SEC_eDiscovery_Pilot_-_RFP_answers.xlsx

XLSX spreadsheet 26 KB Posted May 31, 2019

Attached to: Ediscovery Cloud Pilot Federal contract opportunity
Solicitation number: 50310219R0009
Issued by: Securities and Exchange Commission

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Attachment 9 - RFI questions and answers

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File	Type	Posted
eD3_cloud_pilot_Labor_Category_Descriptions.xlsx	XLSX spreadsheet	May 31, 2019
Cloud_eDiscovery_RFP_Attachment_1_Requirements_amend1.xlsx	XLSX spreadsheet	May 31, 2019
Attachment_1-eD3_cloud_pilot_Section_B_amend1.xlsx	XLSX spreadsheet	May 31, 2019
50310219R0009-0001.pdf	PDF	May 31, 2019
E-Production_Standards.pdf	PDF	May 31, 2019
50310219R0009_-_Ediscovery_Cloud_Pilot.pdf	PDF	May 21, 2019
Attachment_5_-_Non-Disclosure_Agreement_Contractor_Personnel.pdf	PDF	May 21, 2019
Attachment_1-eD3_cloud_pilot_Section_B.xlsx	XLSX spreadsheet	May 21, 2019
Attachment_4_-_Non-Disclosure_Agreement_Contractor_Entity.pdf	PDF	May 21, 2019
Attachment_3-Requirements.xlsx	XLSX spreadsheet	May 21, 2019
Attachment_2-Statement_of_Work_Cloud_eDiscovery.docx	DOCX document	May 21, 2019
Attachment_6_-_OF-306_Form_Declaration_for_Federal_Employment.pdf	PDF	May 21, 2019

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Sheet1

number	ID	REQUIREMENT	QUESTIONS			ANSWERS
1	NFR-0012	The solution shall provide a text equivalent for every non-text element.	Please elaborate			This is a section 508 accessibility requirement. Refer to 508 guidelines: https://www.section508.gov/manage/laws-and-policies.
2	NFR-0045	The solution shall provide an Application Programming Interface (API) to enable integration with other business applications and systems.	Which systems?			It does not matter which systems the eD3 solution might interface with in the future. The requirement is for the eD3 software to have a published API.
3	NFR-0083	The solution shall execute queries from other business applications and systems to retrieve information from the solution.	What other applications/systems?			See amendment 1. This requirement has been deleted.
4	56	Create TIF image placeholders for all exception files loaded. Indicate the problem on the placeholder image, and allow configurable fielded information to be put on the TIF placeholder.	Is this for production purposes or document review purposes? Or both?			Both
5	61	Move records from one case to another case within the application.	Please expand? Would this mean taking documents from one matter and recycling them for another matter?			Investigations change over time. For example, one investigation may split into two parts, and records are then copied from the original matter into a new one.
6	63	Move records from one case to another case with a different field structure.	Please expand? Would this mean taking documents from one matter and recycling them for another matter?			Investigations change over time. For example, documents gathered for one case may turn out to be relevant to another existing investigation. Custom metadata may differ between the two investigations.
7	96	Allow system administrators and data loading team to edit data dictionary and index.	Use case?			Data dictionaries and indexes may need to be edited to remove junk text or problematic special characters.
8	101	Allow users to change the percentage of concept similarity on the fly (e.g. increase to 90% conceptually similar to narrow results, or decrease to 50% conceptually similar to expand results).	Would this be similar to Near Deduplication?			No
9	112	Show or hide search results (e.g., domains, file types)	Is this related to securities? Show or hide folders?			No. This is to enable SEC staff to manage how much information is being displayed in response to a search.
10	113	Allow users to show or hide duplicates on demand.	Please provide the use case.			Investigators may or may not wish to view all duplicates of a document.
11	114	Allow users to show or hide near duplicates on demand.	Please provide the use case.			Investigators may or may not wish to view all near duplicates of a document.
12	127	Allow wildcard searches matching zero or more characters in any position.	Please expand?			Allow a wildcard to be the first character in a search string, or in any other position. For example, searching for all documents with the same Bates prefix.
13	173	Identify documents that have been viewed and not viewed. Vendor must explain how the viewed/not viewed classification is assigned.	RiC?			For example, if documents are returned in a search result, or bulk tagged, but not individually opened and displayed, are they classified as "viewed" or "not viewed"?
14	242	Export any set of documents "as-is" for production purposes. It must be possible to export data only by copying associated images and native, not otherwise processing the files.	Please expand? Copying the original data or the processed data?			Export the documents from the system without creating new images or endorsements, and just use the existing images and native files
15	261	Allow a user to check out a subset of documents in 3-5 steps, and include images and native files where applicable.	Can you define what it means to "check out" a document?			Export the documents from the system with all metadata and work product to allow independent work, such as, by an expert witness.
17	NFR-0012	The solution shall provide a text equivalent for every non-text element.	Please elaborate			This is a section 508 accessibility requirement. Refer to 508 guide.
18	NFR-0045	The solution shall provide an Application Programming Interface (API) to enable integration with other business applications and systems.	Which systems?			It does not matter which systems the eD3 solution might interface with in the future. The requirement is for the eD3 software to have a published API.
19	NFR-0083	The solution shall execute queries from other business applications and systems to retrieve information from the solution.	What other applications/systems?			See amendment 1. This requirement has been deleted.
20	56	Create TIF image placeholders for all exception files loaded. Indicate the problem on the placeholder image, and allow configurable fielded information to be put on the TIF placeholder.	Is this for production purposes or document review purposes? Or both?			Both
21	61	Move records from one case to another case within the application.	Please expand? Would this mean taking documents from one matter and recycling them for another matter?			Investigations change over time. For example, one investigation may split into two parts, and records are then copied from the original matter into a new one.
22	63	Move records from one case to another case with a different field structure.	Please expand? Would this mean taking documents from one matter and recycling them for another matter?			Investigations change over time. For example, documents gathered for one case may turn out to be relevant to another existing investigation. Custom metadata may differ between the two investigations.
23	96	Allow system administrators and data loading team to edit data dictionary and index.	Use case?			Data dictionaries and indexes may need to be edited to remove junk text or problematic special characters.
24	101	Allow users to change the percentage of concept similarity on the fly (e.g. increase to 90% conceptually similar to narrow results, or decrease to 50% conceptually similar to expand results).	Would this be similar to Near Deduplication?			No. Near duplicates are based on text. This requirement relates to concepts.
25	112	Show or hide search results (e.g., domains, file types)	Is this related to securities? Show or hide folders?			No. This is to enable SEC staff to manage how much information is being displayed in response to a search.
26	113	Allow users to show or hide duplicates on demand.	Please provide the use case.			Investigators may or may not wish to view all duplicates of a document.
27	114	Allow users to show or hide near duplicates on demand.	Please provide the use case.			Investigators may or may not wish to view all near duplicates of a document.
28	127	Allow wildcard searches matching zero or more characters in any position.	Please expand?			Allow a wildcard to be the first character in a search string, or in any other position. For example, searching for all documents with the same Bates prefix.
29	173	Identify documents that have been viewed and not viewed. Vendor must explain how the viewed/not viewed classification is assigned.	RiC?			For example, if documents are returned in a search result, or bulk tagged, but not individually opened and displayed, are they classified as "viewed" or "not viewed"?
30	242	Export any set of documents "as-is" for production purposes. It must be possible to export data only by copying associated images and native, not otherwise processing the files.	Please expand? Copying the original data or the processed data?			Export the documents from the system without additional metadata, tags, or other information not present in the original data.
31	261	Allow a user to check out a subset of documents in 3-5 steps, and include images and native files where applicable.	Can you define what it means to "check out" a document?			Export the documents from the system with all metadata and work product to allow independent work, such as, by an expert witness.
32	Q1		There is reference for Zixmail in H.25 6017.00. We do not have access to this system. Can we get access?			The SEC will grant access after contract award.
33	Q2		Is audio audio/video/website capture that is reference in the SOW mandatory?			See Desirable requirements # 18, 19, and 129 - 133.
34	Q3		Due to the complexity of the RFP, can we have an extension for the response?			See amendment 1.
35	Q4		Do you have preferred cloud deployment option(AWS, Azure)?			No
36	Q5		Does SEC have a preferred instance of AWS that would like the technology be deployed on?			No
37	Q6		Can we have more information on Evidence Tracking System (ETS)? Would the vendor need to work with this system?			ETS is based on the "Is-A-Task" commercial product from Inovitech. The vendor will use ETS with roles and workflows configured by the SEC.
38	Q7		Can we submit additional questions past today?			No
39	Q8		Is AWS commercial acceptable with ATO certification?			AWS commercial certification could be a step toward FedRAMP authorization or an Agency ATO. AWS commercial certification is not sufficient by itself.
40	RFP Document:	RFP Document Section:	Page #:	RFP Document Statement:	ID - Comment/Question:
41	Attachment 1 - Section B: Supplies or Services and Prices / Costs	CLIN 0001, 1001, 2001, 3001, 4001	1-4	CLINs: 0001, 0001AB, 1001, 1001AB, 2001, 2001AB, 3001, 3001AB, 4001, 4001AB	Multiple labor categories may be involved in the delivery of the sub-CLIN such as 0001 AB, 1001 AB, 2001 AB, 3001 AB, and 4001 AB. Will the government allow the offeror to modify Section B (or create an additional tab to show how the UNIT PRICE is calculated) to show the allocation of hours across the multiple labor categories?	Yes, the Offeror should show the number of hours for each labor category separately. The Offeror may add rows as necessary to give the complete labor breakdown.
42	Attachment 3 - eD3 RFP Requirements	eD3 RFP Functional Reqs	#153	"153 - Provide visual representations of communications between phone calls."	What metadata will be provided for phone call data?	The metadata for phone calls depends on what the producing party provides, and may include phone numbers, names, time of call, duration of call, or other metadata.
43	Attachment 3 - eD3 RFP Requirements	eD3 RFP Functional Reqs	#242	"242 - Export any set of documents "as-is" for production purposes. It must be possible to export data only by copying associated images and native, not otherwise processing the files."	Does this desirable functionality assume the data has been originally processed and promoted to the review platform?	The export is of the same documents that are on the review platform.
44	Attachment 3 - eD3 RFP Requirements	eD3 RFP Functional Reqs	#261	"261 - Allow a user to check out a subset of documents in 3-5 steps, and include images and native files where applicable. "	Is this referring to the ability to “check out” a subset of documents while online and authenticated to the review platform, or is this intended for offline standalone review?	Standalone review.
45	Attachment 3 - eD3 RFP Requirements	eD3 RFP Functional Reqs	#262	"262 - Allow changes to the checked out data (fields/tags) and import changes when the documents are checked back in."	Is this referring to the ability to “check out” a subset of documents while online and authenticated to the review platform, or is this intended for offline standalone review?	Yes.
46	Attachment 3 - eD3 RFP Requirements	eD3 RFP Functional Reqs	#96	"96 - Allow system administrators and data loading team to edit data dictionary and index."	Could you define data dictionary? What edits would the system administrators and data loading team wish to make to the data dictionary?	In this context, the data dictionary is the set of all words in the searchable text for the matter. Editing of the data dictionary could include deleting whistleblower names, correcting errors, removing problematic characters, or removing junk text.
47	Attachment 3 - eD3 RFP Requirements	eD3 RFP Non-Functional Reqs	NFR-0039	"NFR-0039 - The solution shall comply with SECs secured data disposal policy(ies) when disposing of records."	Can the government please provide the referenced data disposal policy(ies)?	The SEC will provide records management and data disposal policies after contract award.
48	Attachment 3 - eD3 RFP Requirements	eD3 RFP Non-Functional Reqs	NFR-0055	"NFR-0055 - The solution shall allow an Admin User to maintain:

- User groups

- User roles

- Access profiles

- Users."	Please confirm "Admin User" refers to an administrator on the Offeror's staff.	Admin user includes administrators on the Offeror's staff and SEC staff and contractors designated by the SEC to have administrator access.
	49	Attachment 3 - eD3 RFP Requirements	eD3 RFP Non-Functional Reqs	NFR-0083	"NFR-0083 - The solution shall execute queries from other business applications and systems to retrieve information from the solution."	Which other business applications and systems?	See amendment 1. This requirement has been deleted.
	50	Attachment 3 - eD3 RFP Requirements	eD3 RFP Non-Functional Reqs	NFR-0102	"NFR-0102 - The solution shall allow Admin Users to create and manage dashboards and reporting on solution usage metrics."	Please confirm "Admin User" refers to an administrator on the Offeror's staff.	Admin user includes administrators on the Offeror's staff and SEC staff and contractors designated by the SEC to have administrator access.
	51	Attachment 3 - eD3 RFP Requirements	eD3 RFP Non-Functional Reqs	NFR-0103	"NFR-0103 - The solution vendor shall have a web-based, graphical console for Admin Users to perform user management tasks."	Please confirm "Admin User" refers to an administrator on the Offeror's staff.	Admin user includes administrators on the Offeror's staff and SEC staff and contractors designated by the SEC to have administrator access.
	53	RFP	D.1 Submission of Proposals	4	"Offerors are responsible for submitting proposals so as to reach the Government office designated below by 12:00AM ET on 7 June 2019."	On FedBizOpps.gov, the response due date for this solicitation is 12PM EST June 7, 2019, however the RFP itself reflects 12AM EST. Can you please confirm vendor responses are due by 12PM EST on June 7, 2019?	Proposal due date is amended to Tuesday, June 11 at 2:00 PM EDT.
	54	RFP	D.3 Written Response/Oral Presentations	4	“The oral presentation will serve as a substitute for a written Technical Capability – Technical Approach only;…”	The requirements state, “The oral presentation will serve as a substitute for a written Technical Capability – Technical Approach only;…” The instructions and evaluation criteria provide no guidance on what the Proposer should address in the technical approach other than those items already requested as part of the written response. Please clarify what Proposers are required to provide in the Technical Capability – Technical Approach response.	The responses to Technical Factors 1, 2, and 3 constitute the Offeror's technical approach.
	55	RFP	D.3 Written Response/Oral Presentations	4	"...however, Offerors are required to submit 1) Project Schedule, 2) resumes for Key Personnel, 3) documents substantiating FedRAMP authorization or Agency Authority to Operate (ATO), 4) eDiscovery Requirements spreadsheet, and 5) Past Performance references, in response to this solicitation."	Please clarify the format for documents substantiating FedRAMP authorization or Agency Authority to Operate (ATO).	The format for documents substantiating the FedRAMP authorization or Agency Authority to Operate (ATO) status of a proposed solution will depend on the other Agency who issued those documents.
	56	RFP	D.3 Written Response/Oral Presentations	4	"...however, Offerors are required to submit 1) Project Schedule, 2) resumes for Key Personnel, 3) documents substantiating FedRAMP authorization or Agency Authority to Operate (ATO), 4) eDiscovery Requirements spreadsheet, and 5) Past Performance references, in response to this solicitation."	Please confirm that documents substantiating FedRAMP authorization or Agency Authority to Operate (ATO) may be submitted in Word or PDF formats and have no page limit.	Documents substantiating the FedRAMP authorization or Agency Authority to Operate (ATO) status of a proposed solution may be submitted in Microsoft Word or PDF formats. These documents do not count toward the page limit.
	57	RFP	D.3 Written Response/Oral Presentations	4	"...however, Offerors are required to submit 1) Project Schedule, 2) resumes for Key Personnel, 3) documents substantiating FedRAMP authorization or Agency Authority to Operate (ATO), 4) eDiscovery Requirements spreadsheet, and 5) Past Performance references, in response to this solicitation."	Please confirm that the Requirements Spreadsheet may be submitted in Excel and has no page limit.	The 6-page Requirements spreadsheet should be submitted in Microsoft Excel format, and does not count toward the page limit.
	58	RFP	D.3 Written Response/Oral Presentations	4-5	"...however, Offerors are required to submit 1) Project Schedule, 2) resumes for Key Personnel, 3) documents substantiating FedRAMP authorization or Agency Authority to Operate (ATO), 4) eDiscovery Requirements spreadsheet, and 5) Past Performance references, in response to this solicitation."	Please confirm that the Offeror’s written proposal should include only the following items: 1) Project Schedule, 2) resumes for Key Personnel, 3) documents substantiating FedRAMP authorization or Agency Authority to Operate (ATO), 4) eDiscovery Requirements spreadsheet, and 5) Past Performance references.	Yes. Please see pages 4 - 5 of the RFP.
	59	RFP	D.4 Evaluation of Proposals	5	"Past Performance references are limited to 2 pages each."	Please confirm that Past Performance references for the written response should be submitted in Word and are limited to a total of 3 references with a page limit of 2 pages each (for a total of 6 pages).	Offerors may submit up to three past performance references. Each reference is limited to two pages.
	60	RFP	D.4 Evaluation of Proposals	5	"Resumes are limited are to 3 pages each, but contingent letter and resume/project team summary is excluded from page limitation."	The RFP states, “Resumes are limited to 3 pages each, but contingent letter and resume/project team summary is excluded.” Please provide clarification on how the Government will evaluated the non-page-limited project team summary.	A project team summary is not required, but is allowed for the Offeror to provide an overview of the relationships of prime and subcontractors on the Offeror's team.
	61	RFP	D.3 Written Response/Oral Presentations;

D.4 Evaluation of Proposals 5, 7 "The oral presentations will be scheduled starting the week of 6/10/2019."

"Step 2. Approximately two weeks after proposals are submitted, the SEC will invite Proposers still considered to be competitive, to present their solutions for the SEC."	Can the government please clarify if oral presentations will begin during the week of 6/10/2019 or 6/17/2019?	The SEC plans to establish the schedule for presentations the week of 6/10/19. The dates for the oral presentations will be 6/18/19 and following.
	62	RFP	D.3 Written Response/Oral Presentations;

D.4 Evaluation of Proposals 5, 7 "The Offerors will receive a minimum of three (3) calendar day notice prior to the requested date and time for presentation."

"The Proposers will be given one week notice before the date of the oral presentation."	Please confirm offerors will receive a minimum of 3 calendar days notice prior to the scheduled date and time of oral presentations.	Offerors will be given one week notice before the date of the oral presentation.
	63	RFP	D.4 Evaluation of Proposals	5-8		The requirements state, “At a minimum, the oral presentation shall address the following: Factor 1: Management and Key Personnel (details follow); Factor 2: FedRAMP Authorization and Cybersecurity (details follow); Factor 3 Software Features and Functionality (details follow); and Factor 4: Past Performance (details follow).” With the exception of the Project Schedule, these are the same items required in the written proposal. Please confirm that the Government wants the Proposer to re-state/summarize the information provided in the written proposal in the oral presentation.	The oral presentation allows to Proposer to discuss and explain their written proposal.
	64	RFP	D.4 Evaluation of Proposals - Factor 1: Management and Key Personnel	6	"The Proposer shall provide labor rate(s) and number of estimated hours for all personnel to complete the work requirements; include descriptions of the responsibilities, skills, and qualifications for the proposed labor category(s)."	In Factor 1: Management and Key Personnel, the Government states that the Proposer shall provide labor rate(s) and number of estimated hours for all personnel to complete the work requirements; include descriptions of the responsibilities, skills, and qualifications for the proposed labor category(s). Typically, rates would not be presented as part of the technical proposal and would be contained only in the price proposal to support independence of the technical and price evaluations. Please confirm that rates should in fact be provided in the oral presentation as stated in the Factor 1 requirements.	Labor rates must be included in the Price Proposal. Number of labor hours should be addressed in the oral presentation.
	65	RFP	D.4 Evaluation of Proposals - Factor 1: Management and Key Personnel	5-6	"The Proposer shall describe their organizational structure to perform the work requirements of the SOW."	If the answer to the question above is “yes,” please identify the location in the proposal where the organizational structure should be placed.	The Offeror shall address organizational structure in the oral presentation. An organizational structure may be included in the project team summary in the written proposal.
	66	RFP	D.4 Evaluation of Proposals - Factor 1: Management and Key Personnel	5, 6	"The Proposer shall describe their organizational structure to perform the work requirements of the SOW."	In Factor 1: Management and Key Personnel, the Government asks that the oral presentation include an organizational structure. Since the oral presentation is replacing a technical approach, does the Government want offerors to include an organizational structure in their written proposal?	The Offeror shall address organizational structure in the oral presentation. An organizational structure may be included in the project team summary in the written proposal.
	67	RFP	D.4 Evaluation of Proposals	6	"Resumes are limited are to 3 pages each, but contingent letter and resume/project team summary is excluded from page limitation."

"The Proposer shall identify key person(s) for this task and provide a description of the qualifications for the proposed key persons (limited to 2 pages per key person)."	Can the government please confirm Key Personnel resumes are limited to 3 pages per key person?	Key Personnel resumes are limited to 3 pages per person.
	68	RFP	D.5 Price Proposal	8	“As provided in Section B, the Proposer must include all labor categories, rates (both onsite and offsite), and hours for each labor category proposed for each applicable CLIN.”	What clearances will be required for onsite personnel?	See Sections H.10 and H.11, especially page 16.
	69	RFP	D.5 Price Proposal	8	“As provided in Section B, the Proposer must include all labor categories, rates (both onsite and offsite), and hours for each labor category proposed for each applicable CLIN.”	Will the government provide an estimate of labor hours needed for all labor categories in order for competing vendors to offer an “apples to apples” comparison of pricing?	No. The Proposer must propose the number of hours needed in each labor category to accomplish all of the goals in the Statement of Work for their proposed solution.
	70	SOW	Section I. Intake	2	“The SEC also receives up to 4 million pages of paper productions each year.”	Will the awarded vendor be scanning and OCRing the 4 million pages of paper productions? If so, could you provide an updated pricing template with the requested CLINs?	No. Scanning paper documents in outside the scope of work, and this information was included in the background section for context.
	71	SOW	Section II. Log Productions and Manage service providers	3	“Productions are logged when they are received to establish chain of custody.”	By default we track all received data. In what format does the SEC track received data so we can integrate into our tracking system as effectively as possible?	The SEC tracks received data in the Evidence Tracking System (ETS), which uses an SQL database.
	72	SOW	Section VI. IT Forensics	5	“An increasing percentage of Forensics collections are from smart phones and mobile devices, compared to the more traditional desktop and laptop computers. The SEC’s IT Forensics laboratory uses CelleBrite as a standard tool for processing cell phone data.”	Among other forensic collection tools, we also utilize CelleBrite for mobile device collections, will the government need assistance from the awarded vendor in collecting and processing data from smart phones, mobile devices, desktops, or laptop computers?	No. Forensic collection is outside the scope of this contract.
	73	SOW	2.3.3. Security Architecture	15	"The Contractor shall ensure the Threat Mitigation Plan, located in section 9.2 of the DAD template, describes the controls in the application that address vulnerabilities such as those identified in the “Open Web Application Security Project (OWASP) Top Ten Vulnerabilities” (OWASP Top Ten Project) and those described in the attached DAD template."	Can the government please provide the Detailed Architecture Design (DAD) template?	The SEC will provide the Detailed Architecture Design template and standards after contract award.
	74	SOW	2.5.7. Electronically Producing Data	24	"The contractor shall follow SEC standards for electronic productions (See Section J, Attachment 10)."	Please provide Attachment 10 (SEC standards for electronic productions).	Please see the "E-Production Standards" contained with amendment 1.
	75	Document	Section	Page	Question
	76	RFP	D3 Written Response/Oral Presentation	4	Is the Project Schedule that is required to be submitted with our response just for the base year?		Yes
	77	RFP	D1	4	Please confirm that the due date is June 7, 12AM and not June 7, 12 PM.		Proposal due date is amended to Tuesday, June 11 at 2:00 PM EDT.
	78	RFP	D3 Written Response/Oral Presentation	6	Factor 1: Management and Key Personnel: The Proposer shall provide labor rate(s) and number of estimated hours for all personnel to complete the work requirements; include descriptions of the responsibilities, skills, and qualifications for the proposed labor category(s). Please confirm that the government wants the offeror to include labor rates in the oral presentation.		Labor rates must be included in the Price Proposal. Number of labor hours should be addressed in the oral presentation.
	79	Attachment 1 Section B	Sheet 1	CLIN 002 and CLIN 003	Just to clarify, in Base year, CLIN 002 includes license and hosting costs for 50 users and 20 TB capacity. Does CLIN 003 represent monthly costs for additional 20 TB of ingested data (i.e. cost to add 20 TBs monthly to the 20 TBs priced in CLIN 002)? This same question applies to the option years.		CLIN 0002 and 0003 refer to the same 20 TB data capacity. Offerors may have different pricing structures for their cloud-based services. For example, CLIN 0003AC, 0003AD, and 0003AE pricing could be included in costs for CLIN 0003AA and 0003AB.
	80	Attachment 1 Section B	Sheet 1	CLIN 003 AA and CLIN 003 AB	In base year, what portion of the data will be in active storage? What portion of the data will be in lower performance storage? This same question applies to the option years.		The SEC is conducting this project as a pilot in part to determine an answer to these questions.
	81	Reference	Page	Question
	82	General	General	Will the SEC consider releasing this solicitation under the ONE-IT contract? There are other efforts under solicitation in ONE-IT to perform tasks that overlap with some of the areas in this task and doing so will provide a cost and enterprise services advantage to the SEC.			No.
	83	General	General	Will the SEC consider separating the major components of the eDiscovery pilot (data intake, data management, and discovery & processing) to maximize the value of data intake and management? Separating data intake and management into a unified system would enable the creation of an enterprise-wide data management and storage solution verse having a single comprehensive eDiscovery system disconnected from the enterprise SEC data environment.			No.
	84	Section 1.2 Background	3	Is the eDiscovery pilot solution required to integrate with or replace Recommind functionality?			No, the pilot will not replace Recommind. If the solution is selected for use as an enterprise solution, then it will replace or augment Recommind functionality.
	85	Section 1.2.2.	Cloud-based IT Environment Concept	6	How does this eDiscovery pilot integrate with existing data repositories and unify the data grid for the SEC?			As a cloud-based pilot, the eD3 eDiscovery system will not integrate with other SEC data repositories.
	86	RF/SOO Section/Para No.	Para. Title	Page No.	Question
	87	D.4	Evaluations of Proposals	5	Refers to “resume/project team summary is excluded from page limitation.” Will the government please describe expectations for the project team summary component?		A project team summary is not required, but is allowed for the Offeror to provide an overview of the relationships of prime and subcontractors on the Offeror's team.
	88	D.4	Factor 1: Management and Key Personnel	6-May	“The proposer shall provide labor rate(s) and number of estimated hours for all personnel to complete the work requirements; include descriptions of the responsibilities, skills, and qualifications for the proposed labor category(s).” Is the government expecting labor rate, estimated hours, etc in the oral presentation or is the pricing spreadsheet sufficient?		Labor rates must be included in the Price Proposal. Number of labor hours should be addressed in the oral presentation.
	89	E.1 (d)	Evaluation of Proposals	9	The SEC issued two similar procurements in the previous two years with no award, and page 9, Section E.1 (d) indicates the SEC reserves the right to make no award for this solicitation. Will the government provide the scenario(s) whereby an awardee is not selected for this third comparable solicitation?		If the risks and costs of the best value proposed solution exceeds the Government's estimate of the benefits and enhancements of the solution compared to the SEC's current on-premises system, then an award might not be made.
	90	D.3	Written Response/Oral Presentations	5	In Section D.3 – Written Response/Oral Presentations, the solicitation states, “The oral presentations will be scheduled starting the week of 6/10/2019.” However on page 7 in Factor 3, Step 2, it states, “Approximately two weeks after proposals are submitted, the SEC will invite Proposers still considered to be competitive, to present their solutions for the SEC. The Proposers will be given one week notice before the date of the oral presentation.” Will the government please provide clarification on the Oral Presentation announcement date?		The SEC plans to establish the schedule for presentations the week of 6/10/19. The dates for the oral presentations will be 6/18/19 and following.
	91		/Factor 3 – Step 2	&
	92			7
	93	H.11.1 6010.01	Key Personnel	16	Please clarify the statement on page 16 Section H.11.1 6010.01 KEY PERSONNEL, which states “Key personnel shall include ………………. a system administrator, if one is assigned to work at the SEC.” Does this mean if the SEC deems the assignment necessary, or if the vendor deems the assignment necessary?		Please see H.11.1 6010.01 in amendment 1. The Offeror should propose a system administrator or other positions to be key personnel consistent with their technical approach for Factor 1.
	94	D.3	Written Response/Oral Presentations, Factor 3 Step 2	4-5,7	Please clarify the week in which the oral presentations will take place. The two references in the document entitled ‘50310219R0009_-_Ediscovery_Cloud_Pilot” are on page 4-5, Section D.3 Written Response/Oral Presentations and on page 7, Factor 3 Step 2. The two references do not clearly stipulate the expected dates for the oral presentation.		The SEC plans to establish the schedule for presentations the week of 6/10/19. The dates for the oral presentations will be 6/18/19 and following.
	95	Statement of Work / 1.2	Background	1	The SEC states, “Although there were reasonable and technically acceptable FedRAMP authorized solutions, the SEC determined those solutions proposed did not meet our short and long term business goals to justify the risks and cost.”		The SEC's short and long term goals are to implement a "Cloud Smart" strategy consistent with the SEC Strategic Plan. The SEC seeks an efficient electronic discovery system to meet the business needs of examiners, investigators, and litigators. The SEC will not comment on strengths, weaknesses or deficiencies of previous proposals.
	96				Can the SEC elaborate on what the exact short and long term business goal are, and what deficiencies were found in systems outlined in previous submissions?
	97				Additionally, are there applications / systems / deployment models the SEC is either unwilling to consider, or ones that the SEC has specifically deemed viable for the ED3 program?
	98	D.3	Oral Proposal Requirements	5	Will the presenters be given the full hour to present and 15 minutes of questions after the hour of the presentation?		Yes.
	99	D.3	Factor 1: Management and Key Personnel	6	The proposer shall provide labor rates. Should this be addressed in the oral presentation or not?		Labor rates must be included in the Price Proposal. Number of labor hours should be addressed in the oral presentation.
	100	D.3	Factor 2: FedRAMP Authorization and Cybersecurity.	6	Can government please provide standards/instructions for ATO process at SEC		The SEC uses the NIST standards and evaluates the risks and controls appropriate for a particular solution. The extent of SEC testing and additional controls required will depend on how far a proposed solution has progressed through the FedRAMP authorization process, and on the results of the Offeror's third party assessment.
	101	D.3	Factor 2: FedRAMP Authorization and Cybersecurity.	6	“Adequate time for SEC review and approval should be included”. Can government please provide SEC ATO approval process		The SEC uses the NIST standards and evaluates the risks and controls appropriate for a particular solution. The extent of SEC testing and additional controls required will depend on how far a proposed solution has progressed through the FedRAMP authorization process, and on the results of the Offeror's third party assessment.
	102				Does the eD3 eDiscovery solution already have ATO in place or is in the list of the approved ATO at SEC.		No.
	103	D.3	Factor 3: Software Features and Functionality.	6	What does “The contracting officer may set a competitive range at this point” mean?		The contracting officer may eliminate proposals determined not to be competitive.
	104			5	In the oral presentation past performance is included can past performance be excluded from the 20 page limit for the slide deck? Can this be as an appendix?		Past performance references are limited to two pages each.
	105		1) The government includes a requirement that the “All cloud-based components must be FedRAMP authorized or covered by an SEC issued Authority to Operate (ATO).” Is this a requirement for the contractor to provide to SEC upon award, or is this required to accompany the proposal submission?				Please see Factor 2 on page 6, "The Proposer shall describe in detail the status of FedRAMP authorization for all parts of its proposed

solution." This is required as part of proposal submission.

106	2) It appears from the proposal instructions that the Government is not requiring a technical approach. Please confirm that no technical approach is required with the proposal.		The responses to Technical Factors 1, 2, and 3 constitute the Offeror's technical approach.
107	Regards to Solicitation 50310219R0009, I read within “Attachment_2-Statement_of_Work_Cloud_eDiscovery, page 21”, “The contractor shall load files that are produced by imaging paper documents, files that the SEC received electronically from other sources, and EDD files….”	who is responsible for scanning the paper documents?	The SEC has a contract with Chenega Healthcare Services, who provides paper document scanning.
108		am I understanding correctly will you need a person to be physically in your Washington office for the duration of the contract or can this contract (the cloud) be managed from an office in another state?	Full-time on-site staff at the SEC Headquarters is not a requirement. The Offeror should include sufficient on-site time in their proposal to meet all of the requirements of the SOW for their solution. The Offeror will need to provide on-site capabilities for picking up data on physical electronic media and for training.

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