Investigative Testimony Training

This is not a solicitation announcement. This is a Sources - Sought Synopsis, for small-business set-aside procurement. This sources sought synopsis is for information and planning purposes, and is not to be construed as a commitment by the Government, nor will the Government pay for information solicited. Since this is a sources sought announcement, no evaluation letters and/or results will be issued to the respondents. Background: The Securities and Exchange Commission (SEC) has a requirement for a Contractor to train both new and experienced members of the professional staff in the examination techniques used when taking investigative testimony. These courses will entail providing; lectures, demonstrations and participatory exercises, to include constructive feedback. Although the SEC staff will be integrated into the course presentation, the Contractor shall be responsible for all effort under this contract. These courses will be presented periodically throughout the year at the SEC. The SEC has two locations in the Washington Metropolitan Area and 11 Regional offices. The SEC Headquarters (Station Place) is located in downtown Washington, DC next to Union Station; the SEC Operations Center is located in Alexandria, VA in an Industrial Park; and the Regional offices are located in; Atlanta, GA, Boston, MA, Chicago, IL, Denver, CO, Fort Worth, TX, Los Angeles, CA, Miami, FL, New York, NY, Philadelphia, PA, Salt Lake City, UT, and San Francisco, CA. The determinations of which office/offices will receive training will be on a fluctuating basis, and will be determined based on staffing and hiring in each office. The Enforcement staffs who will take investigative testimony consist primarily of attorneys, accountants and market analysts. Some have had prior training or experience with examination techniques, but many have not. Approximately 75 new professional staff members join the Division each year. It's anticipated this effort will result in a Firm Fixed Price contract with a projected Period of Performance, of one 12- month base-period, and four one year option periods. Respondents to this sources sought synopsis shall provide a capability packages that address the following requirements: 1. The Contractors approach in the planning and development of course materials, for a two day course in techniques used to take investigative testimony. 2. The Course shall provide lectures, demonstrations, participatory exercises, and constructive feedback. 3. Class size shall be limited to 16 attendees, with a minimum of one instructor, and one co-instructor (in case of unavoidable emergencies.) per 8 attendees. 4. Course Instructors: The contractor shall use the SEC Enforcement Division branch chiefs, trial counsel and other senior Enforcement staff members as co-instructors and shall provide per-course training for these staff members to improve their skills and effectiveness in day-to-day supervision in testimony taking. Course Elements: The training course shall include the following elements: Lectures and demonstrations on testimony techniques that include the following: a. Determine the appropriateness of making a testimonial record b. Develop lines of inquiry and investigative theories c. Plan and preparing for investigative testimony d. Determine the order of which to examine witnesses e. Obtain background information and documents concerning witnesses f. Examine techniques including the following: 1. Direct examination techniques. 2. Lead examination techniques. 3. Summarize testimony. 4. Listen to answers; developing follow-up questions. 5. Work with documents including refreshing recollection establishing authenticity, and establish evidentiary foundations. 6. Create a clear and useful record. 7. Prevail over objections and assertions of privilege. 8. Control of obstreperous or hostile counsel. 9.Use of investigative testimony in civil enforcement actions in federal court and in administrative proceedings before the SEC. To include; a). Multiple participatory exercises that allow attendees to use lessons brought out in lecture and demonstration. Exercises shall be based on realistic investigative situations drawn from SEC practice (see Course Materials below). b). Critique of exercises and feedback from attendees. c). Videotape or other appropriate technology to enhance constructive feedback. Course materials: The Contractor shall provide a plan for development of course materials based on SEC investigative testimony practice and general information on testimony techniques. Examples shall be based on; one or more hypothetical fact patterns similar to those encountered in SEC investigations, preferably, fact patterns concerning accounting/ auditing violations and insider trading. Materials shall be developed in conjunction with designated SEC staff and shall be approved by the Contracting Officer and COTR. Course Presentation: The Contractor shall present the course a maximum of 16 times per year at times and locations to be determined by the COTR. The Government shall provide, when able, a minimum of two weeks advance notice for each course. Annual Review: The Contractor shall review the course annually and make revisions to the course content as specified in individual task orders in accordance with ordering procedures. The Contractor shall use feedback from participants and the instructor's experience as sources of information. The Contractor shall consider emerging policy and current issues when evaluating the course content. The Contractor shall provide written recommendations developed during the Annual Review to determine updates to and deletions from the course materials. Implementation: The Contractor shall make the recommended changes to program materials, after approval by the Contracting Officer and Contracting Officer Technical Representative (COTR). The term - Contractor includes Contractor personnel, subcontractors, and consultants. Interested Contractors are invited to identify their interest and technical capability to this the requirement within 15 working days of this sources sought notification, or by 4 pm, July 24, 2008. Capability packages shall not exceed 15 pages. Contractors are responsible for all costs associated with submitting their capability packages. Questions related to this notice should be addressed to Rodger Young, at the email provided below within 8 working days of this notice, or by 4 Pm, July 15, 2008. Capabilities packages will be sent, via e-mail, fax, or mail, to the following address: Securities and Exchange Commission Office of Acquisitions Attn: Rodger O. Young Contract Specialist (Support Contractor with Dozier Technologies, Inc.), 6432 General Green Way MS 0-20 Alexandria, VA 22312 YoungR@SEC.gov Phone 202.551.6164 Fax 703.914.9226 Please note. Brochures alone are not sufficient documentation for demonstration of capabilities, conflict free credentials, and unbiased status. Responses will not be returned. This Sources Sought is not a request for competitive proposals and will not result in a contact award. This is a sources sought synopsis. No solicitation exists; therefore, do not request a copy of the solicitation. If a solicitation is released it will be synopsized in FedbizOpps. It is the potential offeror's responsibility to monitor this site for the release of any solicitation.