Statement Of Work v4.pdf

RFP 50310225Q0078

Statement of Work

1. General

The is a Single Award, Indefinite Delivery, Indefinite Quantity (IDIQ) contract to provide the U.S. Securities and Exchange Commission (SEC) non-personal professional Enterprise Process Server and related ad-hoc services in support of the mission requirements of the SEC in all 50 U.S. states and the District of Columbia. The Contractor shall provide in accordance with issued Task Orders and Technical Instructions, all management, supervision, labor, facilities, and materials necessary to perform the services on an IDIQ basis.

2. Minimum and Maximum Amounts

(a) The estimated annual amount (i.e., sample quantities) for each contract line item (CLIN) are contained in the Estimated Quantity table of this Solicitation (Attachment 1). Those amounts represent the Government's best estimate of requirements as it relates to contract support and do not necessarily represent actual or budget needs. There is no guarantee that the estimates for each CLIN/contract period as contained in the Solicitation will accurately represent quantities ordered in the performance of the contract awarded under this Solicitation.

(b) The Government will order a guaranteed minimum amount of $1,000 when awarding this IDIQ contract. The specific Contract Line Item Numbers (CLIN) and quantities will be identified in the task order/ Technical Instructions issued under each task order. The exercise of the renewal options of the IDIQ contract does not re-establish the contract minimum. During the life of this IDIQ contract, the Government may order items in any quantity up to the maximum dollar amount specified in paragraph (c) below.

(c) The maximum aggregate amount of all task orders issued under the Process Server and ad-hoc services IDIQ contract shall not exceed $2,000,000 for the entire term of the IDIQ contract, including all options which may be exercised.

3. Pricing

(a) Routine, Rush, Service Plus and Ad-hoc Services prices are fully loaded, and include all costs such as labor, overhead, profit and travel. Under these services, routine travel is not allowed as a separate charge. (b) Other Direct Costs may be used for unusual expenses, such as incidental services for which there is not a labor category specified in the contract, non-routine or emergency travel, postage expenses, advance fees to gain access to a venue, etc.

4. Objective

The objective of this requirement is to obtain non-personal professional Enterprise Process Server and related Ad-Hoc Support Services to support the mission requirements of the SEC in all 50 U.S. states and the District of Columbia. The primary users of these services are expected to be the Division of Enforcement, but other Divisions and Offices of the SEC are authorized to use the services. The SEC is comprised of the Home Office (Washington, DC) and 10 Regional Offices. A list of the SEC offices and their addresses is provided in the list below.

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

Los Angeles Regional Office (LARO) 444 South Flower Street, Suite 900 Los Angeles, CA 90071

Atlanta Regional Office (ARO) 950 East Paces Ferry, NE, Suite 900 Atlanta, GA 30326-1382

Miami Regional Office (MIRO) 801 Brickell Avenue, Suite 1950 Miami, FL 33131

Boston Regional Office (BRO) 33 Arch Street, 24rd Floor Boston, MA 02110-1424

New York Regional Office (NYRO) 100 Pearl Street, Suite 20-100 New York, NY 10004-2616

Chicago Regional Office (CHRO) 175 W Jackson Boulevard, Suite 1450 Chicago, IL 60604

Philadelphia Regional Office (PLRO) 1617 JFK Boulevard, Suite 520 Philadelphia, PA 19103

Denver Regional Office (DRO) Byron Rogers Federal Bldg 1961 Stout Street, Suite 1700 Denver, CO 80294-1961

San Francisco Regional Office (SFRO) 44 Montgomery Street, Suiter 2800 San Francisco, CA 94104

Fort Worth Regional Office (FWRO) Burnett Plaza, Suite 1900 801 Cherry Street, Unit 18 Fort Worth, TX 76102

5. Tasks

Routine Service (first attempt within 72 Hours) Rush Service (first attempt within 24 Hours) Service Plus (all of the services included in this requirement plus special services, as determined by the SEC circumstances) Ad-Hoc Support Services (described below in subsection j)

The service provider is required to perform, in a timely manner, the following:

(a) Pick-up documents from the SEC office placing the order, or receive documents via email, fax, mail, or delivery service, as determined by the SEC. There will be no additional charge for the Contractor to print the documents emailed or faxed to them.

(b) Serve papers (including subpoenas, summons, complaints, notices to appear and other legal documents) by hand-delivery, or other means specified by SEC staff, upon individual or entity defendants, witnesses or others located throughout the United States in a manner authorized by the Federal Rules of Civil Procedure, or other applicable rules, and as instructed by SEC staff.

Perform such service within the time frames directed by SEC staff, and arrange for service to be performed by personnel meeting applicable requirements by SEC staff, such as being over 18 years of age and not a party to the case.

PLEASE NOTE that if a process server is issued a subpoena to give witness testimony in court, the SEC is allowed to pay for travel expenses, as defined in the Joint Travel Regulation, but may not pay the process server's wages.

(c) Serve, in an expedited manner and as directed by SEC staff, emergency action documents, such as papers in support of Temporary Restraining Orders, and other requests for emergency relief individual and entity defendants, witnesses, and others.

(d) Use skip tracing or any other means to identify the current location and addresses of defendants, witnesses, or others who are to be served with papers.

(e) Immediately advise the SEC point of contact of the status of any served complaints, orders or other papers. Also immediately advise the SEC point of contact after three (3) failed service attempts, and describe any problems in effecting service (e.g., the individual or entity we intend to serve no longer is located at the address provided). In the event this is a Rush Service or Service Plus request, contact the SEC point of contact immediately following one (1) failed attempt for further instructions. If a Rush Service has been ordered, the SEC staff may change it to Service Plus.

(f) When required by the SEC, provide stake-out process service personnel to watch a location and, if requested by SEC, effect service if the subject individual appears at the location.

(g) Provide returns of service, declarations, affidavits and/or other supporting documentation evidencing service or attempted service upon defendants or parties in compliance with the Federal Rules of Civil Procedure, or other applicable rules, to the SEC promptly after effecting service. Such returns of service must be in proper form specified by SEC staff, such as notarized returns of service, if necessary. (Note: payment will not be tendered without proper service documentation; this is critical in litigation since returns might have to be filed with the court).

(h) Provide administrative assistance relating to the SEC account, including: maintaining accurate records relating to all work performed for the SEC; providing bi-weekly billing and estimated budget reports to the SEC; and providing prompt correspondence, guidance and updates to SEC staff regarding work performed.

(i) Service Plus: all of the above plus special circumstances as described by the SEC.

(j) Ad-hoc Services: Perform other process server related services as follows:

1. Serve subpoenas by USPS mail. Receive subpoena packages from SEC offices via secure email, print, and mail each subpoena to addressee within 24 hours via USPS regular mail or Express Overnight Mail without signature receipt as directed by the

Government. For requests received on Friday, those mailings shall be processed on the next business day.

2. Serve legal documents by Certified Mail. Print documents received from the Government via electronic means, prepare envelope with addressee's information, prepare USPS Certified Mail card, mail package via United States Postal Service (USPS) certified mail, scan and email a copy of the USPS certified mail receipt to the Government, provide same day service, except for documents received after 3:00pm EST which shall be served the following business day.

3. Serve documents to Congress via courier. Pick-up documents from the courier office at SEC Headquarters prior to 2:00pm EST and hand-deliver within business hours on the same day to designated locations in the House and Senate buildings in Washington, DC, obtain a signature from the Congressional staff person who receives the package, and electronically deliver a copy of that signed page to SEC.

Service by Social Media

Serve documents by social media. Obtain documents from the Government that the Government specifies are to be served by social media. The Government will specify the particular social media platforms and recipient accounts on which the documents are to be served. The service provider will then serve the documents on behalf of the Government to the individuals at the designated social media platforms and recipient accounts by using the direct messaging feature on the applicable social media platform. The service provider will not “friend” or follow individuals on social media to carry out service. After service is complete, the service provider will prepare an affidavit of service describing the manner in which service was effected. If the recipient acknowledges receipt within three business days, that should be noted in the affidavit of service. If a servee attempts to engage in further conversation with the service provider after service has been completed and acknowledged, the service provider shall refer the individual to a specific point of contact within the Government, for whom a name, email, and phone number should be provided when the request is initiated.

This service modification is contingent on social media platforms’ terms of service and the service provider's ability to create accounts that a social media platform does not suspend. The service provider may have no control or ability to reinstate accounts suspended for appearing like a fake account, for being reported by a servee or for other unforeseen reasons. The service provider agrees to use and maintain its accounts in order to avoid being suspended. The service provider shall not be held responsible for glitches or actions on the part of social media platforms.

Routine will be defined as within three business days from receipt of the request. Rush will be defined as within 24 hours from receipt of the request, excluding weekends and federal holidays.

Completion may be delayed at the sole discretion of the service provider due to account creation, account reinstatement, or any other hindrance.

6. Task Reporting

(A) The Contractor shall be responsible for reporting progress on each process service order it is working on. The Contracting Officer's Representative (COR) may require a variety of daily, weekly, and monthly reports. Examples include progress reports, monthly narratives of accomplishments, and contract funding and expenditures, invoices outstanding, and balance and burn rate status reports. The Contractor should note that specialized reports maybe required, particularly on large and complex cases, matters and projects. All reports described in this section are considered part of the company's overhead costs for overall contract project management and are not separately billable. Costs for copying reports for distribution are not separately billable. Reports may also be required in electronic form, as specified by the SEC. Ad hoc reports must be provided in a timely fashion by the deadlines specified by the SEC.

Meetings with the COR will be required, sometimes with little or no advance notice, to discuss these reports. There will be a quarterly report providing an analysis of subpoena delivery success rate for the quarter and for the contract to date.

DELIVERABLES

Section Deliverable Delivery Timetable Deliver To Delivery Schedule 5(g) Returns of

Service, documentation of service, etc.

After every instance of the SEC requiring process server or ad-hoc services

COR and SEC POC who contacted the Contractor, or other designated

POC

Once after each SEC technical direction to serve papers.

Provide to SEC as required by the SEC designated POC, or if not otherwise given a required due date, provide in this time frame: Routine Service and Service Plus - within 48 hours; for Rush Service - within 24 hours.

5(h) Billing and estimated budgeting reports

Bi-weekly after SEC issues technical direction to serve papers. The reports are to include all such direction at the time of the report.

COR Every two weeks, after contract award date.

5(h) Correspondence, guidance and updates to SEC

Bi-weekly after SEC issues technical direction to serve papers. The reports are

COR Every two weeks, after the contract award date.

staff regarding work performed to include all such direction at the time of the report.

5(j) Ad Hoc Reports The Contractor shall be responsible for reporting progress on each service it has been given technical direction to perform.

Examples include reporting progress, giving narratives of accomplishments, contract funding and expenditures, invoices outstanding, and balance and burn rate status reports.

Numerous additional reports that may be required for individual cases, matters, and projects will vary with the needs of the case, matter and project.

The Contractor shall modify all reports to accommodate the needs of the individual cases, matters, and projects.

The contractor shall also provide specified ad hoc reports and timely written minutes of ad hoc meetings as required by the COR.

Contracting Officer

(CO), COR

As required by either the CO or COR.

6(A)

Success Rate Analysis

The Contractor shall provide a quarterly report providing an analysis of subpoena delivery and ad- hoc services success rate for the quarter and for the contract to date.

COR Quarterly, after the contract award date.

PERIOD OF PERFORMANCE

The period of performance for the contract shall be five (5) one-year ordering periods with one

(1) six-month ordering period as follows:

Ordering Period Dates Ordering Period 1 09/18/2025 - 09/17/2026 Ordering Period 2 09/18/2026 - 09/17/2027 Ordering Period 3 09/18/2027 - 09/17/2028 Ordering Period 4 09/18/2028 - 09/17/2029 Ordering Period 5 09/18/2029 - 09/17/2030 Option Period 09/18/2030 – 03/17/2031

7. Technical Direction

(A) When necessary, technical direction or clarification concerning the details of specific tasks regarding an existing Task Order(s) shall be given through issuance of Technical Instruction (TI) by the Contracting Officer's Representative (COR).

(1) Each TI shall establish the effort to be expended for its performance and the number of words, man hours, etc. which shall not be exceeded if necessary.

The TI may be used to:

a. Specify tasks to be accomplished.

b. Specify performance milestones and metrics (if applicable).

c. Specify number of man hours to accomplish task within limits established in the Technical Instruction.

d. Specify deliverables.

e. Provide other direction as may be required to successfully achieve the objectives within the parameters by the Technical Instruction.

f. Each TI shall be in writing (with a carbon copy to the Contracting Officer) and shall include, as a minimum, the following information:

(i.) Date of TI;

(ii.) Task Order and TI numbers (issued in numerical sequence);

(iii.) Reference to the relevant section or item in the IDIQ and/or Task Order statement of work and;

(iv.) Signature of COR.

(2) Each TI issued hereunder is subject to the terms and conditions of this IDIQ contract and the applicable existing Task Order, and in no event shall technical directions constitute an assignment of new work or changes to such nature as to justify any adjustment to the fixed fee, estimated costs, or delivery terms under the IDIQ contract and applicable Task Order. In the event of a conflict between a TI and this IDIQ contract and Task Order, the latter two contracts shall control.

(3) When in the opinion of the contractor a technical direction calls for effort outside the IDIQ contract and/or Task Order contract statement of work, the contractor shall notify the Contracting Officer thereof in writing, with a copy to the COR, within two (2) working days of having received the technical direction in question. The contractor shall undertake no performance to comply with the technical direction until the matter has been resolved by the Contracting Officer through formal contract modification or other appropriate action.

(4) Oral technical directions may be given by the COR only in emergency circumstances, and provided that any oral technical direction given is reduced in writing by the COR within two (2) working days of its issuance.

(5) Amendments to a TI shall be in writing and shall include the information set forth in paragraph (b) above. A TI may be amended orally only by the COR or ACOR in emergencies; oral amendments shall be confirmed in writing within two (2) working days from the time of the oral communication amending the TI by a TI modification.

(6) Any effort undertaken by the contractor pursuant to oral or written technical directions issued other than in accordance with the provisions herein shall be at the contractor's risk of not recovering related costs incurred and corresponding proportionate amount of fixed fee, if any.

(B) Only the Office of Acquisitions is authorized to place task orders directly with the Contractor and only the Contracting Officer Representative and Contracting Officer are authorized to place Technical Instructions.

(C) Any order issued during the effective period of the contract and not completed within that period shall be completed by the Contractor within the time specified in the order. In no event shall the completion date for any task order extend for a period of more than 180 days beyond the expiration date of the contract. In such instances, the contract shall govern the Contractor's and Government's rights and obligations with respect to that order to the same extent as if the order were completed during the contract's effective period.

(D) Funds for services to be provided under this contract will be obligated by each task order in a not-to-exceed (NTE) amount. The Government shall not be obligated to pay the Contractor any amount in excess of the NTE amount identified in the task order, and the Contractor shall not be obligated to continue performance if to do so would exceed the NTE amount unless and until the Contracting Officer shall have notified the Contractor in writing that the task order amount has been increased and shall have specified in the notice a revised NTE amount.

(E) The maximum aggregate amount of all Technical Instructions issued under this contract is specified in Section 2(c).

List of Attachments

1) Attachment 1: Pricing Template

2) Attachment 2: Rules of Practice

3) Attachment 3: Domestic Return Receipt Form PS 3811

4) Attachment 4: Domestic Certified Mail Receipt Form PS3800

5) Attachment 5: Green Card with SEC Return Address

6) Attachment 6: Service Instructions for OS Certified Mail Requirements (Certified Mail

Receipt after Information Entered (to be scanned and returned to SEC after mailing))

7) Attachment 7 Special Mail Labels for Incarcerated Individuals

8) Attachment 8: Non Disclosure Agreement (Entity)

9) Attachment 9: Non Disclosure Agreement (Personnel)