Legal Support Services Deskbook

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Legal Support Services Deskbook

FDIC LEGAL SUPPORT SERVICES DESKBOOKTable of ContentsPurpose . 5Forms & Related Links. 5Alternative Dispute Resolution/Binding Arbitration . 5Budget Forms. 5Byrd Amendment. 6Conflicts of Interest . 6Electronic Funds Transfer (EFT) Guidelines. 6Expert/Legal Support Services Amendment & Rate Schedule Forms . 6Invoice Forms. 6Travel. 6Related Information . 6Effective Date . 6Inquiries . 6Chapter 1 - Working for the FDIC Legal Division. 71.1 Scope of the Legal Support Services Deskbook ("LSS Deskbook") . 71.2 Identifying the FDIC as a Client. 71.3 Statutory Compliance . 71.4 Equal Employment Opportunity and Diversity. 71.5 Ethical Considerations . 81.6 Workpapers and Document Ownership - Assignment of Rights . 81.7 Audit Rights . 91.8 Fees and Expenses . 91.9 Mandatory Registration with SAM . 101.10 Contacts with the Media and the Public . 10Media Inquiries . 10Speaking Engagements . 101.11 Cooperation with the FDIC Office of Inspector General (OIG) . 101.12 Whistleblower Protections . 111.13 Role of FDIC Oversight Attorney . 11Beginning to Provide Legal Support Services . 11Performing Services . 11Contacts with Other FDIC Offices . 111.14 Alternative Dispute Resolution ("ADR") . 121.15 Termination. 12Chapter 2 - Conflicts of Interest . 12Last Updated Date: March 11, 20222Return to Top

FDIC LEGAL SUPPORT SERVICES DESKBOOK2.1 FDIC Regulations and Policies . 122.2 Required Disclosures . 132.3 Conflict Determination . 132.4 Noncompliance . 132.5 Questions Concerning Conflicts . 14Chapter 3 - Information Security & Confidentiality . 143.1 Maintaining Confidentiality . 143.2 Using FDIC’s Electronic Discovery Group on Legal Matters . 163.3 Careful and Secure Handling of FDIC Information & Records . 173.4 FDIC-Supported Resources for Using Encryption Technology to transmit Confidential "Sensitive"Information. . 173.5 Secure Telecommunications and Video Surveillance or Equipment . 173.6 Other Resources . 20Chapter 4 – Agreements . 214.1 Purpose of Contract . 214.2 Duration of Agreement for Services . 214.3 Contract Amendment . 22Structural Changes . 22New Tax Identification Number (TIN). 224.4 Byrd Amendment - Engagements Over 100,000 . 234.5 Budget . 23Completing the Budget Form . 234.6 Budget Submission . 244.7 Amended Budget . 24Completing and Submitting the Amended Budget . 25Chapter 5 - Management of Services . 255.1 General Management of Legal Support Services. 25Reports . 265.2 Case Plan . 275.3 Case Plan Submission . 275.4 Amended Case Plan Submission . 275.5 Criminal Referrals . 275.6 Cooperation with the FDIC Office of Inspector General . 28Chapter 6 - Invoice Package . 296.1 Invoice Package . 296.2 Invoice Package Submission . 30Last Updated Date: March 11, 20223Return to Top

FDIC LEGAL SUPPORT SERVICES DESKBOOKWhen . 30Where. 306.3 Billable Fees and Expenses. 30Expenses . 316.4 Non-Billable Fees and Expenses . 326.5 Over-Budget Invoices. 336.6 Expert's and LSS Provider's Invoice Format . 33Fees. 33Block Billing of Services . 33Description of Fees. 34Time Increments . 34Expenses . 34Example of Itemized Expenses . 346.7 General Services Administration Travel Reimbursement Guidelines . 35Eligibility for Reimbursement . 35Travel Authorization . 35Air Travel. 35Rental Cars . 35Lodging . 35Subsistence . 35Per Diem Allocation for Overnight Travel . 36Miscellaneous Meal Expense . 36Use of Privately-Owned Vehicle. 36Taxicabs or Rideshare Services . 36Non-Reimbursable Travel Expenses . 37Travel Voucher Completion . 376.8 Expert Invoice For Fees and Expenses (EIF&E) Form and LSS Provider Invoice For Fees and Expenses (IF&E)Form . 386.9 FDIC Invoice Package Review . 386.10 Reconsideration of Disallowances . 396.11 Audit and Records Retention. 396.12 Frequently Asked Questions . 39Chapter 7 - Closeout . 407.1 Final Invoice Package . 417.2 Forwarding Documents to FDIC . 41Chapter 8 - Post-Employment Responsibilities . 418.1 Post-Employment Responsibilities . 41Last Updated Date: March 11, 20224Return to Top

FDIC LEGAL SUPPORT SERVICES DESKBOOKFile Retention . 41Contacts with the Public and Media. 41Identifying FDIC as a Former Client . 41Compliance with Subpoenas and Other Court Orders . 41Appendices . 42Appendix A - Statutory Compliance . 42Appendix B - Contacts . 42Appendix C - Electronic Billing & Timekeeping Records . 42PurposeThe Legal Support Services Deskbook ("LSS Deskbook") has been prepared by the FDIC Legal Division ("LegalDivision" or "Division") to provide policies, procedures, and standard forms for legal support services ("LSS")Providers. LSS Providers include experts, mediators, consultants, electronic discovery vendors, languagetranslation & interpreter services, court reporters, or other service providers apart from attorneys or law firms.The LSS Deskbook sets forth many of the FDIC’s requirements that govern the relationship between the FDICand LSS Providers. It is important that in-house attorneys (“Oversight Attorneys”) and LSS Providers read,maintain familiarity with, and adhere to the provisions of the LSS Deskbook.The LSS Deskbook includes policies, procedures, and forms that the FDIC requires its LSS Providers to followand use, in consultation with the direction of the FDIC Oversight Attorneys. Each chapter covers a key area orinterest. Appendices provide additional information, forms, and worksheets. The LSS Deskbook is publiclyavailable on the fdic.gov website.Forms & Related LinksAlternative Dispute Resolution/Binding Arbitration Binding Arbitration - FDIC Directive 5310.1 (June 5, 2001) - MS WordFinal Statement of Policy Regarding Binding ArbitrationBudget Forms Expert Budget - PDFLegal Support Services (LSS) Provider Budget Form - PDFLast Updated Date: March 11, 20225Return to Top

FDIC LEGAL SUPPORT SERVICES DESKBOOKByrd Amendment Byrd Amendment Implementation StatementCertification Form - PDF (FDIC Certification Form 3700/04A)Disclosure of Lobbying Activities Form (gsa.gov)Conflicts of Interest 12 C.F.R. Part 366 - Minimum Standards of Integrity and Fitness for an FDIC ContractorOral Representations and Certifications for Expert Legal Support Services Telephone Authorization forExpenditures Under 5,000 - PDFRepresentations and Certifications for Expert Legal Support Services Provider - MS WordElectronic Funds Transfer (EFT) Guidelines EFT RequirementsSubstitute Form W-9 Request for Taxpayer ID Number and Certification - PDFPayee Information for Automatic Deposit of Payment form - PDFExpert/Legal Support Services Amendment & Rate Schedule Forms Agreement for Services (Expert/Legal Support Services (LSS) Provider) Amendment - PDFAgreement for Services (Expert/Legal Support Services (LSS) Provider) Rate Schedule - PDFInvoice Forms Expert Invoice for Fees & Expenses - PDFLegal Support Services Provider Invoice for Fees and Expenses - PDFTravel Travel Voucher - PDFFDIC's Contractor Travel Reimbursement Guidelines - PDFGSA Per Diem Rates (gsa.gov)Related Information Outside Counsel DeskbookEffective DateThe original effective date of the LSS Deskbook is December 2005. The Legal Division may amend the LSSDeskbook from time to time. Unless otherwise noted, amendments are effective on the date published onfdic.gov.InquiriesFor further assistance with FDIC's LSS Deskbook policies and procedures, contact the FDIC Oversight Attorneyadministering the agreement or the Legal Division’s Legal Services & Special Contracts Group (formerly knownas the Outside Counsel Management Group) at LSSCG@fdic.gov or via US Mail at:Last Updated Date: March 11, 20226Return to Top

FDIC LEGAL SUPPORT SERVICES DESKBOOKLegal Services & Special Contracts Group3501 Fairfax Drive (VS-E-6097)Arlington, VA 22226.Chapter 1 - Working for the FDIC Legal Division1.1 Scope of the Legal Support Services Deskbook ("LSS Deskbook")The Legal Support Services Deskbook (“LSS Deskbook”) describes the policies and procedures that all LSSProviders engaged by the FDIC Legal Division must follow.1.2 Identifying the FDIC as a ClientLSS Providers may list the FDIC as a client in published materials with adherence to the following restrictions.LSS Providers may not represent that they have been “approved” as LSS Providers for the FDIC. All LSSProviders must comply with applicable ethics rules regarding advertising, including those restrictionspertaining to claims of “expert” status, expertise, or specialization. LSS Providers may not quote FDIC materialsor staff comments concerning performance evaluations.1.3 Statutory ComplianceThe Legal Division requires all LSS Providers to comply with all applicable statutes and regulations, as well asorders, policies, procedures, and directives. Refer to Appendix A for a non-exhaustive representative list ofapplicable federal laws and regulations.1.4 Equal Employment Opportunity and DiversityThe FDIC has a strong commitment to equal opportunity under the law. As a part of the FDIC Legal Division’sDiversity & Inclusion Program, the Legal Division seeks to engage firms owned by minorities or women.Moreover, the FDIC expects its contractors and sub-contractors to take action to ensure that all individuals haveequal opportunity for employment, without regard to race, color, religion, sex, national origin, disability orstatus as a qualified covered veteran as defined in 38 U.S.C. § 4212(a)(3). "Minority-owned businesses" are thosethat are at least 51% owned and controlled (through day-to-day management) by one or more persons who aremembers of one or more of the following groups: Asian Pacific Americans; Black Americans; Hispanic Americans; Native American Indians; Sub-Continent Asian Americans; and Members of other groups designated from time to time by the Small Business Administration (SBA).Last Updated Date: March 11, 20227Return to Top

FDIC LEGAL SUPPORT SERVICES DESKBOOK“Women-owned businesses” are those that are at least 51% owned and controlled (through day-to-daymanagement) by non-minority women. Businesses claiming minority- or women-owned status must certifytheir status as such to the FDIC, and the FDIC may require additional information to verify the status.The Legal Division works to ensure the inclusion of minorities and women to the maximum extent possible.(See 12 C.F.R. Part 361) The FDIC provides assistance to minority- or women-owned businesses and minoritiesand women within other businesses with matters relating to the retention of LSS Providers. If interested in suchassistance, contact the Legal Division’s Diversity & Inclusion Program at:Legal Division Diversity & Inclusion Program3501 Fairfax Drive (VS-E-6097)Arlington VA 22226.Email: fdicLegalDivisionDEIprogram@fdic.gov1.5 Ethical ConsiderationsLSS Providers must maintain the highest ethical standards and comply with all applicable laws, rules, andregulations governing ethical conduct. In particular, LSS Providers must be cognizant of the following:To avoid any appearance of an ethical conflict, neither the LSS Provider, nor any person associated with thepotential or engaged LSS Provider, may provide any gift, gratuity, favor, entertainment, loan, or other thing ofmonetary value to any employee of the FDIC. (See 5 C.F.R. § 2635, Subpart B, Standards of Ethical Conduct forEmployees of the Executive Branch.) While private businesses may host social or holiday functions for businessassociates and others with whom they do business, there are limitations on attendance at these events by FDICemployees. With few exceptions, FDIC employees may not solicit or accept gifts or loans from anyone who does,or seeks to do, business with the FDIC.LSS Providers may hire former FDIC employees, but as former employees they are subject to the governmentwide post-employment statute, 18 U.S.C. § 207, which affects what they can do for firms/businesses. Generally,however, former FDIC employees may work on matters that they worked on personally or that were under theirsupervision while at the FDIC only when their post-employment employer is not in a position adverse to theFDIC.If an FDIC employee was involved in negotiating the firm’s/business’ current FDIC Legal Support ServicesAgreement (LSSA), that individual, upon joining the firm/business may not, during the duration of the LSSArenegotiate the rate schedule, request changes in billable individuals, or be involved in any matter pertaining toquestions of the competence of the services provided under the LSSA.For more information, contact the Ethics & ADR Unit of the FDIC Executive Secretary Section at (703) 562-2704.1.6 Workpapers and Document Ownership - Assignment of RightsWorkpapers and other work product (whether in paper or electronically stored ("workpapers"), prepared by LSSProviders or accomplished under their direction or control are the property of the FDIC.Last Updated Date: March 11, 20228Return to Top

FDIC LEGAL SUPPORT SERVICES DESKBOOKUnder no circumstances may the engaged firm/business withhold files from the FDIC for any reason, including apayment dispute.1.7 Audit RightsLSS Providers must permit the FDIC, the FDIC Office of Inspector General, and the Government AccountabilityOffice, or their representatives, to conduct audits or reviews of FDIC billings, including previously paid invoices.All paid invoices are subject to audit and Legal Division review regardless of disallowance taken during the billreview and approval process.For purposes of subsequent audits and Legal Division review, LSS Providers must retain copies of all invoicepackages and original underlying support documentation, including time sheets, cancelled checks, invoices,and time and expense adjustment records, for at least three years after final payment for services provided.See Appendix C for further information on record keeping requirements for electronic billing. The FDIC reservesthe right to obtain additional information upon review of any itemized bill or support documentation.1.8 Fees and ExpensesLSS Providers must provide legal support services at competitive fixed prices or in hourly rates.LSS Provider must include in their fixed prices or hourly rates, its costs for doing business, including all"overhead," general and administrative costs, fringe benefits, and profit. The LSS Provider may not submit (andthe FDIC will not pay) invoices for such costs of doing business. LSS Providers may not invoice "markups" aboveany costs actually incurred for supplies or services obtained for the Legal Division.The FDIC will only pay reasonable costs for services rendered or supplies provided in the course of engagementfor legal support services. All invoices for services rendered and expenses incurred must be consistent with theLSSA. See Chapter 6 for a further discussion of the invoice process. The FDIC will not pay for inflated hours orother artificially inflated prices. In the course of performing work on behalf of the FDIC, any discounts receivedby the LSS Provider must be passed on to the FDIC.When an LSS Provider performs work on an FDIC matter on behalf of a law firm that holds a Legal ServicesAgreement (LSA) with the FDIC, the LSS Provider must abide by the rates in its LSSA, unless the LSA law firm hasnegotiated lower rates with the LSS Provider, in which case such discounts must be passed on to the FDIC.Moreover, an LSS Provider cannot furnish services or levy charges or fees on any FDIC matters that are outsideof its current LSSA, nor charge higher pricing than that featured within it, without written pre-approval from theOversight Attorney.Where practicable, if an LSS Provider is hired as a subcontractor by a firm with an existing LSA with the FDIC,consideration should be given to the feasibility of dealing directly with the FDIC through the Oversight Attorney.Last Updated Date: March 11, 20229Return to Top

FDIC LEGAL

Dec 03, 2021 · The Legal Support Services Deskbook ("LSS Deskbook") has been prepared by the FDIC Legal Division ("Legal Division" or "Division") to provide policies and proc

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