Attachment A - Updated PCMS Statement of Objectives-Final.pdf

Department of Justice

Executive Office for U.S. Attorneys U.S. Attorney Office for the District of Columbia

Prosecutorial Case Management System Implementation

Statement of Objectives

Issued by:

Department of Justice Executive Office for U.S. Attorneys (EOUSA) 3 CON Building, Sixth Floor – Acquisitions 175 N Street NE Washington, D.C. 20530

Table of Contents

1.0 PURPOSE

2.0 BACKGROUND

3.0 SCOPE OF WORK

3.1 Contract Management

3.2 Configuration and Testing

3.2.1 Functional Case Management Requirements

3.2.2 Technical Requirements

3.2.2.1 Security Requirements

3.2.2.2 Data Requirements

3.2.2.3 Hosting Requirements

3.2.2.4 Security Patching

3.3 Formal Testing Support

3.3.1 Systems Integration Testing (SIT)

3.3.2 User Acceptance Testing (UAT)

3.4 Deployment and Cutover Support

3.4.1 Deployment and Cutover Plan

3.4.2 Production Deployment

3.5 Data Migration

3.6 PCMS Data Interfaces

3.6.1 Incoming Data Interfaces

3.6.1.1 Court Case Data Interface

3.6.1.2 MPD Arrest Data Interface

3.6.1.3 MPD Mugshots Data Interface

3.6.1.4 Pretrial Services Agency (PSA) Bail Report Interface

3.6.2 Outgoing Data Interfaces

3.6.2.1 Data Warehouse Interface

3.6.2.2 Court Case E-Filing Data Interface

3.6.2.3 MPD No Paper Data Interface

3.6.2.4 Inmate Matching Data Interface

3.6.2.5 Pretrial Services Agency (PSA) No Paper Interface

3.6.2.6 Office of the Attorney General (OAG) Arrest Transfer Data Interface

3.7 Training & Customer Support

3.8 Post Go-Live Hypercare Support

3.9 System Support (Life of Contract)

3.10 Licensure Agreement

4.0 GOVERNMENT FURNISHED EQUIPMENT AND GOVERNMENT FURNISHED

INFORMATION

5.0 KEY PERSONNEL

5.1 Key Personnel Qualifications/Experience

5.1.1 Project Management

5.1.2 Enterprise Architecture

5.2 Required Key Personnel

5.3 Key Personnel Substitution

5.4 Core Work Hours/Federal Holidays

5.5 Actual Work Hours

6.0 PERSONNEL SECURITY REQUIREMENTS FOR CONTRACTOR EMPLOYEES.

6.1 Background Investigation Requirements

6.2 Clearance Requirements

6.3 DOJ Contractor Employee Residency Requirement

6.4 Adjudication

7.0 PLACE AND PERIOD OF PERFORMANCE

8.0 REPORTS

9.0 DELIVERABLES

10.0 POINTS OF CONTACT

11.0 APPENDIX

11.1 Appendix A: High Level Architecture Diagrams

11.2 Appendix B: Required Reports Index.xls

11.3 Appendix C: Required Forms Index.xlsx

11.4 Appendix D: Requirements Traceability Matrix (RTM) (attached)

11.5 Appendix E: DOJ Cybersecurity Program Order 0904.pdf (attached)

11.6 Appendix F: Expected Data Element Requirements.pdf (attached)

11.7 Appendix G: Example Workflow Processes

11.8 Appendix H: FY2022 DOJ Vulnerability Prioritization Plan

11.9 Appendix I: Internal Data Interfaces.pdf (attached)

11.10 Appendix J: External Data Transactions.pdf (attached)

1.0 PURPOSE.

This document outlines the scope of objectives for the implementation of the Department of Justice (DOJ) United States Attorneys’ Office for the District of Columbia’s (USAO-DC’s) new Prosecutors’ Case Management System (PCMS). USAO-DC requires the services of a contractor to provide a PCMS that can be customized, as well as the services required to implement and support the system. This project will include extensive collaborative partnering and iterative development efforts working directly with the USAO-DC and the Executive Office for U.S.

Attorneys (EOUSA) personnel to ensure all needs are met.

The purpose of the PCMS Implementation project is to provide improved usability and easy access to all case and case-related data to accelerate routine prosecutorial tasks so that the U.S. Attorney (USA) and Assistant U.S. Attorneys (AUSAs) may more efficiently complete mission critical work.

The PCMS procurement must provide a product with an interfacing platform service upon which the USAO-DC’s existing databases and associated legacy data may be migrated to permit updated interfacing capabilities to send, receive, store, and process critical criminal justice data.

Project Objective # 1 Create a “person-centric” case and records management system to allow for examination of an individuals’ case history, whether they were a witness, perpetrator, and/or victim, as well as tracking of discovery communications.

Project Objective # 2 Streamline and automate the process for case screening, intake, charging, and prosecution with all-inclusive case tracking and customization capabilities.

Project Objective # 3 Exercise PCMS APIs to programmatically insert external data into and extract data from PCMS so as to maintain the current exchange of information from and to other agencies.

Project Objective # 4 Enable higher visibility into case management data for both historical and active data analysis to support process improvement insights, charging decisions, plea bargaining, and disclosure obligation compliance.

Project Objective # 5

Implement case document management, digital evidence management, and secure file exchange that provides efficient access, review, and ultimately disclosure to third parties (eg defense attorneys). This may be fulfilled by tools native to PCMS implementation, or through PCMS APIs that enable integration with third party tools like Evidence.com©, Box©, and an EDMS (eg NetDocuments©).

* Project Objectives not necessarily listed in order of priority.

2.0 BACKGROUND.

USAO-DC is unique among USAOs in the size and scope of its work. USAO-DC serves as both the local and the federal prosecutor’s office for the nation’s capital. On the local side (known as the “Superior Court Division”), these prosecutions range from misdemeanor drug possession cases to murders. On the federal side, these prosecutions include gang crime, financial fraud, and terrorism.

The USAO-DC has an installed Justice Consolidated Office Network (JCON) network with several database systems (legal case tracking and administrative). Currently, the USAO-DC utilizes a legacy case management system called the Replicated Criminal Information System (RCIS). The system currently uses ORACLE Relational Database Management System (RDBMS) 19C on

Redhat Linux servers with the front-end application hosted on Oracle Forms and Reports 12C / WebLogic 12C using Redhat Linux Virtual Machines. This statement of objectives (SOO) outlines the scope of the configuration, data migration, data interfaces, testing, customization, and support services for the new PCMS that will replace the RCIS, the Automated Papering System (APS), and other customized in-house applications. This includes various user and data interfaces (Inbound and Outbound) both internal and with other local criminal justice agencies such as DC Metropolitan Police Department (MPD), DC Superior Court, Pretrial Services Agency (PSA), and Criminal Justice Coordinating Council (CJCC). Figure 01 shows the current External RCIS architecture.

Appendix A shows this diagram as well as a future architecture visualization of the data connections that will be necessary for the PCMS.

Figure 01: High-Level As-Is External Architecture Diagram

Note: The transaction numbers in Figure 01 are outlined in more detail in Appendix I: External Data Transactions.xlsx.

The PCMS shall allow for maximum reuse of existing configurations supporting interface capabilities that permit exchange of internal, inbound, and outbound data with other agencies, law enforcement, and criminal justice entities. To accomplish this, the USAO-DC requires a contractor to supply and implement a commercially available interfacing platform product to modernize critical upgrades to existing data interface capabilities with District of Columbia Criminal Justice entities.

The RCIS application resides on WebLogic/Redhat Linux servers. The RCIS external data interfaces run on Windows 2019 Internet Information Services (IIS). This comprises the primary system to be migrated and enhanced with the PCMS. RCIS has 375 tables and is 400 GB in size, with a document repository that is 20 TB in size. RCIS currently interfaces with a variety of other

Oracle 19C databases both within the JCON network and externally; the interfaces must remain intact and operational for a successful PCMS Go-Live deployment.

The database provides access to approximately 500 users via PIV/CAC authentication using SAML (implemented utilizing Okta) over VPN. This method of authentication for EOUSA must remain intact. These users receive a variety of scheduled reports via RCIS Windows Scheduler in the form of email, DB link, or XML via Web Service. There are a variety of forms and reports that must be accommodated in the PCMS solution and operate normally for a successful Go-Live deployment. These reports and forms are detailed in Appendix B: Reports Index.xls and Appendix C: Required Forms Index.xlsx. The contractor must recommend how to improve, consolidate, and/or replace these reports with PCMS tool features as appropriate so long as information sharing is accommodated as needed.

RCIS (the USAO-DC’s legacy PCMS) requires replacement because it is built on antiquated technology that the DOJ is no longer licensing and it no longer meets critical business needs of the Superior Court Division, which functions largely like a large District Attorneys (DA’s) Office.

Furthermore, RCIS has been under development for over 15 years and is now a patchwork quilt of data and functionality, which is neither technically- nor process-optimized.

The tasks RCIS performs, such as generating certain case-specific documents from standard templates, are too cumbersome to use effectively. Meanwhile, the tasks required of prosecutors have steadily increased, especially with the addition of body worn camera footage and complex disclosure obligations in nearly every case. A functional and efficient PCMS is critical given the high-volume nature of Superior Court Division practice, where misdemeanor prosecutors routinely carry caseloads of 150+ cases and some felony AUSAs now have 100 cases or more. Currently, RCIS houses more than 600,000 cases and more than 700,000 witnesses, victims, and defendants.

Given this volume, the USAO-DC requires a PCMS that simplifies routine tasks for prosecutors so they can focus on evaluating and preparing their cases, instead of performing administrative tasks related to their cases. Additionally, the District of Columbia plans to overhaul its Criminal Code, creating new statutes and a new penalty structure for most criminal offenses. Therefore, USAO- DC will be charging using two criminal codes simultaneously, depending upon offense date, and the PCMS must facilitate and handle the administrative burden of this transition.

RCIS is not only deficient in the services that it provides prosecutors, but in how it organizes data.

While RCIS exchanges information with data interfaces from and to other criminal justice agencies, it does not allow for easy access to the ingested data. For example, in the District of Columbia, individuals are often involved in more than one case and may have different roles in each one: either as perpetrators, victims, or witnesses, with upwards of several dozens of interactions with law enforcement and the USAO-DC throughout their life. Understanding the history of these interactions for each person is essential for making charging decisions, issuing plea offers, and complying with disclosure obligations. In short, the work in Superior Court prosecutions is “person-centric.” However, the data pertaining to these witnesses, victims, and defendants comes from various law enforcement agencies who enter data differently with inconsistencies.

In the new system, the following capabilities must be available for the system to be truly “person-centric”:

1. All Persons are defined uniquely and stored in one place – a Person table for example. Regardless of the Person’s role in any case, the Person will be stored once and related to an Entity (Case, Arrest etc.) based on the Role. Roles can include Defendant, Witness, Law Enforcement, Victim, etc. For example, a Person may be a Defendant in one Case and a Witness in a different case.

2. Changes to a Person’s profile will save or ‘Alias’ previous profiles.

3. Person Searches will return all instances of the Person in all of their Roles for various

Cases, Investigations, Warrants, Arrests etc. Searches will be organized by Role type for ease in viewing.

4. Person Searches will show existing co-defendant relationships.

Today, RCIS provides no reliable way to track individuals across cases or easily find this vital information, leaving prosecutors to conduct a patchwork of document and electronic searches to try to find this information. Nor does RCIS provide a way to track discovery that is provided to defense counsel, which is particularly crucial given the frequent turnover of prosecutors on cases and the fast- and high-volume nature of the practice. A person-centric case management system that allows tracking of discovery will allow Superior Court Division prosecutors to better fulfill their ethical and other obligations in discovery, and lead to more just and informed prosecutorial decisions.

3.0 SCOPE OF WORK.

The Contractor shall provide any requisite licenses, implement, operate and maintain the PCMS tool solution which meets or exceeds the requirements of this SOW; see details in section 3.10 Licensure Agreement. It is anticipated that the PCMS product will need to be tailored to the unique needs of USAO-DC. The contractor shall provide critical planning and implementation services as the USAO-DC anticipates releasing the PCMS platform in support of the modernization effort.

In providing the PCMS tool solution, the Contractor shall perform the following tasks:

• Contract Management

• Configuration and Testing

• Formal Testing Support

• Deployment and Cutover

• Data Migration

• Data Interfaces

• Training

• Hypercare Support

• Follow-on Support for further customization and new requirements

3.1 Contract Management

The contractor shall provide contract oversight of resources and deliver Monthly Status Reports to USAO-DC personnel. The contractor shall facilitate a Kick-off Meeting to review project objectives and schedule. Additionally, the contractor shall facilitate the detailed task assignment to contractor resources that is necessary to complete all elements of the implementation on schedule and on budget.

The contractor shall provide support to obtain a new or updated Authority to Operate (ATO) with EOUSA for the suggested solution. This ATO must be obtained and approved before the Production roll-out and Go-Live of the PCMS can occur.

DELIVERABLES:

• Initial Kick-Off Meeting

• Monthly Status Reports

• ATO Support (as required)

3.2 Configuration and Testing

As part of the tailoring of the PCMS, the contractor shall configure and perform the unit testing to meet the requirements as identified by USAO-DC within this SOO. This may include the creation or manipulation of the PCMS data fields, screens, roles, and workflows to accommodate the unique data entry and processing needs of the Superior Court Division attorneys and support staff.

The contractor shall perform iterative configuration and testing of all requirements. All necessary USAO-DC stakeholders must be involved to provide feedback along the way. If any bugs or defects are found, the contractor must correct them as a priority. The USAO-DC IT Applications team will decide which feedback items are critical for implementation, and which can be placed in a backlog or otherwise ignored. All testing results shall be documented in an Iterative Test Results Summary document that includes an updated Requirements Traceability Matrix (RTM), what (if any) bugs/defects were found, and a list of all feedback.

DELIVERABLES:

• PCMS platform Configuration and Test Plan detailing the segmentation of the RTM across the iterations.

• Updated and Detailed Project Milestone Chart to provide a detailed understanding of the implementation schedule.

• As Configuration and Testing iterations occur, all testing results shall be documented in an updated Requirements Traceability Matrix (RTM) to detail the specific PCMS functionality that will solve each requirement and to provide status of each requirement, including which requirements passed/failed, what (if any) bugs/defects were found, and a list of all feedback/approval received.

• Configured and Functioning PCMS in Development environment.

• Basic documentation of artifacts specified in the DOJ Design, Development, and Integration & Test phases including (but not limited to):

o System Design Document o Maintenance, System Administration, and User Manuals

3.2.1 Functional Case Management Requirements

The Requirements Traceability Matrix.xlsx (Appendix D) includes the full list of requirements with either Required or Optional indicated. Any requirement marked ‘Needed at Go-Live’ YES must be incorporated and functioning in the new PCMS at initial rollout. Any item marked 'Needed at Go-Live’ NO will be accomplished in a later phase. Additionally, any requirement marked ‘Optional’ may also be accomplished in a later phase.

Appendix B: Reports Index.xls and Appendix C: Required Forms Index.xlsx provides an aggregated chart of the number of Reports and Forms, required and complexity level of these Forms and Reports. Appendix F: Expected Data Element Requirements.xlsx provides an overview of how data is currently structured. USAO-DC anticipates a 5-10% addition of fields beyond the counts already identified. The contractor shall also provide recommendations as to how to improve, consolidate, and/or replace these reports with the PCMS tool features as appropriate so long as information sharing is accommodated as needed.

3.2.2 Technical Requirements

The Requirements Traceability Matrix.xlsx (Appendix D) outlines the necessary technical details that must be met by the PCMS tool solution in order to fulfill DOJ, EOUSA, and USAO- DC standards.

3.2.2.1 Security Requirements

Due to the type of data and the established levels of Confidentiality, Integrity, and Availability, the PCMS must meet Federal Information Security Management Act (FISMA) standards and National Institute of Standards and Technology (NIST) Computer Security requirements. The system must meet the requirements outlined in DOJ Cybersecurity Program Order 0904. See Appendix E: DOJ Cybersecurity Program Order 0904.

3.2.2.2 Data Requirements

The new PCMS must accommodate interface connectivity specified in Appendix I: External Data Transactions.xlsx as well as the data requirements outlined in Appendix F: Expected Data Element Requirements.xlsx. The Requirements Traceability Matrix.xlsx (Appendix D) outlines the necessary requirements regarding data within the new PCMS.

3.2.2.3 Hosting Requirements

DOJ, USAO-DC, and EOUSA require the proposed PCMS solution to be hosted in a secure Government environment. Due to the restricted nature of the data, the PCMS must meet the hosting requirements, whether on-premises or in the Cloud, as outlined in the Requirements Traceability Matrix.xlsx (Appendix D).

3.2.2.4 Security Patching

The system must be able to be patched when security vulnerabilities are identified. Patches must be applied within specific timelines dictated by the FY2022 DOJ Vulnerability Management Plan.

These timelines are shown in Appendix H: FY2022 DOJ Vulnerability Management Plan.

3.3 Formal Testing Support

After it has been confirmed that all requirements have been successfully configured and tested via the iterations, the contractor shall provide formal testing support. The contractor shall facilitate formal testing activities with relevant stakeholders to ensure successful configuration and integration of the PCMS using a TEST environment. The contractor shall work to identify, track and resolve any defects (technical, functional, or otherwise) via the following all-encompassing testing phases:

3.3.1 Systems Integration Testing (SIT)

Initial deployment, setup, and full iterative configuration of a TEST environment to include all elements that have been configured during Configuration and Testing (Section 3.2) and the attached Requirements Traceability Matrix. Post-configuration of the TEST environment, Systems Integration Testing (SIT) will occur to test the validity of end-to-end processes, functionality, and all interfaces. All necessary USAO-DC stakeholders will be involved to provide feedback along the way and to provide final sign-off on completion of the task.

Interface connectivity testing of TEST instances of dependent systems, including, but not limited to the following tasks:

• Data interface testing to ensure data transfers are functioning as expected by configuration and testing of Appendix I: External Data Transactions.xlsx

• Data import and export testing to include data migration for critical data sets

• Data Validation Test Plan and Execution

• User Access & Security Role Validation Testing

• Reporting Validation and Scheduled Task/Refresh Execution

• Performance Testing

• System and Network Security Protocols Testing

• Screen behavior and workflow testing to ensure tasks/assignments, buttons, LOVs, data fields are functioning as intended

• Backup and Recovery Testing

DELIVERABLES:

• Systems Integration Testing (SIT) Test Plan summarizing the test step sequences, parties involved and the expected results.

• Systems Integration Testing (SIT) Results Report summarizing the results from performing the testing activities outlined above.

3.3.2 User Acceptance Testing (UAT)

Formal UAT is required in the TEST implementation of the tool with all necessary stakeholders.

This includes System Administrators, end users and technical subject matter experts from systems providing/receiving data streams to/from the PCMS. The contractor shall work with the USAO- DC to create a general test plan and test scripts for users to walk through to test viability of the new tool and access to the data they utilize. All necessary USAO-DC stakeholders will be involved to provide feedback along the way and to provide final sign-off on completion of the task.

DELIVERABLES:

• User Acceptance Testing (UAT) Test Plan summarizing the functions to be tested, test steps sequences, parties involved and the expected results.

• User Acceptance Testing (UAT) Results Document – provides list of defects, their status, as well as list of summarized requested enhancements beyond the scope. These results must be formally approved by USAO before proceeding to the Deployment and Cutover phase.

3.4 Deployment and Cutover Support

The contractor must provide support to deploy the approved PCMS to a Production environment and migrate all necessary data; turn on interfaces; configure the necessary end user profiles; and train DOJ personnel.

3.4.1 Deployment and Cutover Plan

The contractor must provide and communicate a detailed schedule of tasks to all stakeholders, along with expectations of performance and how to notify the USAO-DC team or contractor if there are any issues to report. Additionally, the contractor shall outline a Go/No-Go Checklist of items that must be completed and confirmed to be working appropriately before Go-Live can occur. Both of these items (detailed schedule and Go/No-Go Checklist) shall be documented within a Deployment and Cutover Plan. This plan shall include POC information for all parties involved in the cutover; a detailed task list on how to execute a roll-back if failure occurs during or after cutover; testing procedures during the deployment and cutover process; and an outline of necessary team meetings as required.

DELIVERABLES:

• Deployment & Cutover Plan (updated weekly) with a detailed schedule and checklist incorporating components in 3.4.2 (Production Deployment), as well as for the required scope within Sections 3.5 (Data Migration), 3.6 (PCMS Data Interfaces), 3.7 (Training & Customer Support), and 3.8 (Post Go-Live Hypercare Support).

3.4.2 Production Deployment

Following UAT and formal approval from the USAO-DC, the contractor is responsible for initial deployment, setup, and configuration of a Production (PROD) environment to include all elements in Section 3.2 “Configuration and Testing” and Appendix D: Requirements Traceability Matrix.

DELIVERABLES:

• Documented, Configured, and Functioning PCMS in Production environment.

3.5 Data Migration

The contractor is responsible for providing data migration processes, with the assistance of USAO- DC technical personnel, to ensure all necessary data is mapped and migrated to the PCMS. This includes execution of the data migration tasks necessary to Configure and Test Data Migration processes as well as completing the Data Migration activity necessary during Deployment and Cutover. These activities shall include source to target data mapping, configuration and testing of all associated forms, methods and scripts, data migration task sequencing, data relationship/association sequencing, execution of these tasks in the order defined, testing, and post-migration audit.

After receiving formal USAO-DC acceptance of data migration results and of the production (PROD) environment configuration, the Contractor shall transition production data from the RCIS source database, provided by the USAO-DC, into the PCMS. The contractor will execute the data migration processes and provide USAO-DC with regular progress updates throughout the data migration task. The contractor is also responsible for assisting USAO-DC with turning on each data interface ensuring proper data transfer and connectivity exists for Go-Live operations to begin.

Table 01 shows the current data dimensions associated with USAO-DC’s data migration requirements.

Table 01: CASE DATA

Data Dimensions*

Data Category # of Tables # of Columns # of Rows

PROCESS ARRESTS IN INTAKE SECTION 8-10 400 5M

CASES 30-32 750 13M

PEOPLE 5-10 100 2.6M

INDICTMENTS 10-12 250 100K

INVESTIGATIONS 4-6 75 192K

COURT DATA 58 460 20M

WARRANTS 20-22 100 10K

CHARGING DATA FOR WARRANTS 2-4 40 100K

USAO PERSONNEL 3-5 50 3K

MISCELLANEOUS 2-4 15 2K

CASE DOCUMENTS (RCIS) These documents are stored in the RCIS database and there are 360K of them.

CASE DOCUMENTS (W Drive) These documents are located on a shared drive and currently occupy 20TB of disk space.

*Note: These data dimensions are estimates. The # of Columns and # of Rows represent totals for the category as opposed to any specific table. K = 1000, M = 1000000

3.6 PCMS Data Interfaces

For the below tasks, the contractor shall conduct the configuration and testing of data interfaces in the DEV and TEST environments, including the formal testing activities required during the SIT and UAT phases. Then, UAT approved interfaces will be provisioned by the contractor in the PROD environment to ensure full system functionality and data flow is in place.

3.6.1 Incoming Data Interfaces

Some of these interfaces reside external to USAO-DC, but some are within the USAO network, and the contractor shall support these interfaces by providing APIs (Application Program Interfaces) to accomplish these requirements. The contractor shall also provide implementation support for these required APIs.

3.6.1.1 Court Case Data Interface

Currently, court data for USAO-DC cases flows from DC Superior Court and is loaded to RCIS.

This process (12.1 transaction) is delivered via XML and a web service. Procedures are currently present to load the data to RCIS. Court data is loaded as a delete/replace process for each case.

This court data load process is required to continue in the PCMS. The contractor must provide an API to accomplish this requirement. This data transaction (12.1) is further detailed in Appendix J: External Data Transactions.xlsx.

Note: This data runs through the Criminal Justice Coordinating Council (CJCC).

3.6.1.2 MPD Arrest Data Interface

Currently, MPD arrest data and related documents flows to USAO (via CJCC) and is loaded to RCIS. This data (1.1 and 1.2 transaction) is delivered via XML and a web service. Procedures are currently present to load the data and documents to RCIS. This arrest data load process is required to continue in the PCMS. The contractor must provide an API to accomplish this requirement. These data transactions (1.1 and 1.2) are further detailed in Appendix I: External Data Transactions.xlsx.

Note: This data runs through the Criminal Justice Coordinating Council (CJCC).

3.6.1.3 MPD Mugshots Data Interface

Defendant mugshots are delivered from MPD via XML and a web service. Currently the mugshots are loaded to a staging area but are not incorporated in RCIS. The contractor must provide an API to load these mugshots to the PCMS. This data transaction (1.3) is further detailed in Appendix I:

External Data Transactions.xlsx.

Note: These mugshots run through the Criminal Justice Coordinating Council (CJCC).

3.6.1.4 Pretrial Services Agency (PSA) Bail Report Interface

Currently, Bail Report documents flow from PSA to USAO-DC (via CJCC) and are loaded to RCIS. These documents (11.1 transaction) are currently delivered to RCIS using an Oracle database link and an existing procedure. The contractor must provide an API to load these mugshots to the PCMS. This data transaction (11.1) is further detailed in Appendix I: External Data Transactions.xlsx.

Note: This data runs through the Criminal Justice Coordinating Council (CJCC).

3.6.2 Outgoing Data Interfaces

Some of these interfaces reside external to USAO-DC, but some are within the USAO-DC network, and the contractor shall support these interfaces by providing APIs (Application Program Interfaces) to accomplish these requirements. The contractor shall also provide implementation support for these required APIs.

3.6.2.1 Data Warehouse Interface

The PCMS must allow USAO-DC to pull any and all data contained within the PCMS to a USAO-developed external data warehouse. The contractor is not responsible to develop any coding for this USAO-DC data warehouse. The contractor must only supply the APIs, implementation support, and the detailed data maps for USAO-DC personnel to accomplish this task.

3.6.2.2 Court Case E-Filing Data Interface

Currently, USAO-DC E-files cases to DC Superior Court via the 9.1 transaction which is generated from RCIS and are made available to Superior Court (via CJCC) using an Oracle database link.

This process is required to continue in the PCMS. The contractor must provide an API to produce the outgoing case e-filing transaction in the required format. This data transaction (9.1) is further detailed in Appendix I: External Data Transactions.xlsx.

Note: This data runs through the Criminal Justice Coordinating Council (CJCC).

3.6.2.3 MPD No Paper Data Interface

Currently, USAO-DC notifies MPD of arrests that are No Papered (not charged) via the 8.1A transaction which is generated from RCIS and are made available to MPD (via CJCC) using an Oracle database link. This process is required to continue in the PCMS. The contractor must provide an API to produce the outgoing No Paper transaction in the required format. This data transaction (8.1A) is further detailed in Appendix I: External Data Transactions.xlsx.

Note: This data runs through the Criminal Justice Coordinating Council (CJCC).

3.6.2.4 Inmate Matching Data Interface

Defendant and Witness data is exported from RCIS to identify defendants who shall not be housed together because of on-going cases that may endanger one of the inmates or may compromise a case. The file follows a Comma-Separated Values (CSV) file format. Department of Corrections (DOC) first sends a spreadsheet of current inmates to USAO-DC. This DOC spreadsheet is loaded into a USAO-DC application called JAIL. JAIL then produces a CSV file which identifies inmates that shall not be housed together by comparing inmate data to RCIS Defendant and Witness data.

This CSV file is delivered to DOC. The contractor must provide an API to ingest this DOC spreadsheet and produce this CSV file as currently configured.

3.6.2.5 Pretrial Services Agency (PSA) No Paper Interface

Currently, USAO notifies PSA of arrests that are No Papered (not charged) via the 8.1B transaction. This 8.1B transaction is generated from RCIS and is made available to PSA (via CJCC) using an Oracle database link. This process is required to continue in the PCMS. The contractor must provide an API to produce the outgoing No Paper transaction in the required format.

This data transaction (8.1B) is further detailed in Appendix I: External Data Transactions.xlsx.

Note: This data runs through the Criminal Justice Coordinating Council (CJCC).

3.6.2.6 Office of the Attorney General (OAG) Arrest Transfer Data Interface Currently, USAO-DC notifies the Office of Attorney General (OAG) of arrests or arrest charges that are being transferred to OAG for their charging decision via the 6.3 transaction. This 6.3 transaction is generated from RCIS and is made available to OAG (via CJCC) using an Oracle database link. This process is required to continue in the PCMS. The contractor must provide an API to produce the outgoing arrest transfer transaction in the required format. This data transaction (6.3) is further detailed in Appendix I: External Data Transactions.xlsx.

Note: This data runs through the Criminal Justice Coordinating Council (CJCC).

3.7 Training & Customer Support

The contractor must provide training materials, documentation, and live support to 10 Administrators and approximately 500 end users, as needed, to learn how to operate the tool and support a Train the Trainer model. Using this model, the contractor will train select USAO-DC personnel and they are responsible for training each end user. This training shall include general usage of the new interface, tool functionality, as well as administration tasks such as account management, custom field management, security role/rule management, report scheduling and management, and system connectivity module management.

DELIVERABLES:

• Detailed Training Plan

• Training for Administrators and selected User Trainers

• Training materials and documentation.

3.8 Post Go-Live Hypercare Support

The contractor shall provide ongoing support post-deployment to ensure the PCMS is maintained, updated, and all customer needs are met for a period not exceeding 90 days. Hypercare Support must include, but is not limited to the following:

• Active Monitoring of Go-Live PCMS Performance

• Dedicated Technical & Support Personnel to resolve any break / fix issues

• Daily check-ins with USAO-DC Personnel

DELIVERABLES:

• Hypercare Post Go-Live Report – status of defects, change requests, feature enhancement updates.

3.9 System Support (Life of Contract)

Ongoing system support must be available from the contractor. This would support the following potential needs of DOJ and USAO-DC:

• Break/fix Resolution

• Applying Patches to the PCMS

• Providing PCMS Upgrades and Upgrade Management

• Data Storage Management

• Modification of existing data interfaces to include testing and implementation

• Creation of new interface APIs

• Providing additional PCMS customization support

3.10 Licensure Agreement

The contractor shall provide detailed licensing structure for the organization and the specific tool solution. Specifically, the costs associated with each licensing tier, how they operate, and tiers of support included for each. The USAO-DC Administrator accounts must have maximum ability to administer the system including creating and updating APIs, workflows, or interfaces (as examples) to support ever-changing business processes.

Specifics to be listed in the licensure agreement details include, but are not limited to:

• per general user license

• per administrator license (if different than general user)

• per API license

• per yearly enterprise license if on-premises license

• per yearly enterprise license if in Cloud

• yearly maintenance fees

• support package options and what is included in each

• information regarding ownership of the data vs. tool as the USAO will retain ownership of their instance of the tool and all underlying data

• data storage limits and charges

• professional services charges and package options The contractor shall make use of the following environments to follow proper configuration, testing, and release procedures.

• Development (DEV) – Environment where contractor or USAO personnel can configure the solution.

o 5-10 users

• TEST – Environment where USAO can perform testing and the environment that shall be used for Formal Testing (Section 3.3).

o 20-30 users

• Production (PROD) – Environment that USAO will actively use for case management purposes.

o ~500 users

4.0 GOVERNMENT FURNISHED EQUIPMENT AND

GOVERNMENT FURNISHED INFORMATION.

If a cloud-based solution is proposed and selected, the contractor must provide all necessary equipment to perform this scope of work. If a system is proposed which requires DOJ network access, USAO-DC will supply Government Furnished Equipment (GFE), specifically laptops and

PIV cards to the contractors who will be directly working with the information systems in the test environment.

5.0 KEY PERSONNEL.

USAO-DC requires the contractor to provide Key Personnel with significant project management (PM) experience inclusive of a range of project management methodologies from waterfall to agile, system implementation with database conversion(s). Additionally, the USAO- DC requires subject matter expertise in the discipline of enterprise architecture inclusive of multi-point integration expertise for database migration and integration.

5.1 Key Personnel Qualifications/Experience

USAO requires Key Personnel with the following experience:

5.1.1 Project Management

Significant project management (PM) experience inclusive of a range of project management methodologies from waterfall to agile, system implementation with database conversion(s).

Demonstrated PM experience must include database migration/data warehousing experience as a critical aspect of application migration in prior projects commensurate with the complexity and value of this SOO.

5.1.2 Enterprise Architecture

Subject matter expertise in the discipline of enterprise architecture inclusive of multi-point integration expertise for database migration and integration.

5.2 Required Key Personnel

The Contractor shall identify its proposed Key Personnel for this effort which shall include at a minimum: Lead Project Manager (Primary POC), Development Lead, and Senior Systems Analyst. Additional contractor support services in the capacity of a Subject Matter Expert (SME) in enterprise architecture may also be required to supplement the Project Managers in providing expertise in managing the numerous integration touchpoints present in this modernization project as a result of the multiple existing database and external system interfaces that must efficiently and effectively be integrated into the new platform implementation.

Any replacement of key personnel must be supported by a resume, submitted to the Contracting Officer, prior to the date the individual starts work under the Contract. The resume must demonstrate that the replacement is qualified to perform the work for which he or she is proposed and has experience and skills at least comparable to the replaced key person. Any replacement is subject to disapproval by the Contracting Officer. In the event a replacement candidate is disapproved, the Contractor shall take immediate action to locate and propose another candidate.

5.3 Key Personnel Substitution

The Contractor shall also replace any or all of its key personnel, if directed by the Contracting Officer. In those cases, the replacement procedures established by this clause shall be followed.

The following requirements related to personnel must be met:

i) The Contractor shall assign to perform this Contract those persons whose résumés are submitted with its quote and who are identified in the Contractor’s proposal as Key Personnel. If an individual proposed as Key Personnel becomes unavailable during the course of solicitation phase, the Offeror will notify the Contracting Officer immediately and provide a substitute and their résumé.

ii) The Contractor agrees that during the first six (6) months of performance after Award, no Key Personnel substitutions will be made unless necessitated by an individual’s sudden illness, death, or termination of employment. In any of these events, the Contractor shall promptly notify the Contracting Officer and provide a resume for the proposed replacement for Government approval. No substitutions of Key Personnel shall be made except in accordance with this provision.

iii) After the initial six-month period of performance, the Contractor must obtain Government approval of any substitution of Key Personnel prior to removing the approved Key Personnel from performance. All proposed substitutions must be submitted, in writing, to the Contracting Officer at least 30 days in advance of the proposed substitution.

iv) All requests for substitutions/additions of Key Personnel must include a detailed explanation of the circumstances necessitating the proposed substitution or addition, a complete résumé for the proposed substitute or addition including skills, experience, education, training, and security level. As determined by the Contracting Officer, all proposed substitutes must have qualifications that meet or exceed the qualifications of the person to be replaced.

v) The Government will evaluate the request(s) for substitutions of Key Personnel and the Contracting Officer will notify the Contractor, in writing, of approval or disapproval.

Disapproval of the proposed individual(s) shall not provide grounds for nonperformance by the Contractor or form the basis of any claim for monies, delivery schedule extension, or any other equitable adjustment.

vi) The personnel set forth below shall comprise the list of Key Personnel required to perform under this Contract. The list may be modified in accordance with the above, to substitute or add personnel:

Labor Category Key Personnel Name

NOTE: At a minimum, a Lead Project Manager, Development Lead, and Senior Systems Analyst must be identified and designated as Key Personnel. The Development Lead will be a direct liaison to the Government, namely the Product Owners. The Lead Project Manager must be a senior staff member and is responsible for the supervision and management of the Contractor’s personnel, technical assistance, and interface and compliance with instructions from AGENCY’s COR.

5.4 Core Work Hours/Federal Holidays

Core work hours are Monday through Friday, 8AM to 5:30PM, excluding Federal holidays. If required, overtime shall only be performed with the prior approval of the COR.

5.5 Actual Work Hours

Note that due to the uncertainty with actual workload demands at the time of this SOO solicitation, the contractor shall assume to be required to generally work 40 hours per week.

However, there is no guaranteed number of hours to be worked; the above estimated level of effort is provided as a ceiling for establishing contract funding limitations at time of award only.

Actual hours worked are expected to vary over the course of performance. The contractor shall be required to work overtime, may work less than a full-time work week, and otherwise adjust work schedules depending on workload demands, surge and lag times due to project progression, or other project-driven suspense deadlines or fluctuating requirements. The contractor shall only bill for actual hours worked IAW with the applicable Payments clause in the Contract.

6.0 PERSONNEL SECURITY REQUIREMENTS FOR

CONTRACTOR EMPLOYEES.

The contractor shall ensure strict adherence to all necessary and required security protocols to ensure safeguarding and protection of all Government Furnished Equipment/Information (GFE/GFI), case materials, court documents, etc. All contractor personnel shall successfully pass a Minimum Background Investigation prior to starting work on-site. Additional security requirements and forms unique to this order may be provided by USAO as required.

6.1 Background Investigation Requirements

The selected contractor will undergo a Tier 4 (T4) Level 6 investigation, and the five-year reinvestigation required is a Tier 4R (T4R) investigation. The 2017 version of the Standard Form (SF) 85P, Questionnaire for Public Trust Positions, is required in the Electronic Questionnaire

Investigation Program (eQIP). This will include a background investigation for the past 10 years to include credit history, law enforcement history, family history, residence history, employment history, mental health history not related to family counseling, foreign travel history, and foreign relations to include family members.

6.2 Clearance Requirements

The selected contractor performing work on this contract is subject to the background clearance requirements of Homeland Security Presidential Directive (HSPD)-12, OMB Guidance Memorandum M-05-24, FIPS Publication 201 and DOJ policy implementing HSPD-12 requirements. In addition, the contractor must meet the DOJ Residency Requirements (see below).

6.3 DOJ Contractor Employee Residency Requirement

All contractor employees assigned to this contract and working within the United States shall meet the DOJ Residency Requirement. The Residency Requirement states that, for three of the five years immediately prior to applying for a position, the individual must have: 1) resided in the United States; 2) worked for the United States overseas in a Federal or military capacity; or 3) be a dependent of a Federal or military employee serving overseas.

This requirement can be waived for short-term (i.e., those employees performing duties for a cumulative total of 14 days or less) if there is a critical need for their specialized or unique skills (for example, interpreters for rare foreign languages). These individuals must be United States citizens or Permanent Resident Aliens. A waiver request from the head of the Component outlining the extenuating circumstances along with the requisite contractor clearance package shall be submitted through the Contracting Officer to the Department Security Officer (DSO) for approval. Each waiver request will be reviewed by the DSO and a determination made on a case-by-case basis.

Additionally, a contractor employee who is not a U.S. citizen must be from a country allied with the United States. Since the countries on the Allied Countries List are subject to change, the head of the Component shall review the following website for current information:

http://www.opm.gov/employ/html/Citizen.htm.

NOTE: Department of Justice Order 2640.2D, entitled, “Information Technology Security,” dated, July 12, 2001:

“The Department of Justice does not permit the use of Non-U.S. citizens in the performance of this contract or commitment for any position that involves access to or development of any DOJ IT system. By signing the contract or commitment document, or commencing work thereunder, the contractor agrees to this restriction. [In those instances where other non-IT requirements contained in the contract or commitment can be met by using Non- U.S. citizens, those requirements shall be clearly described].”

As such, by submission of an offer, and subsequent acceptance of award, in response to this SOO, the contractor hereby agrees to this statement.

http://www.opm.gov/employ/html/Citizen.htm

6.4 Adjudication

For all Key Personnel, the contractor must receive favorable adjudication of the appropriate Department of Justice background investigation consistent with a High Risk Position, Tier 4 Level 6, which requires the completion of an SF 85P, Questionnaire for Public Trust Positions.

7.0 PLACE AND PERIOD OF PERFORMANCE.

Onsite performance is not anticipated for this requirement; however, the contractor is responsible for hosting Webex/MS Teams meetings as necessary for communications, meetings, and training.

This contract is for an initial 18-month Base Term effort and includes one 6-month Phase Zero, one 3-month Baselining Phase and an estimated three 3-month Base Term Phases. The contract also includes up to two (2) six-month option periods. The total duration of this contract including the exercise of any options and/or award of an Award Term Phase shall not exceed thirty (30) months unless otherwise amended by the Contracting Officer.

The term shall not be considered extended unless and until the contractor receives notification of the extension as evidenced by a modification signed by the Contracting Officer.

Figure 02 depicts the sample milestone schedule for this SOO.

Figure 02: Proposed Project Milestones

8.0 REPORTS.

The Contractor shall provide written progress/financial status reports when it submits its monthly invoice. Monthly reports shall be submitted to the COR electronically in a format agreeable to the COR (e.g., Word, Excel, PowerPoint, .pdf, etc.). Additionally, a copy of each report shall be provided electronically to the Contracting Officer. These reports shall be for the period reflected in the invoice and must include, at a minimum, the following information for each open task:

For firm-fixed-price tasks:

a. Report of all action items (both government and contractor), in a form and substance agreeable to the Contracting Officer and the COR;

b. Work completed during the reporting period; and,

c. Issues identified and plan for addressing them.

For time-and-materials tasks:

a) Report of all action items (both government and contractor), in a form and substance agreeable to the Contracting Officer and the COR;

b) Work completed during the reporting period;

c) Issues identified and plan for addressing them;

d) Labor hours expended by labor category (current period and cumulative);

e) Amount of funds expended (current period and cumulative);

f) Amount of funds remaining under the task order; and,

g) Total cost estimate through completion of the task order period of performance.

9.0 DELIVERABLES.

The following deliverables must be completed by the specified due date and sent to the USAO Applications Manager and the COR for approval. Government stakeholders must have the chance to review the documentation ahead of the final submission due date for feedback/discussion. Table 02 shows the comprehensive list of deliverables and key milestones for this effort.

Table 02: PCMS Implementation Deliverables

Milestone Section Description Due Date…