Electronic_Case_File_Processing_RFI_2014_.pdf

Merit Systems Protection Board

Request for Information:

Converting to Electronic Adjudication at MSPB

January 2015

Merit Systems Protection Board (MSPB)

Request for Information

January 2015

Request for Information: Converting to Electronic Adjudication at MSPB

Table of Contents

1. MSPB Mission

2. Purpose of this RFI

3. Background

4. Scope of Work

4.1 Assess and Document Current MSPB Process

4.2 Develop Project Plan

4.3 Develop Requirements

4.4 Implement Systems/Components

4.5 Document Case Process

4.6 Provide User Training

4.7 Provide Implementation Support

5. RFI Responses Appendix A: Current MSPB Case Processing Workflow and Systems Appendix B: MSPB Offices Relevant to this RFI and their Functions

January 2015

Request for Information: Converting to Electronic Adjudication at MSPB

1. MSPB Mission

The mission of the Merit Systems Protection Board (MSPB) is to protect the Merit System

Principles and promote an effective Federal workforce free of Prohibited Personnel Practices.

MSPB’s goal is to provide high quality and timely decisions on individual appeals, and to make effective use of a range of dispute resolution services to individuals and to agencies. Appeals brought by individual employees are heard first by administrative judges (AJs) in MSPB’s six regional and two field offices. If an employee or agency is not satisfied with the resolution of the case at this level, either may file a petition for review (PFR) with the full three-member

Board at headquarters. The AJ or the Board may also order compliance with final MSPB orders, grant attorney’s fees when appropriate, and provide remedies such as consequential and/or compensatory damages as specifically provided by statute. The MSPB has jurisdiction to adjudicate appeals in a variety of areas including, but not limited to:

Personnel actions such as removals, suspensions of more than 14 days, furloughs and demotions;

Administrative decisions affecting an individual’s rights or benefits under the Civil

Service Retirement System or the Federal Employees’ Retirement System;

Complaints filed by employees or applicants under the Whistleblower Protection Act

(WPA), the Uniformed Services Employment & Reemployment Rights Act (USERRA), and the Veterans Employment Opportunities Act (VEOA); and, Cases brought by the Special Counsel, including complaints for disciplinary actions based on Hatch Act violations, other complaints for disciplinary action, and petitions for corrective action based on allegations of prohibited personnel practices.

2. Purpose of this RFI This Request for Information (RFI) is issued solely for informational and planning purposes and does not constitute an Invitation for Bids (IFB), Request for Proposal (RFP), or Request for Quotes (RFQ).

Responses to this notice are not offers and cannot be accepted by the Government to form a binding contract. This RFI does not commit the Government to contract for any supply or service. MSPB is not seeking proposals at this time. Additionally, the Government will not provide reimbursement for any information that may be submitted in response to this RFI. Respondents are solely responsible for all expenses associated in response to this RFI. Note that responses should not take the form of a proposal and will not be understood as such. The information provided in this RFI is subject to change and is not binding on the Government.

MSPB is interested in streamlining case processing in its adjudication function and converting from a paper-based case file system to an electronic adjudication (or e-adjudication) system.

MSPB submits this Request for Information (RFI) to solicit statements of interest and capabilities from industry Providers of electronic case processing and electronic records management solutions.

At MSPB’s discretion, we may decide to hold industry exchange meetings with interested

Providers to gather more information after RFI responses have been submitted. Providers may also be asked to provide a demonstration of their electronic case processing products/solutions.

January 2015

Request for Information: Converting to Electronic Adjudication at MSPB

All responses to this RFI (and any related correspondence, meetings, or presentations pertaining to the Provider’s capabilities) are entirely at the Provider’s expense.

This is not a solicitation for proposals, proposal abstracts, or quotations. MSPB will not accept any unsolicited proposals, proposal abstracts, or quotations. MSPB does not intend to award a contract based on this RFI.

MSPB will assess the information received and make a determination on the ability of the market to meet our needs, as stated below. The information will be used to determine the feasibility of a potential procurement. However, at the time of this RFI, MSPB is unable to guarantee that a solicitation will be issued. A solicitation and any resulting contract are subject to the ability of the market to meet our needs and the availability of funds. Nonetheless, it is our plan to issue a solicitation and select a Provider.

3. Background Current Organization: MSPB is an independent Federal agency within the Executive Branch.

MSPB’s Board Members, including the Chairman, Vice Chairman and Member, are appointed by the President and confirmed by the Senate. The three Board Members serve overlapping, non-renewable 7–year terms, and they can only be removed for cause. No more than two of the three

Board Members can be from the same political party. The Board Members’ primary role is to adjudicate the cases brought to the Board. The Chairman, by statute, is the chief executive and administrative officer.

MSPB headquarters located in Washington, DC, has eight offices that are responsible for conducting its statutory and support functions. The Directors of these eight offices report to the

Chairman through the Executive Director. MSPB also has six regional and two field offices located throughout the United States. These offices process initial appeals and report through the

Director of Regional Operations. Information about each office’s responsibilities and an MSPB organizational chart are contained in Appendix B. A number of support functions are performed by other Federal agencies through interagency agreements. Over the last several years, reduced funding and budget uncertainty have eroded MSPB’s resources. At the end of FY 2013, MSPB had 196 positions filled, 17 positions fewer than at the end of FY 2009.

Case Processing: Typically, MSPB’s regional/field offices, located in Arlington, VA, Philadelphia, New York City, Atlanta, Dallas, Chicago, Denver and San Francisco, receive a total of approximately 5,000 to 6,000 initial appeals in a year. However, in FY 2013, in addition to the non-furlough appeals filed that year, over 32,400 employees filed appeals of furlough actions that resulted from the Government-wide sequestration. See Appendix A for a description of the current MSPB case processing workflow and systems.

In an effort to accommodate MSPB’s rapidly growing and changing workloads and comply with

Federal mandates to convert to electronic records, MSPB needs to take advantage of the efficiencies that electronic records and adjudication can provide. MSPB is seeking information from industry Providers on ways to shift from paper-based work processes and products to automated, electronic adjudication; including filing, substantive review, document management and distribution, hearings (including recording and transcripts), decision drafting and release, and

January 2015

Request for Information: Converting to Electronic Adjudication at MSPB records management. To accomplish this, Providers are invited to provide capability statements that demonstrate technological experience and qualifications regarding the electronic infrastructure necessary to meet the needs of MSPB.

4. Scope of Work MSPB seeks information on available products/solutions and ancillary services to convert to

100% electronic case processing to substantially improve the delivery and efficiency of our adjudication services. The foundation of the electronic adjudication process will provide:

• Electronic workflow

• Electronic document management

• Electronic records management

• Electronic document review and annotations

• Electronic document generation, which involves merging data with template-based and ad-hoc content

• Electronic signatures

• Seamless interfaces with existing MSPB systems (or recommended replacement systems, if appropriate)

• Secure electronic filing and access to case status and documents

• Privacy & computer security risk assessments

Project Requirements:

Many of the systems and components to support an electronic case processing environment already exist at MSPB, and MSPB will need support to identify and implement additional systems/components/processes necessary to convert to a 100% electronic case process, develop and document an efficient electronic adjudication process and related procedures, and to provide necessary training to MSPB staff at headquarters and in our regional and field offices.

4.1 Assess and Document Current MSPB Process: Review, evaluate, and document current MSPB case processing and systems. Identify gaps to converting to a 100% electronic case process.

4.2 Develop Project Plan: Develop a project plan for getting MSPB to a 100% electronic case process.

4.3 Develop Requirements: Building upon existing MSPB systems and processes, recommend process and system improvements. Develop requirements for converting MSPB to a

100% electronic case process.

4.4 Implement Systems/Components: Implement additional systems/components/processes necessary to convert to a 100% electronic case process.

4.5 Document Case Process: Develop and document an efficient electronic case process and related procedures.

January 2015

Request for Information: Converting to Electronic Adjudication at MSPB

4.6 Provide User Training: Provide necessary training to MSPB staff at headquarters and in our regional and field offices.

4.7 Provide Implementation Support: Provide onsite support at all MSPB locations throughout and following implementation.

5. RFI Responses This is not a solicitation for proposals, proposal abstracts, or quotations. MSPB will not accept any unsolicited proposals, proposal abstracts, or quotations. MSPB does not intend to award a contract based on this RFI. All responses to this RFI (and any related correspondence, meetings, or presentations pertaining to the Provider’s capabilities) are entirely at the

Provider’s expense.

Questions from Interested Providers

MSPB welcomes questions that help interested Providers clarify any information contained in this RFI. All questions should be emailed to Michaela Klarmann at michaela.klarmann@mspb.gov by 5:00 p.m. EDT on January 12, 2015.

RFI Response Length and Format

All interested Providers should construct responses as detailed below in the “RFI Response

Criteria” section in 15 pages or less and in Microsoft Word or PDF format with a minimum 12-point font size. Appended materials, such as Provider brochures or information, are permitted and will be excluded from the 15 page limitation.

RFI Response Criteria

Providers’ responses should include, but are not limited to, the following criteria:

1. Corporate Profile – Provide a brief company description, DUNS, GSA schedule contract number (if applicable), business size, and a point of contact for any questions or clarification on the Provider’s RFI response.

2. Service Offerings – Provide a description of available products/solutions and ancillary services to convert to electronic case processing and how the Provider intends to meet the requirements listed in Sections 3 and 4 above.

3. Teaming Arrangement – Identify all teaming arrangements and what capabilities each member provides.

4. Past Performance – Providers are encouraged to describe prior successful experience with implementing electronic case processing and, records management, and privacy/security solutions.

5. References – MSPB requests three references from Federal client organizations for whom the Provider or its teaming partners has provided electronic case processing products/solutions. These clients may be contacted to determine their satisfaction with the

Provider’s performance.

6. Pricing – Although not required, to the extent feasible, Providers are asked to provide a rough order of magnitude price estimate and structure for all of the work described in

Sections 3 and 4.

7. Schedule Estimate – Delineate factors which would affect the time it would take to deploy a solution, including how long it should take before the system is operational. Include file:///C:/Users/KlarmannM/AppData/Local/Microsoft/Windows/Temporary%20Internet%20Files/OsowskiJ/AppData/Local/Microsoft/Windows/AppData/Local/Microsoft/Windows/AppData/Local/Microsoft/Windows/AppData/Local/Microsoft/Windows/AppData/Local/Microsoft/Windows/Temporary%20Internet%20Files/Content.IE5/DUUB3NGY/Stephen.Smith@mspb.gov

January 2015

Request for Information: Converting to Electronic Adjudication at MSPB specifics, where possible, about interim milestones/timeframes to achieve those dates, and any other information/recommendations relevant to scheduling.

8. Risk Items – Identify perceived risks for the project and discuss possible mitigation factors/strategies for these risks.

9. Accessibility – Where possible, submit a brief statement concerning the availability of solutions that comply with Section 508 of the Rehabilitation Act.

10. Warranty – If applicable.

January 2015

Request for Information: Converting to Electronic Adjudication at MSPB

Delivery of Responses

All RFI responses must be received by the MSPB by 5:00 p.m. EDT on January 20, 2015.

Interested Providers must submit their 15-page-maximum response as separate Microsoft Word or PDF files to the following MSPB point of contact (POC):

POC:

Michaela Klarmann

Email:

michaela.klarmann@mspb.gov

Address:

U.S. Merit Systems Protection Board

1615 M Street NW, Suite 500

Washington, D.C. 20419

Telephone:

202-254-4408

January 2015

Request for Information: Converting to Electronic Adjudication at MSPB

Appendix A: Current MSPB Case Processing Workflow and

Systems

The following is a high level summary of MSPB's workflow:

AJ issues an Initial

Decision on the appeal.

Appellant files appeal

(via e-Appeal or hardcopy)

RO/FO enters appeal, creates a docket number and assigns AJ.

AJ may hold status conferences via phone.

RO/FO

Accepts

Appeal?

All Board-issued documents and any documents filed by e-

Appeal or scanned in by RO/FO are saved into DMS.

Rejection Notice sent to Appellant

AJ issues Initial

Acknowledgment

Order

Hearing

Requested?

If a hearing is requested, AJ will schedule the hearing (in-person, telephonic, or video conference).

YES

NO

YES

NO

RO/FO creates paper file for new appeal. Signed copies of MSPB orders and all documents are printed and tabbed in the paper file.

DMS

CMS

PFR?

YES

NO

Cont.

ID becomes final after 35 days.

Case family is archived in CMS and paper file sent to NRC.

Parties file pleadings

(via e-Appeal or hardcopy paper)

Parties file pleadings

(via e-Appeal or hardcopy paper)

Parties file pleadings

(via e-Appeal or hardcopy paper)

Court/

EEOC?

NO

Case transferred from

RO, OCB sends a copy of the certified index and/or copy of the record to Court, EEOC, USPS, or DOJ.

YES

Hearing audio files saved to Media

Server

Regional/Field Office Adjudication

Initial Appeal Process

Refer to the Judges’ Handbook for a more detailed description of the procedures in the Initial

Appeal process.

1. The overwhelming majority of matters adjudicated at MSPB begin with an appellant, who is typically a current or former Federal employee or applicant for Federal employment, filing an appeal.

a. MSPB’s jurisdiction covers employees located nationwide and throughout the world, and approximately half of MSPB’s appellants are not represented by counsel. Currently, MSPB receives appeals via hard copy mail, fax, or its online filing system called e-Appeal Online. Parties who wish to use the e-Appeal system to file new appeals or pleadings must agree to receive distribution of

MSPB documents from e-Appeal. All parties, regardless of whether they are registered electronic filers, can access some or all of their case file documents in http://www.mspb.gov/netsearch/viewdocs.aspx?docnumber=241913&version=242182&application=ACROBAT https://e-appeal.mspb.gov/

January 2015

Request for Information: Converting to Electronic Adjudication at MSPB our e-Appeal Repository. The e-Appeal system has an internal interface for administrative judges (AJs), attorneys, and paralegals to view case-related documents. The current system configuration does not allow MSPB employees to make any privileged electronic notations within the case file documents and many

MSPB employees, especially AJs and attorneys, telework 2 or more days per week.

2. Once a new appeal is received, the basic appeal data is entered into our Law Manager

Case Management System (CMS), which assigns a docket number and is used to track case data. If the appeal is filed electronically, or a paper appeal is converted to electronic format via our Kofax scanner system, that electronic document is saved to our OpenText

Document Management System (DMS), which manages case documents. Regardless of whether an appeal is filed in hard copy or electronically, generally a paper case file is then created, with the appeal appearing at Tab 1 of the file.

3. The newly docketed appeal is then assigned to an AJ, who begins the adjudication of the appeal by issuing preliminary orders. The AJ typically handles the entire adjudication, from start to finish, with support from a paralegal.

4. Throughout the adjudication, the parties file various pleadings and the AJ issues orders and summaries. The paper case file is updated as pleadings are filed and orders are issued. Orders of the AJ are served on the parties through e-Appeal or via U.S. mail, depending on the party’s selection of service. MSPB does not currently use electronic signatures (e-signatures) when issuing orders. The original, signed order is placed in the paper case file.

5. The AJ may also hold a hearing, which is typically recorded by a court reporter. In most appeals, only a hearing audio file will become part of the official record as transcripts are typically not requested by the AJ. The hearing audio file is usually available on a compact disc (CD) and is added to the paper case file.

6. Once the adjudication record closes, the AJ will issue an initial decision and the case is closed. If the initial decision is not appealed, as described below, the regional or field retains possession of the case file for a period of time and then sends the case file for offsite storage in accordance with MSPB’s records schedules.

January 2015

Request for Information: Converting to Electronic Adjudication at MSPB

Either party files a

PFR with OCB at

MSPB HQ (via e-

Appeal or hardcopy)

Cont.

from pg

OCB sends PFR

Acknowledgement

Letter.

OCB requests the file from the RO/

FO and holds the file until the record closes.

OCB Tranfers case file to OAC

OAC reviews and writes a proposed decision.

OAC transfers the case to 1 of 3

Board member offices

Each Board

Member consecutively cast their vote on paper and in

CMS

The case is transferred to OCB for final review.

OCB converts the Word document to PDF and posts it on our website.

Decision is appealed in Court or EEOC?

OCB issues PFR decision

OCB sends a copy of the certified index and/or copy of the record to Court, EEOC, USPS, or

DOJ.

No further action by MSPB.

Case family is archived in CMS and paper file sent to NRC.

YES

NO

Board members may adopt

OAC proposed decision, draft another decision for the other

Board members’ consideration or write a separte opinion

Headquarters Adjudication

Petition for Review Process

7. An agency or appellant can file an appeal, known as a petition for review (PFR), to the 3-member Board in Washington, DC. Like initial appeals, PFRs may be filed by e-Appeal or in hard copy. PFRs are initially processed by MSPB’s Office of the Clerk of the Board

(OCB), who requests the paper case file from the regional or field office and creates a petition for review file to accompany the initial appeal file.

8. Once the relevant PFR pleadings have been filed, OCB transfers the case file to the

Office of Appeals Counsel (OAC), who reviews the entire record and drafts a proposed decision for the Board.

9. OAC transfers the paper case file and proposed decision to the Board Members, who sequentially vote on the proposed decision. The votes are recorded electronically in CMS and on a paper vote sheet.

January 2015

Request for Information: Converting to Electronic Adjudication at MSPB

10. The case file and adopted decision are then transferred to OCB, which issues the Board’s decision to the parties. The case file is then closed and retained on-site for up to one year before it is transferred offsite for storage.

Court Appeal Process

11. If the appellant is dissatisfied with the Board’s decision, he can file an appeal to an appropriate Federal district or appeals court. In these situations, MSPB may be required to make a copy of the official case file for the court and the Department of Justice, who typically handles court litigation for MSPB. If MSPB handles the litigation, it utilizes the

Federal Case Management/Electronic Case Files (CM/ECF) system for the submission of and access to pleadings and court orders. Any court documents which should also become part of MSPB’s case file must be manually saved to MSPB’s DMS and tracked through CMS.

Related Processes

1. Privacy Act: Appellants sometimes request copies of their case file pursuant to the

Privacy Act. MSPB currently produces copies of the case file in hard copy, even if all documents are available electronically. MSPB does not have a system in place to export electronic case files in a unified, electronic format.

2. Freedom of Information Act (FOIA): Similarly, individuals and organizations may request MSPB documents, and although appropriate redactions are completed electronically, MSPB then produces copies of documents in hard copy in response to

FOIA requests.

January 2015

Request for Information: Converting to Electronic Adjudication at MSPB

Appendix B: MSPB Offices Relevant to this RFI and their

Functions

MSPB is headquartered in Washington, DC and has six regional and two field offices located throughout the United States.

The Board Members, including the Chairman, Vice Chairman, and Board Member, are appointed by the President, confirmed by the Senate, and serve overlapping, non-renewable 7– year terms. No more than two of the three Board Members can be from the same political party.

The Board Members adjudicate the cases brought to the Board. The Chairman, by statute, is the chief executive and administrative officer. The Office Directors report to the Chairman through the Executive Director.

The Office of the Administrative Law Judge (ALJ) adjudicates and issues initial decisions in corrective and disciplinary action complaints (including Hatch Act complaints) brought by the

Special Counsel, proposed agency actions against ALJs, MSPB employee appeals, and other cases assigned by MSPB. The functions of this office are currently performed by ALJs at the

Federal Trade Commission (FTC), the U.S. Coast Guard, and the Environmental Protection

Agency (EPA) under interagency agreements.

The Office of Appeals Counsel (OAC) conducts legal research and prepares proposed decisions for the Board to consider for cases in which a party files a Petition for Review (PFR) of an initial decision issued by an administrative judge (AJ) and in most other cases decided by the Board.

The office prepares proposed decisions on interlocutory appeals of rulings made by AJs, makes recommendations on reopening cases on the Board’s own motion, and provides research, policy memoranda, and advice to the Board on legal issues.

The Office of the Clerk of the Board (OCB) receives and processes cases filed at MSPB headquarters, rules on certain procedural matters, and issues Board decisions and orders. It serves as MSPB’s public information center, coordinates media relations, operates MSPB’s library and online information services, and administers the Freedom of Information Act (FOIA) and Privacy

Act programs. It also certifies official records to the courts and Federal administrative agencies, and manages MSPB’s records systems, and website content.

The Office of the General Counsel (OGC), as legal counsel to MSPB, advises the Board and

MSPB offices on a wide range of legal matters arising from day-to-day operations. The office represents MSPB in litigation; coordinates the review of Office of Personnel Management

(OPM) rules and regulations; prepares proposed decisions for the Board to enforce a final MSPB decision or order, in response to requests to review OPM regulations, and for other assigned cases; conducts the agency’s PFR settlement program; and coordinates the agency’s legislative policy and congressional relations functions. The office also drafts regulations, conducts

January 2015

Request for Information: Converting to Electronic Adjudication at MSPB

MSPB’s ethics program, performs the Inspector General function, and plans and directs audits and investigations.

The Office of Information Resources Management (IRM) develops, implements, and maintains MSPB’s automated information systems to help the agency manage its caseload efficiently and carry out its administrative and research responsibilities.

The Office of Regional Operations (ORO) oversees the agency’s six regional and two field offices, which receive and process appeals and related cases. It also manages MSPB’s Mediation

Appeals Program (MAP). AJs in the regional and field offices are responsible for adjudicating assigned cases and for issuing fair, well-reasoned, and timely initial decisions.

January 2015

Request for Information: Converting to Electronic Adjudication at MSPB

MSPB Organizational Chart

CHAIRMAN MEMBER

General Counsel

Equal

Employment

Clerk of the

Board Administrative

Law Judge Regional Operations Appeals Counsel Policy and

Evaluation

Regional Offices Atlanta, Chicago, Dallas, Philadelphia, San Francisco, and Washington, DC

VICE CHAIRMAN

Field Offices Denver and

New York

Financial and

Administrative

Management Information

Resources

Management

Executive

Director

Human Resources Management services are provided by the U.S. Department of Agriculture’s (USDA), Animal and Plant

Health Inspection Service (APHIS) Business Services. Payroll services are provided by USDA’s National Finance Center.

Accounting services are provided by the Department of the Treasury, Bureau of the Public Debt.

The functions of the Administrative Law Judge (ALJ) are performed by ALJs employed by the Federal Trade Commission

(FTC), the U.S. Coast Guard, and the Environmental Protection Agency (EPA) under reimbursable interagency agreements.

U.S. Merit Systems Protection Board