outside CONUS PG 100 $ $ 00005AN Additional Computer Readable CD EA 11 $ $ 00005AO Additional Transcript Paper Copy PG 11 $ $ Stenotype Reporting-Daily4 00005AP Metro D.C. PG 2,700 $ $ 00005AQ Otherwise within CONUS PG 8,700 $ $ 00005AR Outside CONUS PG 100 $ $ 00005AS Additional Computer Readable CD EA 11 $ $ 00005AT Additional Transcript Paper Copy PG 11 $ $ 00005AU Unedited CD EA 3,200 $ $ 00005AV Condensed Transcript CD PG 150,000 $ $ 00005AW Attendance Fee HR 106 $ $ 00005AX Cancellation Fee EA 106 $ $

Note 1: The Government does not guarantee the level of work and the figures presented are approximations and

Note 2: There will be no charge for original transcript pages which are less than 25 lines in length.

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Option Period 3 (March 1, 2019-February 29, 2020)

Ceiling Price

Stenotype Reporting-Ordinary4 00007AA Metro D.C. PG 1,800 $ $ 00007AB Otherwise within CONUS PG 2,800 $ $ 00007AC Outside CONUS PG 100 $ $ 00007AD Additional Computer Readable CD EA 11 $ $ 00007AE Additional Transcript Paper Copy PG 11 $ $ Stenotype Reporting-Expedited4 00007AF Metro D.C. PG 1,800 $ $ 00007AG Otherwise within CONUS PG 2,800 $ $ 00007AH Outside CONUS PG 100 $ $ 00007AI Additional Computer Readable CD EA 11 $ $ 00007AJ Additional Transcript Paper Copy PG 11 $ $ Stenotype Reporting-Accelerated4 00007AK Metro D.C. PG 2,800 $ $ 00007AL Otherwise within CONUS PG 6,300 $ $ 00007AM Outside CONUS PG 100 $ $ 00007AN Additional Computer Readable CD EA 11 $ $ 00007AO Additional Transcript Paper Copy PG 11 $ $ Stenotype Reporting-Daily4 00007AP Metro D.C. PG 2,800 $ $ 00007AQ Otherwise within CONUS PG 8,800 $ $ 00007AR Outside CONUS PG 100 $ $ 00007AS Additional Computer Readable CD EA 11 $ $ 00007AT Additional Transcript Paper Copy PG 11 $ $ 00007AU Unedited CD EA 3,300 $ $ 00007AV Condensed Transcript CD PG 150,000 $ $ 00007AW Attendance Fee HR 109 $ $ 00007AX Cancellation Fee EA 109 $ $

Note 1: The Government does not guarantee the level of work and the figures presented are approximations and

Note 2: There will be no charge for original transcript pages which are less than 25 lines in length.

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Ceiling Price

Stenotype Reporting-Ordinary4 00009AA Metro D.C. PG 1,900 $ $ 00009AB Otherwise within CONUS PG 2,900 $ $ 00009AC Outside CONUS PG 100 $ $ 00009AD Additional Computer Readable CD EA 11 $ $ 00009AE Additional Transcript Paper Copy PG 11 $ $ Stenotype Reporting-Expedited4 00009AF Metro D.C. PG 1,900 $ $ 00009AG Otherwise within CONUS PG 2,900 $ $ 00009AH Outside CONUS PG 100 $ $ 00009AI Additional Computer Readable CD EA 11 $ $ 00009AJ Additional Transcript Paper Copy PG 11 $ $ Stenotype Reporting-Accelerated4 00009AK Metro D.C. PG 2,900 $ $ 00009AL Otherwise within CONUS PG 6,400 $ $ 00009AM Outside CONUS PG 100 $ $ 00009AN Additional Computer Readable CD EA 11 $ $ 00009AO Additional Transcript Paper Copy PG 11 $ $ Stenotype Reporting-Daily4 00009AP Metro D.C. PG 2,900 $ $ 00009AQ Otherwise within CONUS PG 8,900 $ $ 00009AR Outside CONUS PG 100 $ $ 00009AS Additional Computer Readable CD EA 11 $ $ 00009AT Additional Transcript Paper Copy PG 11 $ $ 00009AU Unedited CD EA 3,400 $ $ 00009AV Condensed Transcript CD PG 150,000 $ $ 00009AW Attendance Fee HR 113 $ $ 00009AX Cancellation Fee EA 113 $ $

Note 1: The Government does not guarantee the level of work and the figures presented are approximations and

Note 2: There will be no charge for original transcript pages which are less than 25 lines in length.

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TABLE II

PRICES PER PAGE TO THE COMMISSION FOR SCHEDULE B, C, and D MATTERS1

Price Ceiling Price

Electronic Recording Device-Ordinary3 00001BA Metro D.C. PG 80,500 $ $ 00001BB Otherwise within CONUS PG 171,000 $ $ 00001BC Outside CONUS PG 1,250 $ $ Steno Mask/Steno-Type Machine-Ordinary4 00001BD Metro D.C. PG 80,500 $ $ 00001BE Otherwise within CONUS PG 171,000 $ $ 00001BF Outside CONUS PG 1,250 $ $ 00001BG Additional Computer Readable CD EA 1,500 $ $ 00001BH Additional Transcript Paper Copy PG 1,500 $ $ 00001BI Transcription Only Services PG 250 $ $ Electronic Recording Device-Expedited3 00001BJ Metro D.C. PG 45,000 $ $ 00001BK Otherwise within CONUS PG 41,000 $ $ 00001BL Outside CONUS PG 350 $ $ Steno Mask/Steno-Type Machine-Expedited4 00001BM Metro D.C. PG 45,000 $ $ 00001BN Otherwise within CONUS PG 41,000 $ $ 00001BO Outside CONUS PG 350 $ $ 00001BP Additional Computer Readable CD EA 750 $ $ 00001BQ Additional Transcript Paper Copy PG 750 $ $ 00001BR Transcription Only Services PG 1,000 $ $ Electronic Recording Device-Accelerated3 00001BS Metro D.C. PG 20,000 $ $ 00001BT Otherwise within CONUS PG 39,000 $ $ 00001BU Outside CONUS PG 300 $ $ Steno Mask/Steno-Type Machine-Accelerated4 00001CA Metro D.C. PG 20,000 $ $ 00001CB Otherwise within CONUS PG 39,000 $ $ 00001CC Outside CONUS PG 300 $ $ 00001CD Additional Computer Readable CD EA 750 $ $ 00001BE Additional Transcript Paper Copy PG 750 $ $ 00001CF Transcription Only Services PG 250 $ $ Electronic Recording Device-Daily3 00001CG Metro D.C. PG 4,800 $ $ 00001CH Otherwise within CONUS PG 6,500 $ $ 00001CI Outside CONUS PG 100 $ $ Steno Mask/Steno-Type Machine-Daily4 00001CJ Metro D.C. PG 4,800 $ $ 00001CK Otherwise within CONUS PG 20,000 $ $

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00001CL Outside CONUS PG 100 $ $ 00001CM Additional Computer Unedited CD PG 10,000 $ $ 00001CN Additional Computer Readable CD EA 100 $ $ 00001CO Additional Transcript Paper Copy PG 100 $ $ 00001CP Transcription Only Services PG 250 $ $ 00001CQ Electronic Attendance Fee-Regional Offices HR 6900 $ $ 00001CQ-1 Condensed Transcript CD PG 250,000 $ $ 00001CR Cancellation Fee EA 100 $ $ 00001CS ODC Shipping Cost Reimbursement* $ 50,000.00 00001CT Electronic Attendance Fee-Non-Regional Offices HR 680 $ $ 00001CU Electronic Attendance Fee-HQ HR 100 $ $ 00001CV Steno Mask/Steno Type-Attendance Fee-HQ HR 6100 $ $ 00001CW Steno Mask/Steno Type-Attendance Fee-Regional Offices HR 4100 $ $ 00001CX Steno Mask/Steno Type-Attendance Fee-Non-Regional Offices HR 500 $ $ 00001CY-1 Videographer (First Hour) HR 150 $ $ 00001CY-2 Videographer (Additional Hour) HR 700 $ $ 00001CY-3 Videographer (OT Hours) HR 50 $ $ 00001CY-4 Videographer (Synching Video) HR 1000 $ $ 00001CY-5 Videographer (DVD) EA 150 $ $

*Not To Exceed

Note 1: The Government does not guarantee the level of work and the figures presented are approximations and

Note 2: There will be no charge for original transcript pages which are less than 25 lines in length.

Note 3: For Other Direct Cost (ODCs) such as FedEx, USPS mail, local courier services and other shipping costs, ground transportation costs reimbursement amount, receipts must be provided as part of the monthly invoice to the SEC in order to receive reimbursement. The Contractor shall not include any shipping costs for its own sales.

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Ceiling Price

Electronic Recording Device-Ordinary3 00003BA Metro D.C. PG 82,915 $ $ 00003BB Otherwise within CONUS PG 173,272 $ $ 00003BC Outside CONUS PG 1,288 $ $ Steno Mask/Steno-Type Machine-Ordinary4 00003BD Metro D.C. PG 82,915 $ $ 00003BE Otherwise within CONUS PG 173,212 $ $ 00003BF Outside CONUS PG 1,288 $ $ 00003BG Additional Computer Readable CD EA 1,500 $ $ 00003BH Additional Transcript Paper Copy PG 1,500 $ $ 00003BI Transcription Only Services PG 500 $ $ Electronic Recording Device-Expedited3 00003BJ Metro D.C. PG 46,350 $ $ 00003BK Otherwise within CONUS PG 41,375 $ $ 00003BL Outside CONUS PG 361 $ $ Steno Mask/Steno-Type Machine-Expedited4 00003BM Metro D.C. PG 46,350 $ $ 00003BN Otherwise within CONUS PG 41,375 $ $ 00003BO Outside CONUS PG 361 $ $ 00003BP Additional Computer Readable CD EA 750 $ $ 00003BQ Additional Transcript Paper Copy PG 750 $ $ 00003BR Transcription Only Services PG 11,000 $ $ Electronic Recording Device-Accelerated3 00003BS Metro D.C. PG 20,600 $ $ 00003BT Otherwise within CONUS PG 39,129 $ $ 00003BU Outside CONUS PG 309 $ $ Steno Mask/Steno-Type Machine-Accelerated4 00003CA Metro D.C. PG 20,600 $ $ 00003CB Otherwise within CONUS PG 39,129 $ $ 00003CC Outside CONUS PG 309 $ $ 00003CD Additional Computer Readable CD EA 750 $ $ 00003BE Additional Transcript Paper Copy PG 750 $ $ 00003CF Transcription Only Services PG 250 $ $ Electronic Recording Device-Daily3 00003CG Metro D.C. PG 4,944 $ $ 00003CH Otherwise within CONUS PG 6,600 $ $ 00003CI Outside CONUS PG 100 $ $ Steno Mask/Steno-Type Machine-Daily4 00003CJ Metro D.C. PG 4,944 $ $ 00003CK Otherwise within CONUS PG 20,000 $ $

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00003CL Outside CONUS PG 100 $ $ 00003CM Additional Computer Unedited CD PG 10,000 $ $ 00003CN Additional Computer Readable CD EA 103 $ $ 00003CO Additional Transcript Paper Copy PG 103 $ $ 00003CP Transcription Only Services PG 250 $ $ 00003CQ Electronic Attendance Fee-Regional Offices HR 7100 $ $ 00003CQ-1 Condensed Transcript CD PG 250,000 $ $ 00003CR Cancellation Fee EA 103 $ $

00003CS ODC Shipping Cost Reimbursement* $ 50,000.00

00003CT Electronic Attendance Fee-Non-Regional Offices HR 800 $ $ 00003CU Electronic Attendance Fee-HQ HR 100 $ $ 00003CV Steno Mask/Steno Type-Attendance Fee-HQ HR 6300 $ $ 00003CW Steno Mask/Steno Type-Attendance Fee-Regional Offices HR 4200 $ $ 00003CX Steno Mask/Steno Type-Attendance Fee-Non-Regional Offices HR 600 $ $ 00003CY-1 Videographer (First Hour) HR 200 $ $ 00003CY-2 Videographer (Additional Hour) HR 800 $ $ 00003CY-3 Videographer (OT Hours) HR 100 $ $ 00003CY-4 Videographer (Synching Video) HR 1100 $ $ 00003CY-5 Videographer (DVD) EA 160 $ $

Note 1: The Government does not guarantee the level of work and the figures presented are approximations and

Note 2: There will be no charge for original transcript pages which are less than 25 lines in length.

Note 3: For Other Direct Cost (ODCs) such as FedEx, USPS mail, local courier services and other shipping costs, ground transportation costs reimbursement amount, receipts must be provided as part of the monthly invoice to the SEC in order to receive reimbursement. The Contractor shall not include any shipping costs for its own sales.

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Option Period 2 (March 1, 2018-February 28, 2019)

Electronic Recording Device-Ordinary3 00005BA Metro D.C. PG 85,402 $ $ 00005BB Otherwise within CONUS PG 178,070 $ $ 00005BC Outside CONUS PG 1,326 $ $ Steno Mask/Steno-Type Machine-Ordinary4 00005BD Metro D.C. PG 85,402 $ $ 00005BE Otherwise within CONUS PG 178,070 $ $ 00005BF Outside CONUS PG 1,326 $ $ 00005BG Additional Computer Readable CD EA 1,500 $ $ 00005BH Additional Transcript Paper Copy PG 1,500 $ $ 00005BI Transcription Only Services PG 600 $ $ Electronic Recording Device-Expedited3 00005BJ Metro D.C. PG 47,741 $ $ 00005BK Otherwise within CONUS PG 41,793 $ $ 00005BL Outside CONUS PG 371 $ $ Steno Mask/Steno-Type Machine-Expedited4 00005BM Metro D.C. PG 47,741 $ $ 00005BN Otherwise within CONUS PG 41,793 $ $ 00005BO Outside CONUS PG 371 $ $ 00005BP Additional Computer Readable CD EA 750 $ $ 00005BQ Additional Transcript Paper Copy PG 750 $ $ 00005BR Transcription Only Services PG 1000 $ $ Electronic Recording Device-Accelerated3 00005BS Metro D.C. PG 21,218 $ $ 00005BT Otherwise within CONUS PG 39,431 $ $ 00005BU Outside CONUS PG 318 $ $ Steno Mask/Steno-Type Machine-Accelerated4 00005CA Metro D.C. PG 21,218 $ $ 00005CB Otherwise within CONUS PG 39,431 $ $ 00005CC Outside CONUS PG 318 $ $ 00005CD Additional Computer Readable CD EA 750 $ $ 00005BE Additional Transcript Paper Copy PG 750 $ $ 00005CF Transcription Only Services PG 250 $ $ Electronic Recording Device-Daily3 00005CG Metro D.C. PG 5,092 $ $ 00005CH Otherwise within CONUS PG 6,700 $ $ 00005CI Outside CONUS PG 100 $ $ Steno Mask/Steno-Type Machine-Daily4 00005CJ Metro D.C. PG 5,092 $ $ 00005CK Otherwise within CONUS PG 20,000 $ $

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00005CL Outside CONUS PG 100 $ $ 00005CM Additional Computer Unedited CD PG 10,000 $ $ 00005CN Additional Computer Readable CD EA 106 $ $ 00005CO Additional Transcript Paper Copy PG 106 $ $ 00005CP Transcription Only Services PG 250 $ $ 00005CQ Electronic Attendance Fee-Regional Offices HR 7400 $ $ 00005CQ-1 Condensed Transcript CD PG 250,000 $ $ 00005CR Cancellation Fee EA 106 $ $ 00005CS ODC Shipping Cost Reimbursement* $ 50,000.00 00005CT Electronic Attendance Fee-Non-Regional Offices HR 900 $ $ 00005CU Electronic Attendance Fee-HQ HR 100 $ $ 00005CV Steno Mask/Steno Type-Attendance Fee-HQ HR 6400 $ $ 00005CW Steno Mask/Steno Type-Attendance Fee-Regional Offices HR 3900 $ $ 00005CX Steno Mask/Steno Type-Attendance Fee-Non-Regional Offices HR 600 $ $ 00005CY-1 Videographer (First Hour) HR 250 $ $ 00005CY-2 Videographer (Additional Hour) HR 900 $ $ 00005CY-3 Videographer (OT Hours) HR 150 $ $ 00005CY-4 Videographer (Synching Video) HR 1200 $ $ 00005CY-5 Videographer (DVD) EA 170 $ $

Note 1: The Government does not guarantee the level of work and the figures presented are approximations and

Note 2: There will be no charge for original transcript pages which are less than 25 lines in length.

Note 3: For Other Direct Cost (ODCs) such as FedEx, USPS mail, local courier services and other shipping costs, ground transportation costs reimbursement amount, receipts must be provided as part of the monthly invoice to the SEC in order to receive reimbursement. The Contractor shall not include any shipping costs for its own sales.

Page 24 of 101 SECHQ1-16-R-0002

Option Period 3 (March 1, 2019-February 29, 2020)

Electronic Recording Device-Ordinary3 00007BA Metro D.C. PG 87,965 $ $ 00007BB Otherwise within CONUS PG 176,272 $ $ 00007BC Outside CONUS PG 1,366 $ $ Steno Mask/Steno-Type Machine-Ordinary4 00007BD Metro D.C. PG 87,965 $ $ 00007BE Otherwise within CONUS PG 276,272 $ $ 00007BF Outside CONUS PG 1,366 $ $ 00007BG Additional Computer Readable CD EA 1,500 $ $ 00007BH Additional Transcript Paper Copy PG 1,500 $ $ 00007BI Transcription Only Services PG 700 $ $ Electronic Recording Device-Expedited3 00007BJ Metro D.C. PG 49,173 $ $ 00007BK Otherwise within CONUS PG 41,375 $ $ 00007BL Outside CONUS PG 382 $ $ Steno Mask/Steno-Type Machine-Expedited4 00007BM Metro D.C. PG 49,173 $ $ 00007BN Otherwise within CONUS PG 41,375 $ $ 00007BO Outside CONUS PG 382 $ $ 00007BP Additional Computer Readable CD EA 750 $ $ 00007BQ Additional Transcript Paper Copy PG 750 $ $ 00007BR Transcription Only Services PG 1,000 $ $ Electronic Recording Device-Accelerated3 00007BS Metro D.C. PG 21,855 $ $ 00007BT Otherwise within CONUS PG 34,129 $ $ 00007BU Outside CONUS PG 329 $ $ Steno Mask/Steno-Type Machine-Accelerated4 00007CA Metro D.C. PG 21,855 $ $ 00007CB Otherwise within CONUS PG 34,129 $ $ 00007CC Outside CONUS PG 329 $ $ 00007CD Additional Computer Readable CD EA 750 $ $ 00007BE Additional Transcript Paper Copy PG 750 $ $ 00007CF Transcription Only Services PG 250 $ $ Electronic Recording Device-Daily3 00007CG Metro D.C. PG 5,245 $ $ 00007CH Otherwise within CONUS PG 6,800 $ $ 00007CI Outside CONUS PG 100 $ $ Steno Mask/Steno-Type Machine-Daily4 00007CJ Metro D.C. PG 5,245 $ $ 00007CK Otherwise within CONUS PG 20,000 $ $

Page 25 of 101 SECHQ1-16-R-0002

00007CL Outside CONUS PG 0 $ $ 00007CM Additional Computer Unedited CD PG 10,000 $ $ 00007CN Additional Computer Readable CD EA 109 $ $ 00007CO Additional Transcript Paper Copy PG 109 $ $ 00007CP Transcription Only Services PG 250 $ $ 00007CQ Electronic Attendance Fee-Regional Offices HR 7100 $ $ 00007CQ-1 Condensed Transcript CD PG 250,000 $ $ 00007CR Cancellation Fee EA 100 $ $ 00007CS ODC Shipping Cost Reimbursement* $ 50,000.00 00007CT Electronic Attendance Fee-Non-Regional Offices HR 800 $ $ 00007CU Electronic Attendance Fee-HQ HR 100 $ $ 00007CV Steno Mask/Steno Type-Attendance Fee-HQ HR 6200 $ $ 00007CW Steno Mask/Steno Type-Attendance Fee-Regional Offices HR 3800 $ $ 00007CX Steno Mask/Steno Type-Attendance Fee-Non-Regional Offices HR 600 $ $ 00007CY-1 Videographer (First Hour) HR 300 $ $ 00007CY-2 Videographer (Additional Hour) HR 1000 $ $ 00007CY-3 Videographer (OT Hours) HR 200 $ $ 00007CY-4 Videographer (Synching Video) HR 1300 $ $ 00007CY-5 Videographer (DVD) EA 180 $ $

Note 1: The Government does not guarantee the level of work and the figures presented are approximations and

Note 2: There will be no charge for original transcript pages which are less than 25 lines in length.

Note 3: For Other Direct Cost (ODCs) such as FedEx, USPS mail, local courier services and other shipping costs, ground transportation costs reimbursement amount, receipts must be provided as part of the monthly invoice to the SEC in order to receive reimbursement. The Contractor shall not include any shipping costs for its own sales.

Page 26 of 101 SECHQ1-16-R-0002

Electronic Recording Device-Ordinary3 00009BA Metro D.C. PG 90,603 $ $ 00009BB Otherwise within CONUS PG 174,757 $ $ 00009BC Outside CONUS PG 1,407 $ $ Steno Mask/Steno-Type Machine-Ordinary4 00009BD Metro D.C. PG 90,603 $ $ 00009BE Otherwise within CONUS PG 174,757 $ $ 00009BF Outside CONUS PG 1,407 $ $ 00009BG Additional Computer Readable CD EA 1,500 $ $ 00009BH Additional Transcript Paper Copy PG 1,500 $ $ 00009BI Transcription Only Services PG 800 $ $ Electronic Recording Device-Expedited3 00009BJ Metro D.C. PG 50,648 $ $ 00009BK Otherwise within CONUS PG 40,946 $ $ 00009BL Outside CONUS PG 394 $ $ Steno Mask/Steno-Type Machine-Expedited4 00009BM Metro D.C. PG 50,648 $ $ 00009BN Otherwise within CONUS PG 40,946 $ $ 00009BO Outside CONUS PG 394 $ $ 00009BP Additional Computer Readable CD EA 750 $ $ 00009BQ Additional Transcript Paper Copy PG 750 $ $ 00009BR Transcription Only Services PG 1,000 $ $ Electronic Recording Device-Accelerated3 00009BS Metro D.C. PG 22,511 $ $ 00009BT Otherwise within CONUS PG 33,248 $ $ 00009BU Outside CONUS PG 337 $ $ Steno Mask/Steno-Type Machine-Accelerated4 00009CA Metro D.C. PG 22,511 $ $ 00009CB Otherwise within CONUS PG 33,248 $ $ 00009CC Outside CONUS PG 337 $ $ 00009CD Additional Computer Readable CD EA 750 $ $ 00009BE Additional Transcript Paper Copy PG 750 $ $ 00009CF Transcription Only Services PG 250 $ $ Electronic Recording Device-Daily3 00009CG Metro D.C. PG 5,402 $ $ 00009CH Otherwise within CONUS PG 6,900 $ $ 00009CI Outside CONUS PG 100 $ $ Steno Mask/Steno-Type Machine-Daily4 00009CJ Metro D.C. PG 5,402 $ $ 00009CK Otherwise within CONUS PG 20,000 $ $

Page 27 of 101 SECHQ1-16-R-0002

00009CL Outside CONUS PG 100 $ $ 00009CM Additional Computer Unedited CD PG 10,000 $ $ 00009CN Additional Computer Readable CD EA 109 $ $ 00009CO Additional Transcript Paper Copy PG 109 $ $ 00009CP Transcription Only Services PG 250 $ $ 00009CQ Electronic Attendance Fee-Regional Offices HR 7200 $ $ 00009CQ-1 Condensed Transcript CD PG 250,000 $ $ 00009CR Cancellation Fee EA 109 $ $ 00009CS ODC Shipping Cost Reimbursement* $ 50,000.00 00009CT Electronic Attendance Fee-Non-Regional Offices HR 800 $ $ 00009CU Electronic Attendance Fee-HQ HR 100 $ $ 00009CV Steno Mask/Steno Type-Attendance Fee-HQ HR 6200 $ $ 00009CW Steno Mask/Steno Type-Attendance Fee-Regional Offices HR 3800 $ $ 00009CX Steno Mask/Steno Type-Attendance Fee-Non-Regional Offices HR 600 $ $ 00009CY-1 Videographer (First Hour) HR 350 $ $ 00009CY-2 Videographer (Additional Hour) HR 1100 $ $ 00009CY-3 Videographer (OT Hours) HR 250 $ $ 00009CY-4 Videographer (Synching Video) HR 1400 $ $ 00009CY-5 Videographer (DVD) EA 190 $ $

Note 1: The Government does not guarantee the level of work and the figures presented are approximations and

Note 2: There will be no charge for original transcript pages which are less than 25 lines in length.

Note 3: For Other Direct Cost (ODCs) such as FedEx, USPS mail, local courier services and other shipping costs, ground transportation costs reimbursement amount, receipts must be provided as part of the monthly invoice to the SEC in order to receive reimbursement. The Contractor shall not include any shipping costs for its own sales.

FOOTNOTES FOR TABLES I AND II:

1 Refer to Section C.3 for definitions/description of deliverables for reporting/transcribing services as they pertain to Schedule A, B, C or D matters.

2 Refer to Section F.4.2.3 (Public Demand) for definitions. If the Commission orders Ordinary delivery, but a member of the public orders a faster delivery, then the Contractor shall provide the deliverables to the Commission within the applicable faster delivery schedule, but at the Commission's Ordinary delivery price.

3Electronic Recording Device - a direct recording device capable of recording on at least two (2) separate channels and meets the specifications of Section C.3.9.2.

4 Stenotype Service - A key board machine that prints symbols used to record speech and backup dual channel recording equipment.

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SECTION C - DESCRIPTION/SPECIFICATIONS/STATEMENT OF WORK

C.1 SCOPE

The U.S. Securities and Exchange Commission requires reporting, video and transcription services throughout the continental United States ("CONUS"), as well as Alaska, Hawaii and Puerto Rico ("outside the CONUS"), and foreign locations when required, in accordance with the terms, conditions, and specifications set forth in this contract.

C.1.1 Background

C.1.1.1 The SEC administers and enforces Federal securities laws and the rules and regulations adopted to secure compliance with those laws. Each law administered by the SEC authorizes investigations to determine whether violations have occurred.

C.1.1.2 The SEC needs to retain an accurate transcription record of the public and nonpublic administrative meetings and hearings it holds to facilitate the regulation of the securities industry.

SEC proceedings frequently involve highly technical subject areas such as economics, finance, statistics, and sophisticated business or manufacturing terms. According to SEC Rules of Practice, Rule 360 (17 C.F.R. § 201.360), public administrative proceedings must be completed on an expedited schedule.

C.1.1.3 The SEC requires an accurate transcription record of investigations in which both nonpublic testimonial and documentary evidence is obtained. Witnesses may testify voluntarily or may be compelled to testify under a subpoena.

C.1.1.4 The SEC requires some video services of investigations. Witnesses may testify voluntarily or may be compelled to testify under a subpoena.

C.1.2 Definitions

C.1.2.1 Schedule A includes all transcripts produced in public proceedings and in all public advisory committee meetings as defined in the Federal Advisory Committee Act, 5 U.S.C. Appendix 2 § 1 et seq.

C.1.2.2 Schedule B includes all transcripts produced in nonpublic SEC proceedings and nonpublic advisory committee meetings. Schedule B includes Equal Employment Opportunity and Inspector General reporting sessions.

C. 1.2.3 Schedule C includes all nonpublic transcripts not under Schedule B. The Schedule C includes, but is not limited to, nonpublic investigative testimony, nonpublic SEC meetings, and any other matters that the SEC determines should be treated as nonpublic.

C. 1.2.4 Schedule D includes those transcripts produced from electronic media (CD or DVD) or video tape recordings furnished by the SEC for which transcription-only services are required.

The tapes to be transcribed include, but are not limited to, hearings, recordings of depositions, conversations, conferences, instructional sessions, and speeches.

C. 1.2.5 "Stenotype service" includes use of both a keyboard machine that prints symbols used to

Page 29 of 101 SECHQ1-16-R-0002 record speech and backup dual channel recording equipment.

C. 1.2.6 “Video services” include creating video recordings of investigations, set up and tear down audio/video equipment, process video/transcript synchronization and providing DVD.

C.1.2.7 "Concordance report" is an alphabetical listing of the words and phrases in a text with sufficient surrounding words to assess meaning and a citation providing the location of the word or phrase in the original text.

C.1.2.8 "Computer-readable CD" is a personal computer (PC) 5.25-inch compact disc (CD) that contains transcript files that meet the specifications in Section F.2.

C. 1.2.9 "Unedited CD" (dirty CD) is a CD containing an unedited, uncertified, English language draft version of a testimony segment, or recording session, or day's proceedings, whichever comes first, recorded by stenotype and delivered to the Presiding Officer at the end of the segment, session, or day, as applicable or when rush or daily delivery is ordered by the Commission or by a member of the Public. The unedited transcript contains errors, some of which could change the accuracy or meaning of the testimony. The unedited text copy may not be used to contradict the subsequent official edited and certified transcript.

C. 1.2.10 "Presiding Officer" is a Commissioner, Administrative Law Judge, SEC attorney, or other person in charge of a proceeding.

C.1.2.11 "Metro D.C." includes Washington, D.C., the cities of Alexandria, Falls Church and Fairfax in Virginia, the counties of Arlington, Loudoun, and Fairfax in Virginia, and the counties of Montgomery and Prince George's in Maryland.

C.1.2.12 "CONUS" is the Continental United States; it excludes Hawaii, Alaska, and any offshore territories such as Puerto Rico, all of which are "outside CONUS".

C.2 APPLICABLE DOCUMENTS

5 U.S.C. § 551(12) as Amended, Definition of "agency proceeding"

5 U.S.C. § 552 as Amended, Freedom of Information

Act 5 U.S.C. § 552a as Amended, Privacy Act

5 U.S.C. § 552b as Amended, Government in the

Sunshine Act

5 U.S.C. Appendix 2 § 1 et seq., Federal Advisory

Committee Act

American National Standards Institute (ANSI) Standard X3.4-1967 American Standard Code for Information Interchange (ASCII) U.S. Securities and Exchange Commission (SEC) Rules of Practice, Rule 351 and Rule 360 (17

Page 30 of 101 SECHQ1-16-R-0002

C.F.R. §§ 201.351 and 201.360)

National Court Reporter's Association, Code of Professional Ethics and General Guidelines for Professional Practice www.ncraonline.org.

C.3 REQUIREMENTS

C.3.1 Schedule A - Public Transcripts

C.3.1.1 The Contractor shall accurately record and transcribe by stenotype all administrative proceedings held before an Administrative Law Judge.

C.3.1.2 The Contractor shall deliver an original paper transcript, duplicate paper copies, condensed transcript copies with a concordance report, the original exhibits with a memorandum, if necessary (see Section C.3.14), computer-readable CDs, and the original cassette tapes and reporter's notes of the reporting session.

C.3.1.3 The Contractor shall correct transcripts only on order of the Administrative Law Judge presiding at the proceeding.

C.3.2 Schedule B - Non-Public Transcripts

C.3.2.1 The Contractor shall record and transcribe all nonpublic SEC proceedings and nonpublic advisory committee meetings including Equal Employment Opportunity and Inspector General reporting sessions.

C.3.2.2 The Contractor shall deliver an original paper transcript, duplicate paper copy, a condensed transcript copy with a concordance report, the original exhibits with a memorandum, if necessary (see Section C.3.14), a computer-readable CD, and the original cassette tapes and reporter's notes of the reporting session.

C.3.3 Schedule C - Non-Public Proceedings Transcripts

C.3.3.1 The Contractor shall record and transcribe all nonpublic proceedings not under Schedule B including, but not limited to, nonpublic investigative testimony, nonpublic SEC meetings, and any other matters that the SEC determines should be treated as nonpublic.

C.3.3.2 The Contractor shall deliver an original paper transcript, a duplicate paper copy, one condensed transcript copy with a concordance report, the original exhibits with a memorandum, if necessary (see Section C.3.14), one electronic copy sent through an SEC supplied, web-based system, and the original cassette tapes and reporter's notes of the reporting session.

C.3.4 Schedule D - Transcripts

C.3.4.1 The Contractor shall prepare transcripts from electronic cassette or video tape recordings furnished by the SEC using the same format that applies to stenographically reported transcripts.

http://www.ncraonline.org/

Page 31 of 101 SECHQ1-16-R-0002

The tapes to be transcribed include, but are not limited to, hearings, recordings of depositions, conversations, conferences, instructional sessions, and speeches.

C.3.4.2 The Contractor shall deliver an original paper transcript and a computer-readable CD. The Contractor shall return the SEC-supplied original electronic media, one condensed transcript copy with a concordance report and video tape recordings.

C.3.4.3 The Contractor shall deliver the DVD with transcript synchronization.

C.3.5 Data Integrity and Security. The Contractor shall keep copies of the transcripts, CDs, DVDs, and cassette tapes in its possession secure and confidential in accordance with the requirements stated in Section H.26.

C.3.6 Record of Transcript Sales. The Contractor shall keep records and accounts of all payments the Contractor receives from transcript sales (see Section H.18) on a per transaction basis. The records shall be available for inspection by the Contracting Officer's Technical Representative (COR) at any time. The Contractor shall provide a report indicating the number of transcripts sold for the previous six-month period by customer, transcript type (Schedule A, B, or C), number of pages, total number of transcripts and total dollar amount.

C.3.7 Scope of Reporting

C.3.7.1 The reporter shall create a complete and accurate verbatim record; that is, the reporter shall report and incorporate into the transcript everything spoken during a session unless the Presiding Officer directs otherwise.

C.3.7.1(a) Provided Material Played During Testimony: Should provided audio (i.e., CD, cassette tape, video, etc) be introduced, entered or played into the record by either party during testimony, it shall not be transcribed directly as part of the records. However, a blurb indicating audio was played by either party shall be entered into the transcript as [Audio Played].

C.3.7.2 The reporter's record shall include the following: 1) A record of appearances with the name identification of the parties who actually testify or speak at the proceeding or who request that their appearances be entered; 2) The reporter's entire recording and complete set of notes taken; and 3) Other matters as directed by the Presiding Officer.

C.3.7.3 The reporter shall ask the Presiding Officer for clarification whenever the reporter 1) has questions on the technical aspects of the hearing; 2) has other questions; or 3) fails to hear some part of the proceeding.

C.3.7.4 When a direction by the Presiding Officer conflicts with the provisions of the contract, the Contractor shall follow the direction of the Presiding Officer and shall immediately submit a full written report about the conflicting direction to the Contracting Officer and the COR.

C.3.8 Reporter Requirements

C.3.8.1 The Contractor shall provide as many competent reporters, other personnel, and equipment as may be necessary to promptly furnish transcripts in accordance with the

Page 32 of 101 SECHQ1-16-R-0002 requirements of this contract. To the maximum extent practical when requested by the SEC, the Contractor shall assign the same reporter to proceedings lasting more than one day.

C.3.8.2 The assigned reporter shall present himself/herself to the Presiding Officer at least 30 minutes before the designated time and at the designated place of the hearing. The reporter shall at all times be governed by the instructions of the Presiding Officer in matters affecting the composition of the record, adjournment to other times or places, and similar matters.

C.3.8.3 The assigned reporter shall have adequate supplies for at least two hours longer than the estimated duration of the reporting session as specified in the SEC's work order.

C.3.8.4 The reporter shall request and the Presiding Officer will grant a reasonable time for a recess so that the reporter may replace paper, tape, or other necessary materials used to perform the work.

C.3.8.5 The Contractor shall perform all work in a businesslike manner and according to the highest standards of the reporting profession as set forth in the National Court Reporter's Association (NCRA) Code of Professional Ethics and General Guidelines for Professional Practice. The Contractor's reporters shall be professional in their dress, appearance, and conduct during the course of their duties. Their actions shall always be in the best interest of obtaining an accurate record of reporting sessions.

C.3.9 Recording Requirements

C.3.9.1 Method. The Contractor shall use stenotype machines to recall specific testimony in all Schedule A matters and in other matters when specifically requested by the SEC. Otherwise, the Contractor may record reporting sessions under this contract using a stenotype machine or an electronic recording device, provided that the method selected is capable of accurately recording the proceeding verbatim, which may include highly technical terminology associated with the financial and securities industries. The Contractor shall record the sessions verbatim even under adverse conditions such as the presence of air conditioning or traffic background noise.

C.3.9.2 Electronic Recording Quality. The Contractor shall use an electronic recording device of such quality as to insure against error, misrepresentation of the speaker, or loss of sound. At a minimum, the equipment shall: 1) have two channels; 2) be continuously monitored by an operator;

3) include simultaneous playback and listening pre-amplification; 4) be able to identify the speaker;

and 5) recognize equipment malfunction.

C.3.9.3 Back-up System. Regardless of the method used, the Contractor shall provide at the site of the proceeding a back-up system of comparable quality that shall operate at the same time as the primary recording system during the proceeding.

C.3.10 Scope of Videotaping

C.3.10.1 The videographer shall create video recordings of legal investigations via digital recordings that can be converted to either CD Rom or DVD formats.

C.3.10.2 The videographer shall process video/transcript synchronization.

C.3.10.3 The videographer shall set up and tear down audio/video equipment.

Page 33 of 101 SECHQ1-16-R-0002

C.3.10.4 The videographer shall edit, arrange and display computerized documents.

C.3.10.5 The videographer shall back-up the recordings to ensure every second of the investigations is preserved.

C.3.11 Videographer Requirements

C.3.11.1 The Contractor shall provide as many competent videographers, other personnel, and equipment as may be necessary to promptly furnish video recordings in accordance with the requirements of this contract. To the maximum extent practical when requested by the SEC, the Contractor shall assign the same videographer to proceedings lasting more than one day.

C.3.11.2 The assigned videographer shall present himself/herself to the Presiding Officer at least 30 minutes before the designated time and at the designated place of the hearing. The videographer shall at all times be governed by the instructions of the Presiding Officer in matters affecting the composition of the video recording, adjournment to other times or places, and similar matters.

C.3.11.3 The assigned videographer shall have adequate supplies for at least two hours longer than the estimated duration of the reporting session as specified in the SEC’s work order.

C.3.11.4 The videographer shall request and the Presiding Officer will grant a reasonable time for a recess so that the videographer may replace CD/DVD or other necessary materials used to perform the work.

C.3.11.5 The Contractor shall perform all work in a businesslike manner and according to the highest standards of the videography profession as set forth in the Code of Professional Ethics for Certified Legal Video Services (CLVS). The Contractor’s videographers shall be professional in their dress, appearance, and conduct during the course of their duties. Their actions shall always be in the best interest of obtaining an accurate recording of the reporting sessions.

C.3.12 Videographer Recording Requirements. The Contractor shall provide videography services on a requested basis. The video is to be synched to the transcript for each testimony.

Videotaped testimonies will be delivered on a synched DVD in an MPEG-1 video file with LEF file for loading into LiveNote.

C.12.2 Video Recording Quality. The Contractor shall use a video recording device of such quality as to insure against error, misrepresentation of the speaker, or loss of sound.