StenoServices_Attachment_9-1_PerformanceWorkStatement 27July2022.pdf

Federal Trade Commission Office of the Chief Administrative Services Officer

Communication and Information Management

Attachment 9.1 - Performance Work Statement Stenographic and Remote Deposition Services

Attachment 9.1 – Performance Work Statement

Table of Contents

1.0 – Introduction

1.1 - Background

1.2 – Statement of Need

2.0 – Constraints and Requirements

2.1 – Laws and Regulations

2.1.1 – Federal Laws and Regulations

2.1.2 – Federal Standards

2.2 – Security Requirements

2.2.1 – Federal Risk and Authorization Management Program (FedRAMP)

2.2.2 – Other Security Requirements

2.3 – System (Platform) Requirements

2.4– Certification and Licenses

2.5 – Invoice Requirements

2.6 – Matter Categories

2.7 – Staffing Requirements

3.0 – Performance Work Statement

3.1 – General Requirements

3.2 – Service Requirements

3.3 – Service Execution

3.4 – Types of Service Requests

3.4.1 –Transcription Services

3.4.2 – Real-Time Reporting Services

3.4.3 – Translation and Interpreter Services

3.4.4 – Video and Audio Recording Services

3.4.5 – Videoconferencing Services

3.4.6 – Other Services

3.5 – Transcript Formatting

3.6 – Exhibits

3.7 – Administrative Support (Optional CLIN)

4.0 – Key Personnel

4.1 – General Requirements

4.2 – Project Lead

5.0 – Performance and Deliverables

5.1 – Deliverables

5.1.1 – Transition Plan

5.1.2 – Quality Control Plan

5.1.3 – IT System Security Plan

5.1.4 – Transcripts, Exhibits, and Other Media

5.1.5 – Weekly Report and Invoicing

5.1.6 – Monthly Activity Report

5.1.7– Ad Hoc Report

5.2 – Schedule of Deliverables

5.3 – Performance Requirement Summary

5.4 – Performance Monitoring

6.0 – Period and Place of Performance

6.1 – Period of Performance

6.2 – Place of Performance

6.3 – Hours of Operation

1.0 – Introduction

1.1 - Background

The Federal Trade Commission (FTC) is an independent federal government law enforcement and regulatory agency with the authority to promote and protect consumers’ welfare through its jurisdiction over both consumer protection and competition issues. The FTC’s mission is to work to protect consumers by preventing anticompetitive, deceptive, and unfair business practices, enhancing informed consumer choice and public understanding of the competitive process, and accomplishing this without unduly burdening legitimate business activity.

Within the FTC, the Office of the Chief Administrative Services Officer (OCASO) enables FTC’s mission by keeping staff and visitors, property, and information safe and secure in a civil and respectful work environment. OCASO’s Communication and Information Management (CIM) team manages a mission critical contract for Stenographic and Transcription Support Services.

1.2 – Statement of Need

The Federal Trade Commission has a need for the services of a qualified contractor to provide Comprehensive Court Reporting and Transcription Support Services (CCRTS) for public and non-public meetings, hearings, depositions, trials and arbitrations, conferences and workshops, Equal Employment Opportunity (EEO) statements, and other proceedings held within the District of Columbia, 50 states, United States territories, and internationally.

2.0 – Constraints and Requirements

2.1 – Laws and Regulations

2.1.1 – Federal Laws and Regulations

Privacy Act of 1974 o 5 U.S. Code § 552a - Records maintained on individuals o 16 CFR § 4.13 - Privacy Act rules

Electronic Government Act of 2002 Freedom of Information Act (FOIA) Federal Information Security Modernization Act of 2014 (FISMA) Federal Trade Commission Act o Section 6(f) o Section 21, 15 U.S. Code § 57b–2 - Confidentiality o 16 CFR § 4.10 - Nonpublic material

Hart–Scott–Rodino Antitrust Improvements Act Procurement Integrity Act Federal Records Act

2.1.2 – Federal Standards

Federal Information Processing Standards (FIPS) o 199 – Standards for Security Categorization of Federal Information and

Informational Systems o 200 – Minimum Security Requirements for Federal Information and Information

Systems o 201 – Personal Identify Verification (PIV) of Federal Employees and Contractors

Office of Management and Budget (OMB) Memorandums o M-05-08 - Designation of Senior Agency Officials for Privacy o M-06-15 – Safeguarding Personally Identifiable Information (PII) o M-06-16 - Protection of Sensitive Agency Information o M-07-16 - Safeguarding Against and Responding to the Breach of Personally

Identifiable Information o M-10-23 - Guidance for Agency Use of Third-Party Websites and Applications

National Institute of Standards and Technology (NIST) o NIST Risk Management Framework o SP 800-30 – Guide for Conducting Risk Assessments o SP 800-39 – Managing Information Security Risk o SP 800-53 – Security and Privacy Controls for Information Systems and

Organizations o SP 800 -61 – Computer Security Incident Handling Guide o SP 800-122 – Guide to Protecting the Confidentiality of Personally Identifiable

Information (PII) U.S. Cybersecurity & Infrastructure Security Agency o US-CERT (Computer Emergency Readiness Team) Federal Incident Notification Guidelines

2.2 – Security Requirements

In additional to all laws, regulations, and standards as detailed in Section 2.1, the contractor shall adhere to all security requirements and guidelines as detailed below.

2.2.1 – Federal Risk and Authorization Management Program (FedRAMP)

Implemented solutions shall be compliant, at a minimum, with the FedRAMP moderate impact level control set. This FedRAMP authorized status must be maintained throughout the period of performance of any resultant contract.

Joint Authorization Board (JAB) provisional authorization is preferred, but not required. No more than 15 days after award of the base and each option period, or on any alternatively agreed schedule, the Contractor must provide evidence of FedRAMP compliance or a FedRAMP authorization to operate (ATO).

If there is a lapse in its FedRAMP authorized status, the Contractor must notify the FTC immediately upon knowing of the lapse to receive FTC instruction on facilitating an export and destruction of any FTC data in its possession, as specified by the FTC.

2.2.2 – Other Security Requirements

1) The contractor shall adhere to all statutory responsibilities under Federal Law that apply to information technology and the Federal Trade Commission including, but not limited to, the following:

National Institute of Standards and Technology Federal Information Security Modernization Act of 2014 Office of Management and Budget Information Security directives Department of Homeland Security directives and best practices Federal Trade Commission policy, procedures and guidelines, and other industry accepted standards.

Any information system provided by the contractor shall have all non-federal government roles fulfilled by the contractor unless stipulated by the FTC.

All FTC Information Security Program requirements must be met.

If a system or third-party service is being provided that interacts with FTC Information systems, or networks, contractor shall develop, write, review, and update an assessment of applicable FISMA and NIST SP 800-53 (latest version) controls annually for the FTC system.

The contractor shall provide an annual report to a designated FTC Authorizing Official (AO) detailing how security controls are being followed for the FTC system (Self- Assessment/Self-Report). All security related risks, audit findings, material weaknesses, and open Plan of Action and Milestones (POA&Ms) related to the FTC systems are the responsibility of the Contractor to correct, mitigate, or resolve in a timely manner.

2) The contractor shall continuously monitor any system or service deployed for the FTC for network-based security threats, such as Denial of Service Attacks, and deploy appropriate attack detection and mitigation tools.

The contractor shall report network-based security incidents as defined by the most current NIST Special Publication 800-61 and United States Computer Emergency Readiness Team (US-CERT) Concept of Operations for Federal Cyber Security Incident Handling to the Contracting Officer’s Representative (COR) in accordance with FTC Incident Reporting Guidelines.

The contractor shall also notify and report any incident on any contractor owned or contractor utilized system and services that would interact with FTC network or systems.

Examples include, but are not limited to, the following:

Contractor network general support systems

Contractor collaboration spaces Cloud and dashboards spaces/portals

The contractor will also proactively notify the COR and the FTC IR team of any usage of DHS publicized compromised software or hardware. DHS has in the past issue these in Emergency Directives, Executive Orders, or Binding Operational Directives. Examples would include usage of Kaspersky, Huawei Networks, SolarWinds, and PulseSecure VPN.

3) The contractor shall provide an Information System Security Officer (ISSO) to work with the FTC’s OCIO Continuous Assurance Team to respond to any data calls and/or audit artifact responses in the time frames and format given in the request.

If a designated ISSO is not provided, FTC will provide the necessary ISSO services and will charge back the contractor for services rendered. Acknowledgement of data call, or provided by customer receipt at the time of receipt, is required. Any difficulty in responding to clarifications must be made within one business day.

4) If the contractor is issued FTC network accounts or privileged accounts, the contractor shall adhere to FTC Rules of Behavior.

The contractor shall also ensure that contractor staff has proper clearances and backgrounds to match the level of responsibility in accordance with FTC policy.

The contractor shall ensure that all FTC mandated training is properly taken in the time frames that is requested. Failure to adhere to any of the above requirements can result in revocation of access and termination of accounts. If contractor cannot perform work due to revocation of accounts, the contractor can be subjected to fiduciary penalties.

5) The contractor shall work with the FTC’s OCIO Continuous Assurance on any monthly security metrics and any other reporting/data calls as required. Accurate formatting and reporting of metrics are expected. Artifacts to explain and justify the metrics may be requested by the FTC as a follow up, and must be readily available.

6) The contractor shall adhere to the NIST Risk Management Framework and prepare and complete the Authorization & Accreditation package for any system or service that will contain or continuously interact with FTC data.

The contractor shall ensure that the system obtains an Authority to Operate or Approval to Use from the FTC. Failure to do so could result in revocation of the use of software and/or system. FTC can request any supporting documentation/demonstration/walkthroughs/site visits and the contractor shall work to coordinate and supply in the requested time frame.

7) For Authority to Operate and Approvals to Use, the contractor shall assess FTC Key Controls and 1/3 Annual controls starting one year after the ATO has been completed as part of the continuous monitoring process.

The contractor shall develop a report and submit all findings to the FTC Authorizing Official (AO) on an annual basis. Every year thereafter, the contractor shall assess the remaining controls and report back to the FTC AO within 6 months.

8) Vulnerability Remediation

If a contractor provides a system or service that contains or interacts with FTC data, the contractor shall coordinate with FTC’s OCIO Continuous Assurance to conduct a Vulnerability Assessment, to include scanning, or Penetration tests of the system.

The contractor shall ensure that proper access, protocols, and process are provided and followed. The FTC will identify the scanning device or tool used. FTC scanning will be conducted or coordinated by/with FTC staff.

Vulnerabilities or deviations from Federal baseline configurations found in the system or service to the FTC must be addressed in accordance with FTC guidelines. Vulnerabilities or deviations that cannot be addressed in the timeframes must be recorded as a POA&M and worked according to the timelines given or risk accepted.

9) The contractor shall develop plans and provide services for integration with the FTC enterprise service for identification, authentication, access control, and monitoring.

Deviations from FTC enterprise services must be properly justified and documented.

10) Independent Validation and Verification (IV&V) and Change management.

Any system or service that contains FTC data must be independently verified and validated prior to being moved into production. The system shall adhere to FTC policy and procedures on change management.

Major changes to the system as defined by NIST 800-37, which includes but is not limited to changes in throughput, environment, hardware and software, or workflow will need to be followed by an IV&V. Deviations or issues identified from the FTC must be properly justified and documented through FTC POAM process.

2.3 – System (Platform) Requirements

The Stenographic and Remote Deposition system (platform) shall have the ability to:

Work with MS Office products (i.e., Word, Excel) and PDF files (Adobe) Upload exhibits for numbering Link and share exhibits across witnesses Link exhibits to text file for loading into an electronic transcript management system (i.e., Text Map) Use a secure file transfer platform/system1 for transcript and exhibit submission and/or sharing Record remote depositions directly from a platform (i.e., recording session via Zoom, Teams, or similar platform)

1Note: The FTC currently uses the Accellion (Kiteworks) platform/system for its secure file transfer platform/system. FTC reserves the right to change platform/systems at any time. The FTC will notify the contractor of any change to FTC’s secure file transfer platform/system.

2.4– Certification and Licenses

All personnel assigned in support of this contract shall be fully licensed and/or certified, as required, in the jurisdiction in which the work will be performed.

2.5 – Invoice Requirements

In addition to the invoicing requirements detailed in FTC Clause 1152.232-91, Electronic Invoicing and Payment Requirements, the following information shall be included with each invoice:

Matter number Date of service Estimate number and/or order number Invoice number Summary invoice number (PDF summary) Paid date CLIN number

The contractor shall submit one invoice per service order via batch invoicing.

Batch invoicing shall be submitted to IPP approximately once every three weeks o The FTC reserves the right to change the frequency of batch invoicing if needed

Copy sales are restricted to the parties identified on the service order request form Other copy sale requests are prohibited without the written approval of the FTC Requests for a copy sale must be submitted via email to courtreporters@ftc.gov

2.6 – Matter Categories

A “Matter” is any FTC event that requires the creation of an official record of the event. For the purpose of this requirement, the FTC has identified three categories of "Matters".

1) Class A Matters (Investigative Matters)

Class A Matters includes all transcripts produced for investigative matters as detailed in 16 CFR, Chapter I – Federal Trade Commission, Subchapter A – Organization, Procedures, and Rules of Practice 16 CFR Part 2 – Nonadjudicative Procedures 16 CFR Part 3 – Rules of Practice for Adjudicative Proceedings

2) Class B Matters

Class B Matters includes all transcripts produced for Federal District Court, Federal Bankruptcy Court, and all other Federal Court Matters.

3) Class C Matters

All transcripts produced for other than Class A or Class B Matters (i.e., conferences, workshops, or internal FTC activities such as EEO statements). Class C Matters may also include transcripts of activities such as telephone calls, TV Commercials, infomercials, and internet videos.

2.7 – Staffing Requirements

While not normally applicable to the types of services performed under this requirement, the FTC reserves the right to request background investigations and security clearance to the “Public Trust” level for staffing. If requested by the FTC, the contractor shall ensure that all personnel assigned in performance of this award are able to obtain and maintain a security clearance as determined by FTC Personnel Security in accordance with FTC Clause 1152.204-90, Contractor Personnel Security Requirements.

The contractor shall ensure that all staff assigned in support of this contract possess the appropriate qualifications and skills for the type of service requested, and hold the necessary certifications and licenses required to perform the tasks detailed in Section 3.

The contractor shall make available a duly licensed and authorized Notary Service as necessary.

For services in locations where English is not the primary language, the contractor shall provide court reporters, notaries, translators, and/or interpreters, as necessary that are fluent in that country's official language. Court reporters, notaries, translators and/or interpreters that are fluent in other languages may also be required for services within the United States or its territories.

3.0 – Performance Work Statement

For the duration of this contract, including any exercised option periods, the contractor shall provide all management, personnel, support, supplies, material, and equipment required to provide uninterrupted performance of all tasks as detailed in this Section 3.0 – Performance Work Statement, and in accordance with the laws, regulations, and guidelines detailed in Section 2.0 – Constraints and Requirements.

For the purposes of this requirement the term “event” shall mean any hearing, deposition, trial and arbitration, conference and workshop, Equal Employment Opportunity (EEO) statement, or other proceedings where services are requested by the FTC.

3.1 – General Requirements

Requests for specific services will be made by authorized FTC personnel via web-based portal.

The contractor shall provide access to a web-based portal for FTC personnel to submit service orders/requests.

Upon receiving a service order from FTC authorized personnel, the contractor shall:

Within two hours of receipt of service order, send an estimated cost to the FTC via email at courtreporters@ftc.gov

Provide stenographic and/or transcription services as detailed in the service order.

Upon completion of services, submit an invoice to FTC.

The contractor shall ensure that:

The Contracting Officer’s Representative (COR) receives all email confirmations, via courtreporters@ftc.gov, when requesters use the contractor’s portal, including confirmation of any changes to requested services (i.e., cancellations, changes in venue).

The COR receives, via courtreporters@ftc.gov, the same estimate that requesters receive for pending services.

Contractor sends encrypted electronic deliverables to court reporters and requester/staff persons’ mailbox.

Contractor sends the COR batch invoices, via courtreporters@ftc.gov, prior to uploading to the Invoice Processing Platform (IPP) for payment.

3.2 – Service Requirements

The contractor shall:

1) Provide services in a manner that is compliant with professional certifications and legal standards, including secure methods, regardless of the format or quantity of the materials being delivered or produced.

2) Provide services at domestic and international locations on short notice. Short notice is defined as 24 hours or less for domestic services and five days or less for international locations.

3) Manage access logistics, as required, for U.S. and international facilities.

4) Secure any required passes, U.S. State Department permits, or documentation related to travel, and security/background requirements for entry to service locations.

5) Arrange for services as required by the Government, including:

Locating and reserving deposition space.

Arranging for fax and telephone access.

Arranging for audio, video, video conferencing capabilities, or other technologies as necessary at these locations.

Coordinating with facilities, both domestic and international, to arrange use of space within courthouses, state and federal agency offices, conference and motel/hotel facilities, and other locations as specified by the FTC.

6) Ensure that personnel, while performing live reporting, use FTC-approved methods and/or procedures to verify the accuracy of deliverables.

7) To the greatest extent possible, provide contact information for individuals performing services prior to the event for the sole purpose of confirming and/or coordinating event specific details (i.e., location, time, type, etc.) between contractor and the FTC.

8) In the event the contractor is required to redact information electronically for delivery to or on behalf of the FTC, the contractor shall use electronic redaction software or other equipment, technology, and methods approved by the FTC to ensure that such redaction is done securely, completely, and otherwise properly.

9) Ensure all changes requested "in the field" at the time of service by FTC personnel have approvals confirmed via the Communication and Information Management Office (CIM) prior to acting upon such changes, whenever possible.

When this is not feasible, it is the contractor's responsibility to inform the Contracting Officer’s Representative (COR), or other designee in writing (via email) within 24 hours of the order amendment and/or modification in order for such additional expenses to be eligible for payment.

Such change notices shall include sufficient detail about the changes requested so final invoicing can be verified.

10) Once an event commences, the contractor shall ensure continuity of services until released or recessed by presiding authority.

11) Notify the COR of technical and process related problems/issues or potential problems that may affect the performance as soon as possible via email and telephone.

Examples of problems and issues that require COR notification are late attorney arrival, late stenographer/court reporter arrival, broken court reporting machine, technical difficulties with equipment

12) Perform periodic review of information security processes for tasks such as, but not limited to device and network security, file/document transfer of electronic products (i.e., email, encrypted attachment or Secure File Transfer Protocol [SFTP]), and document storage and duplication.

3.3 – Service Execution

The contractor shall:

1) Include with each live-reporting order:

One electronic copy of the transcript transmitted through an approved format (i.e., encrypted files sent via email, secure web-based portal, jump drive, or CD).

One condensed transcript (mini transcript).

If requested, physical transcript (up to three total).

o One transcript marked “original”, and two transcripts marked “copy”.

2) Include with each transcription service order:

One electronic copy of the transcript transmitted through an approved format (i.e., encrypted files sent via email, secure web-based portal, jump drive, or CD) sent through an approved, secure electronic transfer method.

If requested, physical transcript (up to two total) o One transcript marked “original”, and one transcript marked “copy”.

3) Provide all deliverables to a requested location and/or to the designated email accounts as defined within the individual order(s) and to the presiding official (or designee) for all products of a service.

The contractor shall provide a method to ensure 100% accuracy of delivery and tracking of contents of all shipments and media.

4) Verify the deliverables associated with each electronic order and ensure electronic deliverables and associated inventories are sent to FTC via secure electronic means such as email with file encryption, secure file transfer protocol, or on an encrypted storage device.

5) Ensure physical deliveries to the Washington DC FTC offices are from the contractor’s office nearest to the Washington DC area. All such deliveries shall be direct from the contractor to the FTC OCASO staff.

6) Be able to accept and confirm receipt of FTC order information at a minimum via telephone, facsimile, and email to arrange for services.

7) Unless otherwise instructed by the government, maintain all source materials and documentation of services provided in a secure, stable, and retrievable condition as the basis for expense and legal remedy reports, and order analysis.

8) Ensure the delivery location for all orders to OCASO at FTC HQ or the FTC Constitution Center are Free on Board (FOB).

9) Ensure delivery to additional addresses as required by each order or as directed by FTC OCASO Staff.

10) The contractor shall have a process in place for order changes and coordination or scheduling that may occur after normal business hours. Normal working hours are defined as Monday through Friday 8:00 AM to 5:00 PM (ET).

3.4 – Types of Service Requests

3.4.1 –Transcription Services

The FTC requires the delivery of transcription services that can range from same day to 15 days.

Transcription services can be requested for, but not limited to the following:

Deposition, hearing, arbitration, EEO statements transcripts.

Trial, meeting, workshop, conference Transcripts.

Transcription for audio tape, CD, or Wav Files.

Transcription for video tape, VHS, web-based media files.

Video-to-Text Synchronization on CD or DVD.

3.4.2 – Real-Time Reporting Services

Real-Time Reporting is used to provide instant transcripts on computer screens as a trials, depositions, conferences, or workshops occur. Real-Time reporting includes, but is not limited to, the following:

1) Real-Time live recordings

The court reporter, stenographer, or transcriber shall provide real-time reporting during the initial session using one hook-up and one real-time ready laptop. A spare laptop shall be on hand to ensure there is no interruption of proceedings.

2) Real-time Hookup

Shall have the ability to hook multiple laptops up together (up to three, possibly more), and the court reporter shall transmit translated notes in seconds after the recorded words are spoken. Shall have the ability to search, view, issue-code, or annotate the testimony as the deposition occurs.

3) LiveNote “Token”

This may now be an obsolete feature, however a quote should have similar features as listed below:

1. LiveNote OR Case Notebook

2. Start and stop scrolling text

3. Create annotations, and notes

4. Conduct full-text searches across multiple transcripts

5. Generate reports on single/multiple transcripts

6. Search and compare previous testimony while viewing ongoing testimony

3.4.3 – Translation and Interpreter Services

On occasion, the FTC may require translation and interpretation services. Languages include but are not limited to Spanish, French, Russian, Mandarin, Japanese, German, Hindi/Urdu, Portuguese, Arabic, and Bengali. Translation and interpreter services include, but are not limited to, the following:

Translation Services to and from English Interpretation Services to and from English

3.4.4 – Video and Audio Recording Services

Video and audio recording services include, but are not limited to, the following:

Video Editing (when media created by the videographer needs edited) Extra Copy of Video to Taking Party Extra Copy of Video to Other Party Original DVD/CD of video Video synching (when the audio on the video is matched with the text)

3.4.5 – Videoconferencing Services

On occasion, the FTC may require videoconferencing services of various meetings, workshops, or other activities, to include the delivery, set-up, testing, and instruction of equipment use.

Equipment includes, but is not limited to, the following:

Video cameras and microphones Video screens Video bridge

3.4.6 – Other Services

Additional services not found above may be required by the FTC. The FTC has the express right to request only electronic deliverables on any task as the agency transitions to e-recordkeeping.

These services vary in nature and include, but are not limited to, the following:

Additional Condensed Transcript (mini transcript) OCR (Optical Character Recognition) Scanned and Searchable Exhibits Additional Transcript Copies Exhibit Copies or Scans (black and white, 8-1/2" x. 11") Exhibit Copies (special size or color) Additional Full-Size Transcript to Same Ordering Party MPEG CD or DVD Creation (computer-playable video CD or DVD) CD or DVD (transcript linked with exhibits and video) CD or DVD (transcript linked with exhibits and video) additional witness Deposition Room Transcript Edit o The per page rate to edit a transcript cannot exceed the per page rate of the original transcript

Witness review coordination

3.5 – Transcript Formatting

Deliverables, including transcripts, shall be prepared in accordance with standard stenographic and court reporting practices, for the Matter Category (e.g., public/non-public, formal/informal) or as directed by the Administrative Law Judge, his/her staff, and/or the FTC presiding official as indicated by the Contracting Officer's Representative (COR) or their designee.

In instances where the FTC requires specific document and/or output formats or media, that information will be provided in advance to the contractor, by designated personnel.

The contractor shall maintain all versions of FTC transcripts and materials and apply litigation holds per the direction of the COR, FTC Records Officer, or designee. The COR, FTC Records Officer, or designee will advise the contractor on final disposition of FTC materials and deliverables. Upon receiving a disposition request, the Contractor will ensure all paper and electronic versions of FTC materials and deliverables (including copies, back-up versions, drafts, etc.) are properly disposed within 10 business days and final disposition will be in accordance with FTC policies and procedures. FTC policies and procedures are to delete/destroy 180 days after 100% validation/correction of order.

1) In Camera Pages:

Pages of transcripts designated as "In Camera" by the presiding official shall be designated and separately listed in the exhibits index and shall be provided under separate cover, marked and provided only to the party designated by the presiding official or designated personnel.

2) Format

The format for transcripts will depend on the matter category, service type and client's requirements. Examples include, but not be limited to:

1. Audio and/or video (output to be formatted per order instructions);

2. Written/Electronic (output to be formatted per order instructions);

3. Paper and original media (exhibits); Condensed Transcript (Mini transcript);

4. "Real-time" transcription format; and/or

5. Synchronized transcription text to audio/video (output to be formatted per order instructions).

3.6 – Exhibits

All exhibits shall be marked as directed by the Administrative Law Judge, his/her staff, and/or the FTC presiding official as indicated by the Contracting Officer's Representative (COR) or their designee.

The contractor shall collect, compile, hold and deliver all types of exhibits in all formats and, as required, relay electronic formats to the Records and Filing Office (RFO) via secure electronic means such as file encryption, use of an SFTP, or use of an encrypted storage device.

Exhibits received at the time of service shall be the responsibility of the contractor until delivery to RFO.

The contractor shall ensure the delivery location for all orders are Free on Board (FOB) to RFO at FTC HQ or the Constitution Center.

The contractor shall ensure delivery to additional addresses as required by each order.

3.7 – Administrative Support (Optional CLIN)

The contractor shall provide administrative support to include, but not limited to, the following:

Receive, clarify, and acknowledge telephonic/email/fax order requests for stenographic and court reporting services

Receive, validate, process, and monitor stenographic and court reporting orders Provide financial management support.

4.0 – Key Personnel

Certain skilled, experienced professional and/or technical personnel are essential for accomplishing the tasks detailed in this performance work statement. These individuals are defined as "key personnel".

The FTC will review and approve employee resumes and qualifications for key personnel positions prior to assignment.

In the event of key personnel departures, the contractor shall provide immediate and complete mission and functional coverage until replacements are available. These replacements are required within 15 days after departure of the key personnel.

For this contract, the Project Lead is designated as “key personnel.”

4.1 – General Requirements

The contractor shall hire staff suitable to provide excellent customer service skills for public service. The contractor shall operate using professional standards in their interactions with FTC staff. Any issues that are unable to be resolved shall be escalated to the Contracting Officer or Contracting Officer’s Representative.

The contractor agrees that the key personnel shall not be removed, diverted, or replaced from work without approval of the COR and/or CO. Any personnel the contractor offers as substitutes shall have the ability and qualifications equal to or better than the key personnel being replaced. All requests for approval of substitutions in personnel shall be submitted to the COR and the CO within

30 calendar days prior to making any changes in key personnel. The request shall be written and provide a detailed explanation of the circumstances necessitating the quoted substitution. The contractor shall submit a complete résumé for the quoted substitute.

The contractor shall identify key personnel and their designated alternates (when the primary is not available) necessary to meet the requirements of this solicitation in its submission.

4.2 – Project Lead

The project lead shall coordinate all service questions and problem resolution and shall be the primary point of contact for the Communication and Information Management (CIM) stenographic services staff. The project lead duties include, but are not limited to the following:

Receiving and relaying detailed instructions Reporting on or verifying any information related to any FTC order request Status updates Status of funds for task orders Notification of changes in practice to all personnel with the Contractor firm who work on

FTC orders Ensure that contractor staff assigned in support of this requirement are aware of, understand, and abide by the FTC established rules, regulations, and safety and work practices, and shall have full authority to act on matters pertaining to the performance of services.

5.0 – Performance and Deliverables

Unless otherwise specified, all monthly reports and deliverables are due to the Contracting Officer’s Representative (COR) via email in electronic format (PDF, Word, Excel) no later than the tenth of (10th) each month for the previous month reporting period activities (i.e., September’s reporting activities are due no later than October 10th). Annual reports are due within 15 calendar days of the start of a period of performance.

After reviewing submitted deliverables, the COR may request additional information, have comments or questions, or request changes and edits. The contract shall submit a revised report, incorporating any additional comments, changes, or edits, within five business days of receipt of COR’s comments.

5.1 – Deliverables

5.1.1 – Transition Plan

Transition-In

The contractor shall implement a maximum of a 30-day transition-in period to transfer services from the incumbent contractor. The contractor shall update the transition plan within five (5) days of any changes post award. During the transition in period, the contractor shall become familiar with standard operating procedures (SOPs) and assume the full execution of the requirements of this requirement.

During the transition in period, the contractor shall work closely with the incumbent contractor to ensure a smooth transition of service and perform a joint inventory and audit of the transferred documentation/data. The successful contractor shall work closely with the incumbent Contractor and coordinate to address the status and issues of transition. The contractor's program management structure and organization shall be in place and fully operational at the end of the transition in period. At completion of the transition in period, the contractor shall have full responsibility for all requirements covered under this requirement.

Transition-Out

The contractor shall prepare and deliver a Transition-Out Plan 90 days prior to the end of the contract term. The Transition-Out Plan shall include a description of the activities and schedule required to transition services from the outgoing Contractor to the follow-on Contractor or Government agency. The plan shall include, but not be limited to, the following:

Transfer of Government Furnished Information as required, Data transfer, and Knowledge sharing and orientation

Transition Execution

When directed by the Contracting Officer, the contractor shall execute the Transition-Out Plan in order to:

Allow no disruption of services Accomplish a smooth transfer of daily operations and knowledge transfer Transition all Government Furnished Information associated with this effort Ensure qualified personnel, with necessary skills, knowledge and clearances are available until the end of this effort to perform stenographic support services Collaborate and communicate with the Government during the transition period Identify and manage any risks associated with the transition out.

5.1.2 – Quality Control Plan

The contractor shall develop a Quality Control Plan (QCP) and maintain an effective quality control program. The contractor’s QCP is the means for ensuring work performed complies with the requirements of the award. The contractor shall develop and implement procedures to identify, prevent, and ensure non-recurrence of defective services. The Contracting Officer’s Representative (COR) may notify the contractor of required modifications to the plan during the period of performance.

5.1.3 – IT System Security Plan

In accordance with the requirements detailed in Section 2.2 – Security Requirements, the contractor shall develop and deliver an IT System Security Plan that describes the controls in place or planned for meeting these requirements. The system security plan shall also delineate responsibilities and expected behavior of all individuals who access the system.

5.1.4 – Transcripts, Exhibits, and Other Media

The contractor shall submit all transcripts, exhibits, and other media as directed by the COR. All transcripts must be 100% accurate.

5.1.5 – Weekly Report and Invoicing

The contractor shall submit a weekly report to include the following:

Matter number Dates of service Estimate number and order number Estimate amount Invoice number Invoice amount Summary invoice number Paid date (if available) CLIN funding Obligated funding

5.1.6 – Monthly Activity Report

The contractor shall submit a monthly activity report to include the following:

Total services ordered Provide order and expense data for use by the FTC in MS Excel or related formats Total pages transcribed Total amount invoiced per CLIN and/or SubCLIN Total estimated amount (not yet invoiced) per CLIN and/or SubCLIN

5.1.7– Ad Hoc Report

On occasion, the Contracting Officer’s Representative or other authorized FTC personnel may request ad hoc reports. The content, format, and due date of all ad hoc requests will be agreed to by the contractor and COR.

5.2 – Schedule of Deliverables

Deliverable Section Frequency / Due By Submit To

Transition Plan 5.1.1 Included with quote As directed in

RFQ

Deliverable Section Frequency / Due By Submit To

Quality Control Plan (Initial)

5.1.2 Included with quote

As directed in

RFQ

Quality Control Plan (Updates)

5.1.2 Within 30 days of the start of a period of performance or as needed

CO

COR

IT System Security Plan (Initial)

2.2 5.1.3

Included with quote As directed in

RFQ

IT System Security Plan (Updates)

2.2 5.1.3

Within 30 days of the start of a period of performance or as needed

CO

COR

Transcripts, Exhibits and other media

3.4.1 5.1.4

As required by individual order As specified per order

Monthly Report 5.1.6 Five (5) working days following the previous month.

CO

Ad Hoc Report 5.1.7 As agreed to by the COR and contractor

COR

5.3 – Performance Requirement Summary

The following provides the target performance standards for this contract. The government will evaluate the contractor’s performance using the minimum standards and acceptable quality levels below and may use the results of its evaluation as follows:

Performance Requirement Item

Section

Standard Acceptable Quality Level (AQL)

Method of Surveillance

PRS # 1

Adherence to FTC Security requirements

2.2 All personnel, practices and process are in compliance with FTC security protocols.

100% compliance

Inspection or as requested by the COR and/or appropriate CIM Staff

PRS # 2

Personnel, Licenses, Certification, and Qualifications.

4.0 All personnel are certified, licensed and approved for each event.

100% of events.

Inspection or as requested by the COR and/or appropriate

Performance Requirement Item

Section

Standard Acceptable Quality Level (AQL)

Method of Surveillance

CIM Staff and Contractors.

PRS # 3

Provide logistics.

3.2

All personnel, with adequate equipment as needed, are at location to perform in times specified by each order.

100% of events

Inspection or as requested by the COR and/or CIM staff.

PRS # 4

Provide communication and coordination with

CIM.

4.2

Contractor to provide personnel points of contact information, when determined, prior to the event for coordination purposes.

100% of events required

Inspection or as requested by the COR and/or CIM staff.

PRS # 5

Provide deliverables

5.1 100% accountability of all deliverables shipped to

FTC.

100% accountability of all deliverables provided to

FTC.

Inspection/acce ptance by COR or CIM Personnel

PRS # 6

Formatting of transcripts and exhibits.

3.5

100% of all exhibits and transcripts shall be formatted according to the

PWS.

100% proper format of all deliverables.

Inspection/acce ptance by COR and CIM Personnel

PRS # 7

Accuracy of transcripts

5.1.4

Deliverables (including transcripts for live reporting & other methods) shall be 100% accurate

100% accuracy of all transcripts.

Inspection/acce ptance by COR and CIM Personnel

PRS # 8

Timeliness of deliverables.

5.2 All deliveries received at FTC according to call.

100% on time.

Inspection/acce ptance by COR and CIM Personnel

5.4 – Performance Monitoring

The COR will engage in routine inspection and random sampling of work to monitor the contractor’s performance. Monitoring methods include, but are not limited to:

Direct observation Verbal communications with passengers Collected data validation Periodic inspections Program status reviews Deliverable reviews Customer surveys/complaints

Periodic/Random samplings

6.0 – Period and Place of Performance

6.1 – Period of Performance

The FTC anticipates awarding a one-year (12-month) base contract, with two one-year (12-month) option periods.

6.2 – Place of Performance

The place of performance will be in various locations to include:

FTC facilities in Washington DC FTC regional locations District of Columbia Court buildings, law offices, and other meeting locations within the United States, U.S.

Territories, or international locations

The FTC has offices in the following locations:

FTC - Headquarters 600 Pennsylvania Ave, NW Washington DC 20580

FTC – Constitution Center 400 7th Street, SW Washington DC 20024

FTC – East Central Regional Office 1111 Superior Avenue, Suite 200 Cleveland, OH 44114-25074

FTC – Midwest Regional Office John C. Kluczynski Federal Building 230 South Dearborn Street, Room 3030 Chicago, IL 60604

FTC - Northeast Regional Office One Bowling Green, Suite 318 New York, NY 10004

FTC – Northwest Regional Office 915 Second Avenue, Room 2896 Seattle, WA 98174

FTC – Southeast Regional Office 225 Peachtree Street, NE, Suite 1500 Atlanta, GA 30303

FTC – Southwest Regional Office 1999 Bryan Street, Suite 2150 Dallas, TX 75201-6808

FTC – Western Regional Office (SF) 90 7th Street, Suite 14‐300 San Francisco, CA 94103

FTC – Western Regional Office (LA) 10990 Wilshire Blvd., Suite 400 Los Angeles, CA 90024

Note: The FTC’s lease at the Constitution Center is set to expire 2024 with a subsequent move to another location in Washington, DC possible during that calendar year. Tasks associated with the FTC Constitution Center shall be applicable to any new location. Any such changes will be communicated in advance to the contractor by the contracting officer’s representative or other authorized FTC personnel.

6.3 – Hours of Operation

FTC’s core hours of operation are 8:00 am – 5:00 pm, Monday through Friday. Occasionally, services may be required outside of core (normal) business hours.

While the FTC recognizes the Federal Holidays noted below, the nature of this contract entails that the awardee may be required to perform services on FTC recognized federal holidays or on days designated as a holiday or when buildings are closed by Executive Order or other emergency declaration.

The Contracting Officer’s Representative will inform the contractor if services are required outside of normal business hours, on Federal Holidays, days designated as a holiday, or closures due to emergency declarations.

The FTC recognizes the following federal holidays:

New Year’s Day Juneteenth Veteran’s Day Martin Luther King Jr. Birthday Independence Day Thanksgiving Day President’s Day Labor Day Christmas Day Memorial Day Columbus Day