16PBGC19R0009.pdf

RFQ IFB RFP

WOMEN-OWNED SMALL BUSINESS

(WOSB) ELIGIBLE UNDER THE WOMEN-OWNED

SOLICITATION/CONTRACT/ORDER FOR COMMERCIAL ITEMS

OFFEROR TO COMPLETE BLOCKS 12, 17, 23, 24, & 30

1. REQUISITION NUMBER PAGE OF

2. CONTRACT NO. 3. AWARD/EFFECTIVE

DATE

4. ORDER NUMBER 5. SOLICITATION NUMBER 6. SOLICITATION ISSUE

DATE

7. FOR SOLICITATION

INFORMATION CALL:

a. NAME b. TELEPHONE NUMBER (No collect calls)

8. OFFER DUE DATE/

LOCAL TIME

9. ISSUED BY

13b. RATING

14. METHOD OF SOLICITATION

CODE

15. DELIVER TO 16. ADMINISTERED BY CODE

18a. PAYMENT WILL BE MADE BY CODEFACILITY

CODE

CODE

TELEPHONE NO.

17b. CHECK IF REMITTANCE IS DIFFERENT AND PUT SUCH ADDRESS IN

OFFER

18b. SUBMIT INVOICES TO ADDRESS SHOWN IN BLOCK 18a UNLESS BLOCK

BELOW IS CHECKED

SEE ADDENDUM

19.

ITEM NO.

20.

SCHEDULE OF SUPPLIES/SERVICES

21.

QUANTITY

22.

UNIT

23.

UNIT PRICE

24.

AMOUNT

(Use Reverse and/or Attach Additional Sheets as Necessary)

25. ACCOUNTING AND APPROPRIATION DATA 26. TOTAL AWARD AMOUNT (For Govt. Use Only)

28. CONTRACTOR IS REQUIRED TO SIGN THIS DOCUMENT AND RETURN

DELIVER ALL ITEMS SET FORTH OR OTHERWISE IDENTIFIED ABOVE AND ON ANY

ADDITIONAL SHEETS SUBJECT TO THE TERMS AND CONDITIONS SPECIFIED

29. AWARD OF CONTRACT: REF.

DATE . YOUR OFFER ON SOLICITATION

(BLOCK 5), INCLUDING ANY ADDITIONS OR CHANGES WHICH ARE

SET FORTH HEREIN, IS ACCEPTED AS TO ITEMS:

30a. SIGNATURE OF OFFEROR/CONTRACTOR

30b. NAME AND TITLE OF SIGNER (Type or print) 30c. DATE SIGNED

31a. UNITED STATES OF AMERICA (SIGNATURE OF CONTRACTING OFFICER)

31b. NAME OF CONTRACTING OFFICER (Type or print) 31c. DATE SIGNED

AUTHORIZED FOR LOCAL REPRODUCTION

PREVIOUS EDITION IS NOT USABLE

STANDARD FORM 1449 (REV. 2/2012)

Prescribed by GSA - FAR (48 CFR) 53.212

COPIES TO ISSUING OFFICE. CONTRACTOR AGREES TO FURNISH AND

OFFER

13a. THIS CONTRACT IS A

RATED ORDER UNDER

DPAS (15 CFR 700)

11. DELIVERY FOR FOB DESTINA-

TION UNLESS BLOCK IS

MARKED

SEE SCHEDULE

12. DISCOUNT TERMS

ARE ARE NOT ATTACHED

ARE ARE NOT ATTACHED

27a. SOLICITATION INCORPORATES BY REFERENCE FAR 52.212-1, 52.212-4. FAR 52.212-3 AND 52.212-5 ARE ATTACHED. ADDENDA

27b. CONTRACT/PURCHASE ORDER INCORPORATES BY REFERENCE FAR 52.212-4. FAR 52.212-5 IS ATTACHED. ADDENDA

17a CONTRACTOR/

OFFEROR.

CODE

8 (A)

SIZE STANDARD:

NAICS:

% FOR:SET ASIDE:UNRESTRICTED OR

SERVICE-DISABLED

VETERAN-OWNED

SMALL BUSINESS

HUBZONE SMALL

BUSINESS

SMALL BUSINESS

10. THIS ACQUISITION IS

EDWOSB

SMALL BUSINESS PROGRAM

RQ-33-19-000008

16PBGC19R0009 NOV 15, 2018

Judene Dayes 202-326-4000 3321

2:00 PM ET

PD

PENSION BENEFIT GUARANTY CORP

PROCUREMENT DEPARTMENT

1225 I STREET NW

WASHINGTON DC 20005-4026 518210

WSD

PENSION BENEFIT GUARANTY CORP - RECEIVING ROOM

1200 K ST NW (ALLEY ENTRANCE)

WASHINGTON DC 20005-4026

see continuation page for line item details.

See Schedule

NOV 28, 2018

Please

STANDARD FORM 1449 (REV. 2/2012) BACK

19.

ITEM NO.

20.

SCHEDULE OF SUPPLIES/SERVICES

21.

QUANTITY

22.

UNIT

23.

UNIT PRICE

24.

AMOUNT

32a. QUANTITY IN COLUMN 21 HAS BEEN

RECEIVED INSPECTED ACCEPTED, AND CONFORMS TO THE CONTRACT, EXCEPT AS NOTED:

41a. I CERTIFY THIS ACCOUNT IS CORRECT AND PROPER FOR PAYMENT

32b. SIGNATURE OF AUTHORIZED GOVERNMENT

REPRESENTATIVE

32c. DATE

41b. SIGNATURE AND TITLE OF CERTIFYING OFFICER 41c. DATE

42a. RECEIVED BY (Print)

42b. RECEIVED AT (Location)

42c. DATE REC'D (YY/MM/DD) 42d. TOTAL CONTAINERS

40. PAID BY

32d. PRINTED NAME AND TITLE OF AUTHORIZED GOVERNMENT

REPRESENTATIVE

32e. MAILING ADDRESS OF AUTHORIZED GOVERNMENT REPRESENTATIVE 32f. TELPHONE NUMBER OF AUTHORZED GOVERNMENT REPRESENTATIVE

32g. E-MAIL OF AUTHORIZED GOVERNMENT REPRESENTATIVE

33. SHIP NUMBER 34. VOUCHER NUMBER 35. AMOUNT VERIFIED

CORRECT FOR

PARTIAL FINAL

37. CHECK NUMBER

38. S/R ACCOUNT NO. 39. S/R VOUCHER NUMBER

36. PAYMENT

COMPLETE PARTIAL FINAL

16PBGC19R0009

SCHEDULE Continued

ITEM NO. SUPPLIES/SERVICES QUANTITY UNIT UNIT PRICE AMOUNT

The item(s) below are used for PBGC internal funding purposes only. The official Contract Line Item Number (CLIN) schedule is included in the Pricing Schedule.

The contractor shall invoice in accordance with the official CLIN schedule and with clause PBGC 52.232-7000 Submission of Invoices (Fixed-Price) (MAR 2017).

0001 The Contractor shall provide Enterprise eDiscovery Tool Service in accordance with the attached Pricing Schedule and Statement of Work (SOW).

Period of Performance: 02/10/2019 to 02/09/2020

1.00 EA

PAGE 3 OF 57 16PBGC19R0009

Table of Contents

SUPPLIES AND SERVICES OR PRICE/COSTS

STATEMENT OF WORK

52.202-1 DEFINITIONS (NOV 2013)

52.204-7 SYSTEM FOR AWARD MANAGEMENT (OCT 2018)

52.204-7 I SYSTEM FOR AWARD MANAGEMENT (OCT 2018) ALTERNATE I (OCT 2018)

52.204-9 PERSONAL IDENTITY VERIFICATION OF CONTRACTOR PERSONNEL (JAN 2011)

52.212-3 OFFEROR REPRESENTATIONS AND CERTIFICATIONS--COMMERCIAL ITEMS (OCT 2018)

52.212-4 CONTRACT TERMS AND CONDITIONS--COMMERCIAL ITEMS (OCT 2018)

52.212-5 CONTRACT TERMS AND CONDITIONS REQUIRED TO IMPLEMENT STATUTES OR EXECUTIVE ORDERS--COMMERCIAL

ITEMS (OCT 2018)

52.217-5 EVALUATION OF OPTIONS (JUL 1990)

52.217-8 OPTION TO EXTEND SERVICES (NOV 1999)

52.217-9 OPTION TO EXTEND THE TERM OF THE CONTRACT (MAR 2000)

52.224-1 PRIVACY ACT NOTIFICATION (APR 1984)

52.224-2 PRIVACY ACT (APR 1984)

52.227-14 RIGHTS IN DATA--GENERAL (MAY 2014)

52.232-40 PROVIDING ACCELERATED PAYMENTS TO SMALL BUSINESS SUBCONTRACTORS (DEC 2013)

52.233-2 SERVICE OF PROTEST (SEP 2006)

52.233-3 PROTEST AFTER AWARD (AUG 1996)

52.239-1 PRIVACY OR SECURITY SAFEGUARDS (AUG 1996)

52.247-34 F.O.B. DESTINATION (NOV 1991)

52.252-1 SOLICITATION PROVISIONS INCORPORATED BY REFERENCE (FEB 1998)

52.252-2 CLAUSES INCORPORATED BY REFERENCE (FEB 1998)

PBGC 52.201-7000 CONTRACTING OFFICER'S REPRESENTATIVE (JAN 2012)

PBGC 52.204-7000 RECORDS MANAGEMENT (SEP 2017)

PBGC 52.209-7001 ORGANIZATIONAL CONFLICTS OF INTEREST (AUG 2017)

PBGC 52.209-7002 HANDLING PBGC DATA (MAY 2017)

PBGC 52.215-7004 QUESTIONS CONCERNING THE SOLICITATION (OCT 2004)

PBGC 52.215-7006 PROPOSAL REVISIONS (OCT 2004)

PBGC 52.237-7005 INFORMATION SECURITY TRAINING (MAR 2016)

PBGC 52.239-7000 SECTION 508 ACCESSIBILITY STANDARDS (MAR 2016)

PBGC 52.239-7003 CLOUD COMPUTING REPRESENTATION (APR 2016)

PBGC 52.239-7005 NON-CLOUD MANAGED SERVICES (APR 2016)

PBGC 52.239-7006INFORMATION TECHNOLOGY MANAGEMENT (AUG 2018)

PBGC 52.242-7000 POSTAWARD CONFERENCE (MAR 2016)

INSTRUCTIONS TO OFFERORS

EVALUATION CRITERIA

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CLAUSES

SUPPLIES AND SERVICES OR PRICE/COSTS

Supplies or Services and Price/Cost

1. GENERAL DESCRIPTION

PBGC requires a cloud-based solution that provided support for the Processing / Review / Analysis and Production phases of the EDRM. This solution is a fully FedRAMPed service that provides web-hosted versions of popular best-of-breed discovery review software such as Relativity, multi-factor secure logins that can be tied to HSPD-12 PIV credentials, user and discovery case provisioning, secure upload of documents, ingestion support for intake of raw or structured documents into a case, a 100% online user experience for review and coding, production support and secure download of productions, and validated destruction of cases and case documents when a case is removed as well as take in PBGC’s existing open case load for continued processing.

2. PRICING SCHEDULE

The offeror must provide Firm-Fixed-Pricing for all CLINs listed in the Pricing Schedule. The Government intends to award a firm-fixed-price (FFP) Contract for this requirement

Base Year: February 10, 2019 – February 9, 2020

CLIN Description Quantity Unit Unit Price Total

0001 User Licensing 100 Each

Document/case preprocessing and ingestion into Relativity

3,000 GB

Data hosting (includes material from both 0002 and 0007)

5,000 GB

0004 Production support 320 GB

0005 Training 80 Hours

0006 Project Management 288 Hours

Initial migration of existing Relativity cases

2,000 GB

Total Price:

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Option Year One: February 10, 2020 – February 9, 2021

CLIN Description Quantity Unit Unit Price Total

1001 User Licensing 100 Each

Document/case preprocessing and ingestion into Relativity

3,000

GB

Data hosting (includes all active cases at start of year, and 0002)

8,000

GB

1004 Production support 320 GB

1005 Training 80 Hours

1006 Project Management 288 Hours

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Option Year Two: February 10, 2021 – February 9, 2022

2001 User Licensing 100 Each

Document/case preprocessing and ingestion into Relativity

3,000 GB

Data hosting (includes all active cases at start of year, and 0002)

10,000 GB

2004 Production support

320 GB

2005 Training 80 Hours

2006 Project Management 288 Hours

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Option Year Three: February 10, 2022 – February 9, 2023

3001 User Licensing 100 Each

Document/case preprocessing and ingestion

(includes all active cases at start of year, and

3004 Production support 320 GB

3005 Training 80 Hours

Project Management 288 Hours

PAGE 8 OF 57 16PBGC19R0009

Option Year Four: February 10, 2023 – February 9, 2024

4001 User Licensing 100 Each

Document/case preprocessing and ingestion

(includes all active cases at start of year, and

Production support 320 GB

4005 Training 80 Hours

4006 Project Management 288 Hours

Total Base Year and All Option Year Price:

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3. PERIOD OF PERFORMANCE

This contract is comprised of One (1) base year and Four (4) option years. It shall be effective on the date of the cognizant Contracting Officer’s signature, unless otherwise so noted:

Base/Option Year Period-of-Performance

Base Year: February10, 2019 through February 9, 2020 Option Year One: February10, 2020 through February 9, 2021 Option Year Two: February10, 2021 through February 9, 2022 Option Year Three: February10, 2022 through February 9, 2023 Option Year Four: February10, 2023 through February 9, 2024

PAGE 10 OF 57 16PBGC19R0009

STATEMENT OF WORK

STATEMENT OF WORK

2.0: BACKGROUND AND INTRODUCTION

About the Pension Benefit Guaranty Corporation (PBGC) The PBGC protects the retirement incomes of more than 40 million American workers in nearly 24,000 private-sector defined benefit pension plans. A defined benefit plan provides a specified monthly benefit at retirement, often based on a combination of salary and years of service. In 2015, PBGC paid monthly retirement benefits, up to a guaranteed maximum, to nearly 826,000 retirees in 4,800 single-employer and multiemployer pension plans that could not pay promised benefits. Including those who have not yet retired and participants in multiemployer plans receiving financial assistance, PBGC is responsible for the current and future pensions of about 1.5 million people.

About the Office of the General Counsel (OGC) Among other functions, the PBGC Office of the General Counsel Bankruptcy, Transactions and Terminations Department (BTTD), the Bankruptcy, Litigation and Terminations Department (BLTD), and the Program Law and Policy Department (PLPD) provide comprehensive legal services relating to PBGC's ERISA programs involving ongoing and terminated pension plans, including PBGC's early warning program, enforcement of §4062(e) liabilities, benefits, standard terminations, fiduciary law, premiums, and multiemployer program issues. These OGC departments represent PBGC in litigation in all courts relating to ERISA functions, represent PBGC in bankruptcy or insolvency proceedings, provide legal advice and services to support negotiations and settlements, and make recommendations concerning the initiation of litigation. Additionally, the OGC General Law and Operations Department (GLOD) provides legal advice and counsel for the Director and the Corporation on a broad range of issues, including appropriations/fiscal law, corporate governance, administrative law, ERISA, ethics, EEO, financial and accounting law, labor relations, procurement, and other laws that affect independent agencies. OGC represents the Corporation in fiduciary breach actions, defends challenges to Appeals Board decisions and is responsible for drafting the Corporation's regulations and guidance. The General Counsel serves as Secretary to PBGC's Board of Directors and the Deputy General Counsel serves as the agency's Designated Agency Ethics Official and Senior Agency Official for Privacy.

About PBGC Discovery and Electronic Discovery Needs PBGC has independent litigation authority and litigates high profile matters each year. In addition to work in bankruptcy and related matters, PBGC attorneys regularly represent the agency in federal district courts around the country, and in the federal courts of appeal. We have dozens of litigators on staff and dozens of active litigation matters at any one time. As a federal agency, the PBGC has limited support staff and attorneys are expected to take a hands-on approach to litigation case management from the initiation of the case on forward.

Like many federal agency legal offices and private sector legal divisions and law firms, PBGC conducts its electronic discovery processes as per the industry-standard Electronic Discovery Reference Model or EDRM (created by a joint academic and industry community which has been most recently housed at

PAGE 11 OF 57 16PBGC19R0009

the Duke Law Center for Judicial Studies). Since May 2005, the EDRM members have published and refined the EDRM diagram (available at https://www.edrm.net/frameworks-and-standards/edrm-model/) which provides a common language and process model for electronic discovery with phases that start with proper Information Governance of records within an organization and move through the Identification of records, Preservation and Collection of records specific to a matter, Processing / Review / Analysis by attorneys to cull the record set, Production of relevant records, and Presentation of records in court.

The OGC uses its internal business support systems (such as Microsoft Office 365) and its federal systems of record (SORs) to manage its Information Governance, Identification, and Preservation / Collection phases and does not need an external system for these functions. In 2015, PBGC procured a cloud-based solution that provided support for the Processing / Review / Analysis and Production phases of the EDRM. This solution is a fully FedRAMPed service that provides web-hosted versions of popular best-of-breed discovery review software such as Relativity, multi-factor secure logins that can be tied to HSPD-12 PIV credentials, user and discovery case provisioning, secure upload of documents, ingestion support for intake of raw or structured documents into a case, a 100% online user experience for review and coding, production support and secure download of productions, and validated destruction of cases and case documents when a case is removed. This RFP seeks a full-and-open competition for a like solution that can perform the same functions as well as take in PBGC’s existing open case load for continued processing.

2.1: OBJECTIVE

Provide a FedRAMP-approved turnkey cloud solution which allows attorneys to securely upload and download data files to and from the service, and review discovery cases in one or more industry-standard commercial discovery review systems. The solution must:

• Enforce multi-factor authentication of its users, e.g. the use of government-issued HSPD-12 PIV cards as authenticators for PBGC employees, but also alternate second factors such as tokens for any non-government employee user

• Provide a web-interface large file/large volume transfer tool to securely upload large Electronically Stored Information (ESI) collections (50GB or more at a time) from PBGC’s network to the solution for storage and ingestion, and from the solution to PBGC for export or production

• Allow for cases to be created in one or more commercial e-discovery review software tools

• Provide intake support (in the form of staffing rates and included hours) to ingest raw and structured upload record sets into the commercial tool

• Provide production support (in the form of staffing rates and included hours) to assist with any required productions

• Specifically provide Relativity as the (or one of the) commercial case review tools in its initial configuration, allowing for the current caseload to be migrated in with minimal disruption to the users (however, note that new cases can be created in one of the other commercial review tools

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after initial configuration, and/or the offeror can suggest that cases migrate between review tools or versions of review tools at any point)

• Provide as options one or more case review tools (such as Relativity) which include:

o Staffing for cases that keeps case details and documents separate and limited to the staffed subset of users o The ability to ingest both raw and structured documents and records including Optical

Character Recognition (OCR) functions as needed and which meets industry standards including deNISTing (per the National Software Reference Library (NSRL)), deduplication by case and/or custodian, and the isolation of standard metadata (e.g. create and modify dates, file type, email participants, embedded files, etc.)

o System management interface components (e.g. dashboard(s), workflow(s), wizard(s)) that allow for user oversight, case oversight, collection oversight, compliance reporting, etc.)

o Case management interface components (e.g. dashboard(s), workflow(s), wizard(s)) that allow for record ingestion oversight, record set management, work assignment, escalation, compliance reporting, etc.)

o Document review based on industry standards and commercial best practices, with the ability to search, cull, categorize and prioritize o Assisted review technology such as predictive coding o A function to output legally defensible audit trails o Other must-have or (as relevant) prefer-to-have options as listed in Section 2.3 below

• Meet all federal government cloud security requirements including FedRAMP certification

• Meet other must-have or (as relevant) strongly-needed or desired requirements as listed in

Section 2.3 below

The vendor will supply general support and management of the solution and tool(s) available within the solution as part of the proposal, to include all Operations and Maintenance (O&M) functions:

• Setting up the user accounts and assigning / reassigning users to roles within the tool(s)

• Maintenance of relevant reports, configurable dashboards, workflows or other available elements within the provided tool(s) that require configuration

• Implementation of patches and maintenance releases for the provided tool(s) as needed

• Assurance that the solution cloud environment and all provided tool(s) are fully functional, or, if not functional, the start of production support troubleshooting within 2 hours of being notified about a problem

• Implementation of most production support fixes as soon as possible, and generally in no more than 48 hours unless a substantial update is required

Furthermore, the best solution will:

• Be implemented (instantiated for PBGC’s use) in a short period of time with minimal maintenance or housekeeping effort on PBGC’s part

• Require no PBGC Office of Information Technology (OIT) support to manage on a day-to-day basis, or at the point of new user or new case creation, or user removal or case destruction

• Provide for additional, vendor-specific training in the commercial discovery tool or tools available, and a point of contact at the vendor for case-specific issues and questions

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• Provide for additional (likely no more than 5-10 per quarter) reports from simple queries on the review tool(s)’ underlying database(s) (“backend reports”) to be produced on request and in no more than 5 business days (unless an alternative delivery date is agreed upon by the vendor and the PBGC); these backend reports can be simple spreadsheets

• Over the life of the contract (Base Year and any exercised Follow-On Years), evaluate new commercial discovery review tools and major updates to tools and (on vendor’s initiative) add or remove review tool options from the solution as warranted

• Provide fair rates and ample notice for migration of any existing case data between tools, if such a migration is recommended by the vendor or selected by PBGC

This is a high-level overview of the solution objective. See 2.3 below for a detailed list of requirements including both must-have items and optional (strongly needed or desirable) items.

2.2: SECURITY

If selected, PBGC data will be transferred and stored at the offeror's cloud facilities. All PBGC data should be maintained within the United States of America.

(1) Be Federal Risk and Authorization Management Program (FedRAMP) certified, or

(2) Present a plan for FedRAMP certification which leads to compliance within the Base Year of performance.

All vendors must present available supporting documentation regarding their current control environment (as set out by the FedRAMP) and how (and/or to what extent) their system complies with the FedRAMP security controls, regardless of whether the vendor is currently FedRAMP certified. For those that are awaiting FedRAMP certification, the vendor should provide information regarding the FedRAMP process including the expected date for certification completion. PBGC’s OIT Enterprise Cybersecurity Division (ECD) will review and verify any documentation provided including but not limited to possible physical premises checks of the control environment.

The FedRAMP Security Assessment Framework (SAF) describes the FedRAMP security assessment process that Cloud Service Providers (CSPs) must use to comply with FedRAMP, while the Security Control Baseline document lists controls that cloud service providers are responsible for implementing and assessing in their cloud environment. These documents and others are available at https://www.fedramp.gov/documents/.

The FedRAMP security controls are based on the NIST Special Publication (SP) 800-53, Revision 4 Recommended Security Controls for Federal Information Systems and Organizations (as amended).

FedRAMP security controls specify control parameter definitions and additional requirements or guidance in addition to NIST SP 800-53 R4 for a FedRAMP authorization package.

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2.3: DETAILED REQUIREMENTS TABLE

The following table recaps and extends the narrative requirements listed in Section 2.1, Objective. The table gives some more specific details where needed and also gives structure and identifying numbers to help an offeror in the preparation of their proposed solution. Note that both the Section 2.1 requirements and Section 2.2 requirements apply to the solution; although they should agree, if something is missing from one list or the other, it is still a requirement and must be included in the proposed solution.

Items with an “X” in the Must Have column shall be provided by the solution, unless a detailed explanation of why that item cannot apply is part of the solution proposal. Items with an “X” in the Strongly Needed or Desirable column do not have to be provided by the solution, and an explanation is recommended but not required. As noted in the review tool requirements (e.g. C2, D1, E1, F1, G2, H4 and all sub-requirements), the commercial-off-the-shelf (COTS) review tool Relativity is already known to be technically sufficient. The offeror’s solution does not need to demonstrate compliance with these requirements as they relate to Relativity. If the solution provides other review tools, the offeror may choose to enumerate them and if so, should show that the tool(s) meet these detailed requirements.

Req # Capability Must Have

Strongly Needed

Desired

Section A: Full FedRAMP cloud turnkey solution with low/no agency desktop impact A1 Must have FedRAMP certification or certification path X A1.1 FedRAMP offering should include the full solution description, encompassing hosting of cloud space, hosting of one or more Commercial Off the Shelf (COTS) discovery review systems, secure upload and download of data, and user access management

X

A1.2 If more than one current FedRAMP offering are used in concert to create the full solution, the interface between offerings should be invisible to the agency

X

A2 Must not require solution customization or substantial tool configuration for basic use X

A3 Usable by the agency users within 2 – 5 days X A4 Must not require any in-agency hardware, major software system hosted in-agency, or agency help desk support X

A4.1 Ideally, should not require any utility program or code to run from an end-user desktop at all X

A4.2 If any utility program must run from the end-users’ desktops, it must follow all government rules for federal agency desktop configuration including being provided to the agency for packaging; updates must be similarly provided 10 weeks before end-user use

X

A5 Must enforce multi-factor authentication of users X A5.1 For agency employees, should allow for HSPD-12 PIV card

(Personal Identity Verification) for two-factor authentication

X

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Req # Capability Must Have

Strongly Needed

Desired

A5.2 At least one additional multi-factor authentication route should be available to allow case access to a non-agency employee upon request

X

A6 All communications to and from the vendor sites must use encryption standard AES-256 X

A7 All user viewable web pages (hosted discovery review tool(s), secure upload/download site, etc.) must meet Section 508 accessibility standards, which includes having a current GPAT (Government Product/Service Template) and/or VPAT (Voluntary Product Accessibility Template) for each commercial product or section that comprises the solution

X

A8 Within the first two weeks of the period of performance after award, the offeror will provide project plan document(s) that detail how and when the solution requirements will be met

X

Section B: Secure file transfer and one or more COTS discovery review tools available B1 Web-based collection site to allow case admin users to quickly upload large amounts of data (50-100GB at a time) with metadata and other organizing data intact into the solution, and to download produced data as needed

X

B2 One or more commercially available best-of-breed e-discovery review tools hosted within the cloud system X

B2.1 Relativity (software and company name) must be one of the currently available tools at the start of the period of performance

X

B3 The offeror will set up parallel user accounts as needed in the collection site and in the available review tools, and assign/reassign users to roles and remove users, all as directed by agency

X

Section C: Data loading, ingestion and pre-processing [in review tool(s)] C1 Offeror manages intake of raw files and structured uploads sent to the collection site (B1) and ingestion into the review tool specified for a case

X

C2 Available review tools should meet the ingestion and pre-processing requirements noted here (C2.1 – C2.25).

For Relativity, the offeror does not need to provide detail for the C2 requirements; Relativity is known to be sufficient. If the solution provides other review tools, the offeror may choose to enumerate them and if so, should show that the tool(s) meet the C2 requirements.

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Strongly Needed

Desired

C2.1 During data loading the review tool shall automatically extract text and metadata from at least: All Microsoft Office formats, Other commercial word processing and spreadsheet formats (Word Perfect, Lotus 1-2-3, etc.), PST/OST (email archive files), EML/MSG (individual emails), PDFs, common image files, ZIP and other common archive formats, DB/DBF and other common database formats, and other common file formats

X

C2.2 During data loading the review tool shall extract available metadata from native files and store it for search/review, including MD5/SHA hash values where relevant

X

C2.3 During data loading the review tool shall extract text from native files and store it for search/review X

C2.4 During data loading the review tool shall load metadata values without modifying the original document or changing system and document metadata values

X

C2.5 During data loading the review tool shall uniquely number the native files, email messages and attachments X

C2.6 During data loading the review tool shall identify completely unprocessable files in a log with reasons why a file could not be processed

X

C2.7 During data loading the review tool shall identify other load exceptions (e.g. non-supported, corrupted, password protected, path too long) and produce load exception logs that show issues by file

X

C2.8 If exceptions are encountered during data loading, produce a placeholder file that informs the viewer what issue(s) occurred

X

C2.9 During ingestion the review tool can deduplicate the files within custodian or across custodians using MD5 or SHA, as specified by case

X

C2.10 During ingestion the review tool can identify “near dupes” (files which are almost the same but which have differences in terms of content or metadata)

X

C2.11 For near dupes, the review tool can assign a confidence level (a numeric value indicating how close two documents are)

X

C2.12 The review tool can ingest and extract metadata from text messages, tweets, Bloomberg messages, etc. X

C2.13 The review tool can ingest and extract metadata from audio files (e.g. voicemail, deposition recordings) X

C2.14 The review tool can ingest and extract metadata from video files (e.g. deposition recordings) X

C2.15 The review tool can ingest and extract metadata from delimited ASCII and comma-separated-value files X

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Strongly Needed

Desired

C2.16 The review tool can ingest and extract metadata from EDRM XML (e-discovery schema) files X

C2.17 The review tool can ingest and extract metadata from Concordance load files and databases with image cross-reference files

X

C2.18 The review tool can ingest and extract metadata from compound or cabinet files (e.g. ZIP, RAR, PST) without retaining the compound file as a distinct object

X

C2.19 During ingestion or post-processing the review tool can perform optical character recognition (OCR) on text-based documents (e.g. word processing documents, emails)

X

C2.20 During ingestion or post-processing the review tool can OCR image files with embedded text, to include images embedded in documents

X

C2.21 During ingestion or post-processing the review tool can flatten and extract text from PDFs including those with embedded text

X

C2.22 During ingestion or post-processing the review tool can identify documents with hidden rows/columns, hidden text passages (whether marked as hidden or hidden with foreground/background colors), and other text material that is otherwise not visible in presentation form

X

C2.23 During ingestion or post-processing the review tool can identify documents with tracked changes and comments, including extraction of earlier versions

X

C2.24 During ingestion or post-processing the review tool can unencrypt encrypted files (e.g., by applying known passwords from a list)

X

C2.25 After data load and ingestion, the review tool shall store statistics such as number of objects loaded, document types loaded and document counts by type, email objects with attachments and attachment counts by type, etc.;

further, the tool shall have the ability to report on these statistics on demand and in real time

X

Section D: Searching and search set capabilities [in review tool(s)] D1 Available review tools must meet the search function requirements noted here (D1.1 – D1.19).

For Relativity, the offeror does not need to provide detail for the D1 requirements; Relativity is known to be sufficient. If the solution provides other review tools, the offeror may choose to enumerate them and if so, should show that the tool(s) meet the D1 requirements.

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Strongly Needed

Desired

D1.1 During case review the review tool provides the ability to search case documents using standard Boolean operators and nested operator combinations, including wildcards for letters and words, patterns, and text-specific operators such as proximity (e.g. NEAR)

X

D1.2 During case review the review tool provides the ability to search case documents with advanced functions such as word-stemming, word variants, and synonyms

X

D1.3 During case review the review tool provides the ability to search case documents using word synonyms from synonym lists that are user-defined and saved with the case

X

D1.4 During case review the review tool provides the ability to search case documents using semantic search operations and/or conceptual search operations

X

D1.5 During case review the review tool provides the ability to search the documents’ full text and all text recovered by OCR plus the documents’ metadata, review data (information added during coding and review), Bates numbers, and any other text associated with the documents

X

D1.6 Independently of search, the review tool provides the ability to immediately navigate to an object or document based on internal ID or other identifying codes (e.g. Bates number)

X

D1.7 During case review the review tool provides the ability to base a follow-up query on a selected search result that identifies more documents similar to the selected one

X

D1.8 During case review the review tool provides compensating search functions to help reduce the impact of low OCR confidence levels (e.g. “fuzzy” search)

X

D1.9 During case review searches must return reliable results;

i.e. the same search performed against the same document corpus must return the same results

X

D1.10 During case review the review tool provides search results with a relevance ranking (relevance scoring) X

D1.11 During case review the review tool provides the ability to search within search results (i.e. to create a new search based on the results of a search)

X

D1.12 During case review the review tool provides the ability to store, retrieve and re-run searches, including the ability to store a search for reuse by the individual reviewer or by a review team

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Strongly Needed

Desired

D1.13 During case review the review tool provides an option to be notified when new documents are loaded to a case which meet stored search criteria, e.g. by marking the documents for review and/or assigning them to a review folder and/or sending email or other notification to the review team or team management

X

D1.14 During case review the review tool stores some number of recent searches and allows the reviewer to retrieve and re-run them regardless of whether or not the reviewer has explicitly saved or named a search

X

D1.15 During document review the review tool provides text search within the document being viewed X

D1.16 During document review of an email the review tool provides clear and direct access to and from email attachments, attachment parents, email parent, emails preceding and following in an email chain, and so forth

X

D1.17 During document review of an email the review tool provides the ability to “reconstruct” missing email objects from a longer email chain with embedded replies that do not exist as separate objects in the collection

X

D1.18 During case review the review tool provides a data dictionary built from all documents and objects loaded into the case, including word counts

X

D1.19 During case review the review tool provides the ability to detect what is and is not relevant based on the reviewers’ search and coding activity, and can suggest Boolean or conceptual searches based on this

X

Section E: Case, code, and review set organization [in review tool(s)] E1 Available review tools should meet the case organization, code organization, and review set organization requirements noted here (E1.1 – E1.10).

For Relativity, the offeror does not need to provide detail for the E1 requirements; Relativity is known to be sufficient. If the solution provides other review tools, the offeror may choose to enumerate them and if so, should show that the tool(s) meet the E1 requirements.

E1.1 During case review the review tool allows the user to create folder and/or tag sets, including nested sub-folders/tags, ability to rename and delete folders/tags, and the ability to create empty folders/tags with no associated documents

X

E1.2 During case review the review tool allows the user to move or copy a folder/tag set into another folder X

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Strongly Needed

Desired

E1.3 During case review the review tool allows the user to folder/tag (or unfolder/untag) documents in bulk, e.g.

from the results of a search

X

E1.4 During case review the review tool allows the user to tag portions of an individual document (e.g. page, paragraph, sentence)

X

E1.5 The review tool folders/tags can be private (visible to a single user) as well as public to all case users X

E1.6 During case review the review tool automatically generates folders/tags corresponding to viewed and unviewed documents

X

E1.7 During case review the review tool allows the user to identify and manage case entities (managed separately from case documents) such as key facts, issues, case dates, events, players, organizations, etc. (also see F1.4)

X

E1.8 During case review the review tool allows the user to create and customize chronologies and timelines from case dates; timelines support multiple events per day

X

E1.9 During case review the review tool allows the user to export a document, case entity (see E1.7), or a section/highlighted section of a document to an external case management system via export or cut-and-paste

X

E1.10 During case review the review tool allows the user to link a document, case entity (see E1.7), or a section/highlighted section of a document (i.e. case evidence) to an external case building or case presentation tool

X

Section F: Data analysis [in review tool(s)] F1 Available review tools should meet the data analysis requirements noted here (F1.1 – F1.7).

For Relativity, the offeror does not need to provide detail for the F1 requirements; Relativity is known to be sufficient. If the solution provides other review tools, the offeror may choose to enumerate them and if so, should show that the tool(s) meet the F1 requirements.

F1.1 During case review the review tool allows the user to view emails in the context of the thread(s) or conversation(s) they are part of

X

F1.2 During case review the review tool can automatically categorize documents by topic or other metadata tag X

F1.3 During case review the review tool can show data clustering of like documents graphically and allow navigation within and among clusters and to and from individual documents

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Strongly Needed

Desired

F1.4 During case review the review tool extracts and derives case entities from documents such as key facts, issues, case dates, events, players, organizations, etc.

X

F1.5 During case review the review tool analyzes relationships and visually links case entities extracted from documents such as events, players, organizations, etc.

X

F1.6 During case review the review tool provides advanced visual presentation of case entity relationships (e.g. social network diagrams, timelines, geospatial relationships, etc.)

X

F1.7 During case review the review tool provides server domain analysis, e.g. with respect to email domains (view all emails that originate from a domain)

X

Section G: Production support services; Production options [in review tool(s)] G1 The offeror will provide production support services (labor hours) to assist PBGC with production tasks from any of the cases uploaded and any of the discovery review tools provided

X

G2 Available review tools should meet the production option requirements noted here (G2.1 – G2.8).

For Relativity, the offeror does not need to provide detail for the F1 requirements; Relativity is known to be sufficient. If the solution provides other review tools, the offeror may choose to enumerate them and if so, should show that the tool(s) meet the F1 requirements.

G2.1 During case review the review tool allows the user to produce a set of documents on demand as native or TIF (bitmap) while removing all work product (e.g. folder/tag information, notes, internal IDs including network or database locations, UNC paths, etc.)

X

G2.2 During production, the review tool allows the user to specify a set of documents and production parameters such as native/TIF, ordering, and (where relevant) Bates numbering and stamping

X

G2.3 During a specific production, the review tool can write the newly endorsed BEG/END Bates numbers back to metadata fields in the case

X

G2.4 During production, the review tool creates production load files in an industry-standard delimited text format or EDRM format

X

G2.5 During production, the review tool can produce the same document multiple times in more than one production and maintain any added metadata such as Bates numbers by production

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Strongly Needed

Desired

G2.6 Upon completion of a production, the review tool (or the production support personnel) can provide production size and determine media needs

X

G2.7 During case review the review tool allows the user to “check out” a subset of documents for external access when direct system access will not be available

X

G2.8 When documents are “checked out” (per G2.7), changes to the exported documents’ metadata (tags, fields, etc.)

are synched back in to system when documents are returned

X

Section H: Ease of use and other miscellaneous functions [in review tool(s)] H1 The offeror will provide case initiation forms and/or instructions which allow PBGC to quickly identify a new case and case staffing, and provision the new case in a review tool (Relativity and/or other solution tools)

X

H2 The offeror will provide forms and/or instructions which allow PBGC to identify changes to case staffing, and make these case changes in the review tool

X

H3 The offeror will provide case destruction forms and/or instructions which allow PBGC to identify a case for termination and data destruction, and remove the case and case data; the offeror will provide a certificate of data destruction for each such case

X

H4 Available ease of use standards and miscellaneous functions for the review tools should meet the requirements noted here (H4.1 – H4.39).

For Relativity, the offeror does not need to provide detail for the H1 requirements; Relativity is known to be sufficient. If the solution provides other review tools, the offeror may choose to enumerate them and if so, should show that the tool(s) meet the H1 requirements.

X

H4.1 During case review the review tool allows the user to sort documents or document search results by dates, custodians, titles, parties/players, tags, keywords and other metadata fields

X

H4.2 During case review the review tool allows the user to toggle a document list between types of summary/display such as no summary, short summary, expanded summary

X

H4.3 During case review the review tool highlights search term hits in a list of search results X

H4.4 During case review the review tool highlights search term hits within documents X

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Strongly Needed

Desired

H4.5 During case review the review tool allows the user to toggle a document list between different list views, such as columnar (Windows Explorer-like), pane (icons for documents), expandable trees, etc.

X

H4.6 During case review the review tool allows the user to view document lists in sorted expandable trees with user-defined levels (e.g. Company/Firm, Custodian, Production Date)

X

H4.7 During case review the review tool allows the user to generate and output selected metadata for a group of documents to Microsoft Excel (e.g., to create a production log or privilege log)

X

H4.8 During case review the review tool allows the user to create hyperlinks between internal documents within the case

X

H4.9 The users should be able to start using the case review tool within 30 minutes or less X

H4.10 During case review the review tool allows the user to easily identify (with an indicator/flag/icon) documents that contain tracked changes, hidden rows/columns, or hidden text, etc.

X

H4.11 During case review the review tool allows the user to open a document in its native application (if available on the user’s local system)

X

H4.12 During case review the review tool can display a document within the tool (not on the user’s local system) as text-only or in a “native” view (as if in the native application) for common file types (Microsoft Office applications, WordPerfect) and versions

X

H4.13 During case review the review tool provides multiple levels of “undo” to reverse previous functions performed X

H4.14 During case review the review tool provides the option to review email documents in the context of the email conversation chain and attachments

X

H4.15 During case review the review tool provides the option to review documents grouped together with their near duplicates

X

H4.16 During review of a document the review tool allows redactions (with or without associated exemption text) and the removal of redactions

X

H4.17 During review of a redacted document the review tool allows the user to see the redacted material X

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Strongly Needed

Desired

H4.18 During production of a redacted document the review tool finalized (commits) redactions (permanently removes the redacted material and replaces it with redaction bars and exemption text), including permanent removal of any associated metadata, in the produced copy

X

H4.19 During review of a document the review tool allows highlights of text or areas of images X

H4.20 During review of a document the review tool allows annotations (e.g. “sticky notes”) of text or areas of images X

H4.21 During case review the review tool allows annotations to be searched (both for the presence of annotations and within annotation text)

X

H4.22 During review of a document the review tool allows selective zoom, fit-to-width/fit-to-height/fit-to-window, and restore to original size

X

H4.23 During review of a document the review tool allows persistent rotation of a page, pages, or entire document X

H4.24 During case review the review tool allows the user to print one or more documents in the currently selected view (e.g. summary, detail, text-only, native)

X

H4.25 During case review the review tool allows the user to print a document as it is being viewed on screen (WYSIWYG) X

H4.26 During case review the review tool allows the user to print one or more documents with their mark-up (e.g.

redactions, annotations, highlights, etc.)

X

H4.27 During case review the review tool allows the user to print with optional separator sheets (between documents) X

H4.28 During case review of a document list or search results, the tool allows the user to traverse the list and display the corresponding document in a viewer or view pane

X

H4.29 During case review the review tool allows the user to view two selected documents side-by side X

H4.30 During case review the review tool allows the user to view a document’s pages in thumbnail form X

H4.31 During case review the review tool allows the user to view the documents (i.e. the image/native file viewing pane) on a second monitor

X

H4.32 During case review and production the review tool allows the user to locate and remove all aspects of documents identified as privileged using a list of document IDs or Bates numbers

X

H4.33 During case provisioning and record intake, the review tool allows Concordance databases to be uploaded and converted

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Strongly Needed

Desired

H4.34 The review tool provides case-, collection-, document- and field-level security X

H4.35 The review tool provides role-based security (collections of rights assigned to a role and roles assigned to case users) X

H4.36 The review tool provides tag- and/or folder-level security X H4.37 The review tool creates audit logs of all case activity by user and timestamp (e.g. who viewed, tagged, untagged, or deleted a document; who printed or produced out documents, and when documents were loaded into the case)

X

H5 The review tool(s) provided can support up to 100 concurrent users working in as many as 50 different cases in the base configuration, with additional users possible if needed (as a contract mod)

X

H6 The review tool(s) collectively can hold and maintain up to 10 TB of case data, with additional storage possible if needed (as a contract mod)

X

H7 If relevant, the offeror will start the Base Year period of performance by migrating the current discovery case load (in the currently active solution) to the new solution (no more than 30 Relativity cases, along with a user list and corresponding case staffing, and no more than 1.5 TB of associated documents and data)

X

2.4: PERIOD OF PERFORMANCE

The Period of Performance consists of one 12-month base year and four 12-month option years. The first 12-month period of performance will include a solution set-up phase (two weeks or less for initial set up) and continuing O&M support and solution or tool upgrades as needed. Four 12-month option periods will be added to cover ongoing and further solution or tool upgrades. If an offeror other than the incumbent is awarded the contract, a contingency will go into effect that allows the incumbent to extend their period of performance to overlap with the new vendor, at no penalty to the new vendor, and for a duration that is specified by the new vendor in their submitted initial project plans (requirement A8 above).

Base Year February 10, 2019 through February 09, 2020 Option Year One (1) February 10, 2020 through February 09, 2021 Option Year Two (2) February 10, 2021 through February 09, 2022 Option Year Three (3) February 10, 2022 through February 09, 2023 Option Year Four (4) February 10, 2023 through February 09, 2024

PAGE 26 OF 57 16PBGC19R0009

52.202-1 DEFINITIONS (NOV 2013)

(Reference 52.202-1)

52.204-7 SYSTEM FOR AWARD MANAGEMENT (OCT 2018)

(Reference 52.204-7)

52.204-7 I SYSTEM FOR AWARD MANAGEMENT (OCT 2018) ALTERNATE I (OCT 2018)

(Reference 52.204-7 I)

52.204-9 PERSONAL IDENTITY VERIFICATION OF CONTRACTOR PERSONNEL (JAN 2011)

(Reference 52.204-9)

52.212-3 OFFEROR REPRESENTATIONS AND CERTIFICATIONS--COMMERCIAL ITEMS (OCT 2018)

The Offeror shall complete only paragraph (b) of this provision if the Offeror has completed the annual representations and certification electronically in the System for Award Management (SAM) accessed through https://www.sam.gov.