Addendum No. 1 - RFI No. 5-P124-I--05451-00.doc
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- Argonne Enterprise Compliance Management System
- Solicitation number
- 5-P124-I--05451-00
- Issued by
-
Department of Energy Office of Science
About this file
This document is an Addendum No. 1 to a Request for Information (RFI) for the Argonne Enterprise Compliance Management System (ECMS). Argonne National Laboratory is seeking a comprehensive cloud-based or on-premise solution to manage organizational requirements, documents, and compliance across all laboratory operations. The system should integrate with existing platforms like ServiceNow, WorkDay, and Power BI, support document management, and enable tracking of regulatory and contractual requirements across multiple data sources. Key requirements include AI/ML capabilities, bi-directional system integrations, lifecycle contract management, and the ability to flag clause-level changes and trigger notifications.
The RFI targets a potential implementation by October 2027, with a phased deployment approach. The anticipated user base includes approximately 3,800 staff, primarily senior managers, lawyers, document editors, QA staff, and records managers. Argonne expects vendors to propose multiple pricing tiers for a 2-3 year implementation schedule. The proposal due date is extended to July 18, 2025, with a potential formal Request for Proposal (RFP) expected by December 2025. The project is sponsored by the U.S. Department of Energy Office of Science and will be managed by UChicago Argonne, LLC.
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Other files
| File | Type | Posted |
|---|---|---|
| Enterprise Compliance Management RFI No. 5-P124-I--05451-00.pdf | ||
| Enterprise Compliance Management RFI No. 5-P124-I--05451-00.pdf | ||
| SaaS Questionnaire for Vendor.docx | DOCX document |
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John M Patton Procurement Specialist 3 Financial Management and Procurement Services Procurement Department
Argonne National Laboratory
9700 South Cass Avenue, Bldg. 201
Lemont, IL 60439
(630)252-6356 jpatton@anl.gov
07/11/2025
TO ALL OFFERORS:
Subject:
Argonne Enterprise Compliance Management System Request for Information No. 5-P124-I--05451-00 Addendum No. 1 Attached herewith for your information and use in preparing your proposal for subject project is one (1) copy of Addendum No. 1.
Kindly acknowledge receipt of this Addendum by signing and returning one (1) copy of this letter.
Please email receipt to Jack Patton at jpatton@anl.gov.
Sincerely, John M Patton Procurement Specialist 3 Procurement Department
Receipt Acknowledged:
Company:
By:
cc:
File
CF
Addendum No. 1
TO
REQUEST FOR INFORMATION 5-P124-I--05451-00
FOR
Argonne National Laboratory
BLDG. 201 OCF
9700 S. Cass Ave.
Lemont, IL 60439
07/11/2025 This addendum is being issued to modify the subject Request for Information as follows:
I. Proposal Due Date
The proposal due date has been extended to 5:00 P.M., local prevailing time, Friday, July 18, 2025.
II. Clarifications and Vendor Questions
| # |
| Questions |
| Answers |
| 1 |
| Is there an incumbent solution? |
| No, benchmarking has suggested that the only available solutions are homegrown. |
| 2 |
| What existing document, records, and content management platforms are in use? |
| We have a combination of COTS and homegrown tools in use. COTS tools include ConvergePoint, Box, PowerDMS, HighQ, Gimmal, ServiceNow, WorkDay, PowerBI, and other applications built in Microsoft SQL and Oracle Database. Note that we are interested in general document management integration capabilities – not necessarily these specific DMS solutions. |
| 3 |
| What systems are currently part of the compliance and EDW ecosystem? Can you share an architectural diagram or list of key platforms? |
| There’s no existing compliance system. Our EDW is an on prem MS SQL and Power BI platform – although we are planning to transition it to MS Azure. |
| 4 |
| Where are the driving data sources for your source material? |
| Federal, department or agency (primary stakeholder is Dept of Energy), state, and industry requirements/regulations/laws (external sources); local Argonne document repositories; training modules |
| 5 |
| Is this for the procurement office specifically or all of ANL? |
| All of ANL |
| 6 |
| Where do you want this solution hosted? On premise or in the cloud? |
| Prefer cloud based, FedRAMPed solution. But on-prem hosted is not a deal breaker. |
| 7 |
| Are there any AI or ML capabilities currently used? If not, are they desired? |
| Yes, we’re building a knowledge graph and AI-assisted tool for requirements mapping. We’re open to additional AI capabilities in the solution. We currently use a number of AI capabilities such as MS/openai, ask sage, etc and support using them in the solution. |
| 9 |
| What types of users (technical vs non-technical) will interact with the system, and how many users are anticipated across roles? |
| Senior managers responsible for requirements and risk management, lawyers, document editors, QA staff, and records managers will be our primary users – little technical expertise. The anticipated number of users is currently unknown and depends on the final solution (interested in evaluating options and tiers), overall lab population is approximately 3800. |
| 10 |
| Is Argonne interested in phased deployment or a full enterprise rollout? What is your desired implementation timeline? |
| Likely phased, due to assumed cost for implementation. Full implementation is desired in October 2027. |
| 11 |
| Are there any DOE-wide enterprise platforms or cross-lab initiatives this system must align with or eventually integrate into? |
| Not yet |
| 12 |
| What are the highest-priority areas or use cases you want to address first with this system? |
| Highest priority use case is a solution for the Integrated Hub (see below diagram). |
| 13 |
| Which of Argonne’s 12 core processes are most critical to be integrated first, and do they already follow standardized digital workflows? |
| I think we would integrate by application, rather than core process. They are all essential, but we understand that not all data types will be available at once. For example, we may have solution for document management (for all core processes) before we have a solution for training or deliverables – this would be OK, as we have individual tools for each solution now. |
| 14 |
| What types of data does the Enterprise Data Warehouse currently house, and is there a preferred data model or standard? |
| Currently the warehouse contains operations dataas well as some enterprise level metrics. That will continue to expand across all of lab operations. |
| 15 |
| Is this a funded FY2026 initiative? |
| We have a pending proposal, TBD in late July. |
| 16 |
| Are you currently using any identity federation or single sign-on systems? |
| Yes |
| 17 |
| Will this system need to operate in an isolated or air-gapped environment? |
| No |
| 18 |
| Is there a current budget range, or is Argonne expecting vendors to propose multiple pricing tiers for different functionality levels? |
| We’ll need multiple pricing tiers assuming a 2-3 year implementation schedule. |
| 19 |
| What are the types of documents? ie, pdf, word, excel, etc. What’s the average document size? (number of pages) |
| Files will include Word, PDF, Excel, MSG, TIFF, JPEG, PPTX, Visio. Documents can be several hundred pages in length, and we could have >1 million files if calculating all file types (all federal requirement sources, all Argonne documents, all records). |
| 20 |
| Does Argonne plan to follow this RFI with a formal RFP or RFQ? If so, what is the anticipated timeline? |
| Yes, we’re anticipating a funded proposal for work in October 2025, with a formal RFP to be submitted by December 2025 |
| 21 |
| Is there a page limit or formatting guidance for the RFI response submission? |
| No |
| 22 |
| Can Argonne share any anticipated timeline for implementation, including key milestones or a target go-live date? |
| We’re hoping to evaluate solutions and review proposals through the end of the calendar year (2025), with implementation occurring through 2027 |
| 23 |
| Is there a preliminary budget range or funding ceiling that Argonne is using to guide this effort? |
| No |
| 24 |
| Will this system need to support corrective/preventive action workflows (CAPA) tied to compliance failures or audit findings? |
| No, we currently have a system for managing audit documentation and corrective actions, built on ServiceNow. |
Note that our corrective/preventative actions do not only stem from compliance failures and audit findings. The solution will need to integrate with that system.
| 25 |
| "Can Argonne provide a list of existing platforms or systems that the compliance solution is expected to integrate with? Please specify any of the following, if applicable: |
- Document Management Systems
- Records Management Systems
- Business systems relevant to compliance (e.g., CHRIS, STRIPES)
- Enterprise Data Warehouse (including interface methods)" We have a combination of COTS and homegrown tools in use, including ConvergePoint, HighQ, Gimmal, ServiceNow, WorkDay, PowerBI, and other applications built in Microsoft SQL and Oracle Database.
| 26 |
| Where are Argonne’s internal policies and procedures currently stored? Will the new solution be expected to manage or link to those documents directly? |
| Currently stored in ConvergePoint and an Oracle document management system. Yes, the new tool must integrate with policies and procedures. |
| 27 |
| Is Argonne seeking full contract lifecycle management (e.g., authoring, versioning, clause comparison), or primarily tracking and responding to finalized contracts? |
| Lifecycle management. We are not “responding to finalized contracts” but do need to track implementation of changed contract clauses and requirements into Argonne business processes. |
| 28 |
| Will the proposed system need to identify and flag clause-level changes between contract versions? If so, will Argonne provide standardized input formats, or is unstructured document ingestion expected? |
| Yes, our Prime Contract is already version-controlled with redlines. We’re specifically looking for assistance with the referenced sources, not tracked within the body of the Prime Contract. |
| 29 |
| What specific outcomes or actions should be triggered when a contract or requirement changes (e.g., notifications, workflow, task creation)? |
| Notification to the owner (we use the terms “core process owner” and “subprocess owner”) that a change has been made to content they own, with an identified list of documents (procedures, trainings, etc) that contain citations/references or inconsistent text as recommended actions. |
| 30 |
| Will the system serve as a system of record for contracts and compliance artifacts, or function as a workflow/integration layer across existing systems? |
| The system will serve or function as a workflow/integration layer across existing systems. The system must also be resilient enough to be able to switch out software applications. |
| 31 |
| Would Argonne be open to a phased implementation (e.g., contract mapping and automation first, integrations second)? |
| Yes, we are anticipating a phased approach. |
| 32 |
| Does Argonne expect bi-directional integration with existing platforms, or one-way data movement? |
| bi-directional for some, but not all platforms. |
| 33 |
| How many users are expected to create, review, and manage contracts, requirements, and compliance artifacts within the system? |
| No users will create and manage contracts within the system. All users will manage data from the contract –total number of users will depend on cost of solutions and the number of successfully integrated applications; The anticipated number of users is currently unknown and depends on the final solution (interested in evaluating options and tiers), overall lab population is approximately 3800. |
| 34 |
| What is Argonne using today as an Enterprise Data Warehouse solution? Which EDW management tools will need to integrate with the ECMS solution? |
| MS SQL Server (a combination of star-schemas and Inmon-style reporting tables), Power BI. |
| 35 |
| How is Argonne currently handling their identification and maintenance of version-controlled source materials (Clauses and Directives)? Is this performed manually today, or is there a system that is assisting with these activities? |
| Manually, but we are investigating use of AI tools. |
| 36 |
| Is just the “SaaS Questionnaire for Vendor” document required? Or are you looking for the Vendor document along with additional requests/responses that are mentioned in the RFI document? |
| We’re looking for information that will guide us in architecting a solution and developing associated RFPs. |
| 37 |
| Do you currently have a Records Management program in place? Would managed records include physical documents or only electronic? |
| Yes. Would include references to both, and integration with Gimmal for the metadata. |
U. S. Department of Energy laboratory managed by UChicago Argonne, LLC
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