Enterprise Compliance Management RFI No. 5-P124-I--05451-00.pdf

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U. S. Department of Energy laboratory managed by UChicago Argonne, LLC

May 29, 2025

TO ALL PROSPECTIVE OFFERORS:

Subject: Request for Information (RFI) 5-P124-I--05451-00 – Argonne Enterprise Compliance Management System

Argonne National Laboratory (UChicago Argonne, LLC), under a prime contract with the U.S.

Department of Energy (DOE), is performing a market survey to evaluate obtaining products or services which are the subject of this Request for Information (RFI). Therefore, you are invited to submit a response to this RFI that includes marketing materials, price lists, informal proposals, and any other relevant information you deem appropriate to address your ability to provide the supplies and/or services. This RFI is for informational purposes only and will not necessarily result in solicitation or award of a contract.

Responses may include proprietary information. Offers should indicate on the fore page, and all subsequent pages of their response to this RFI, those sections, paragraphs, or areas which they consider to be proprietary or otherwise considered confidential. Argonne assumes no liability for disclosure or use of unmarked data and may use or disclose such data for any purpose.

Overview of Argonne National Laboratory

Argonne National Laboratory is a multi-program science and technology laboratory managed for the Department of Energy. Scientists and engineers at Argonne conduct basic and applied research and development to create scientific knowledge and technological solutions that strengthen the nation’s leadership in key areas of science, increase the availability of clean, abundant energy, restore and protect the environment, and contribute to national security.

As a U.S. Department of Energy (DOE) national laboratory, Argonne National Laboratory must comply with applicable laws and contractually mandated requirements (that is, regulations, clauses, standards, and Department of Energy Directives identified or invoked by the Prime Contract). The number of individual requirements is in the tens of thousands. Argonne’s requirements are currently assigned to and implemented by a management system approach, Argonne’s 12 core processes. Per ISO 9001:2015(E), these processes should map how work is managed and performed across the Laboratory and further support the flow down of responsibilities for documents, records, and data as outputs of work processes.

John M Patton Procurement Specialist III

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

Request for Information Summary Argonne is exploring the breadth and depth of capabilities of a commercial-off-the-shelf (COTS) system to identify and manage changing requirements, and to integrate with the processes, documents, and systems that implement them. The system (see figure above) will be the system of record of requirements and their linkages, it will also use Argonne’s Enterprise Data Warehouse (EDW) and reporting/dashboard capabilities to track and provide metrics about requirements compliance.

We invite you to provide the Laboratory with any information about your ability to provide an enterprise-wide integrated solution that will efficiently manage requirements for contract compliance, and their related records, documents, and data to prevent gaps in oversight, eliminate silos of information that inhibit efficient and effective responses when requirements change, provide consistent management of compliance-based work processes, and create discoverable information assets for leadership.

Specific aspects of the system will include:

Requirements Analysis and Mapping

• Identify and retrieve driving source material, such as contract clauses and federal regulations, and their relationships to Argonne-specific policies and procedural documentation.

• Maintain persistent, version-controlled links to all source documents, ensuring traceability and allowing for historical analysis of changes over time.

• Generate summary measures or indicators of contract/source mapping for completeness and accuracy.

Change Impact and Conflict Analysis

• Identify and management of impacts resulting from contract/agreement changes across business processes, systems, and documentation through structured workflows for approval, resolution, and tracking.

• Identify conflicts between contracts/agreements, requirements, current policies and procedures, etc.

• Notify stakeholders of critical changes and preserve a clear record of all requirement versions and updates.

Integrated and traceable information and Analytics

• Maintain end-to-end traceability is required, from contract requirements through associated policies, training materials, assessments, deliverables, and final records.

• Provide integrations and linkages to external systems, databases, and document management systems.

• Provide integrations with Argonne’s Enterprise Data Warehouse and Reporting/Dashboard capabilities that allows all data from the system to be integrated with our other enterprise data. Reports, dashboards and other visualizations will be able to be embedded into the system.

• Reporting will be unified across auditing and operational data, enabling both scheduled and ad-hoc reports via self-service interfaces.

Document Management

Strong integration with an enterprise document management system that will store documents related to individual requirements.

Records Management

Strong integration with an enterprise records management system that will track records. The system should be able to integrate requirements with associated records.

Other aspects that might be part of our long-term solution include orchestration and workflow management to improve our efficiency and quality in satisfying requirements.

Responses should include a detailed description that addresses the following topics:

• Fed-Ramp Certification details

• Cloud capabilities

• Integrations with reporting/analytics platforms, document management systems, and major cloud-based business application platforms

• Integrations with authentication and authorization systems, as well as systems that support group and role management

• Integration capabilities with laboratory systems described above and the ability to expand

• Workflow (computer and human) capabilities

• User administration

• Legal and pricing

1. Terms and conditions provided by vendor (see explanation below)

2. Licensing model, support model (including maintenance details), and options

3. Cost estimate

a. Cost of full solution plus annual maintenance and support Provide any additional terms and conditions that are applicable to the products and/or services proposed in response to this Request for Information. Cloud-based solutions must provide FedRAMP Certification details and a completed SaaS Questionnaire, see attached. Chosen vendors will be expected to provide a product demonstration that meets our specified requirements. Further details on what would be expected is available upon request.

Demonstrations shall be limited to a period of one hour, with a half hour for Argonne questions.

Any demonstrations are expected to be held within the following two (2) months of the RFI due date.

RFI questions must be submitted via email on or before June 13, 2025, 5:00 p.m., local prevailing time. Responses are due on or before June 27, 2025, 5:00 p.m., local prevailing time.

Responses as well as questions should be submitted electronically via email to Jack Patton at jpatton@anl.gov.

Please reference RFI Number 5-P124-I--05451-00 on all related correspondence.

Sincerely, Jack Patton Procurement Specialist III jpatton@anl.gov