OCC Case Management SOO.pdf

Office of Chief Counsel (OCC) Case Management System Replacement

Statement of Objectives (SOO)

pg. 1

1. Objective

The Office of Chief Counsel (OCC) legal staff conducts legal review over hundreds of documents annually for the FLETC Executive Team and Senior Management Staff, resulting in legal findings and opinions that are highly sensitive in nature. The OCC Document Manager is a FLETC-developed application, which provides the user interface, business process rules, and secure storage mechanisms necessary for securely tracking and storing the documents and the related metadata, including reviewer identification, document topical area, and relative dates related to the review of the respective document. The existing system is outdated and in need of replacement by a COTS solution.

2. Scope

The contractor shall provide a legal case management system that meets the following objectives:

• Case Creation and Management: Enable authorized agency personnel to efficiently create, track, manage, and report on legal cases through a secure, user-friendly web-based interface integrated with a robust database backend.

• Real-Time Access: Support real-time access to case information for authorized users.

• Data Integrity and Confidentiality: Ensure data integrity and confidentiality throughout the system.

• Workflow Automation: Facilitate workflow automation to reduce manual processing of legal cases.

• Comprehensive Search: Provide comprehensive search capabilities using various parameters.

• Document Management: Enable document management features, including uploading, editing, and attaching files to records.

• Audit Trail: Maintain a complete audit trail of all case activities and changes.

• Reporting: Generate timely, accurate scheduled and ad hoc reports to support decision-making and compliance with federal records management and security standards.

• Scalability: Ensure the solution is scalable to accommodate future growth and increased workload.

pg. 2

• User Capacity: Ensure there are no restrictions on the number of authorized users who can access and use the system consecutively.

• Role-Based Access Control: Support role-based access controls, restricting access to FLETC OCC staff only.

• High Availability: Maintain high availability to ensure uninterrupted legal operations, with system access 24/7 except for announced maintenance windows.

• Requester Case Status Visibility: Allow requesters to view the status of their individual cases as they progress through their lifecycle.

• Standardized Intake: Provide a single intake source and standardized data fields for all request types.

• Auto-Populate Doc/Case Number: Automatically populate document/case numbers based on request type; display as read-only.

• Attachment Flexibility: Allow attachments of all file types with no file size constraints.

• FISMA Compliance: Comply with all privacy aspects of the Federal Information System

Management Act (FISMA) for handling legally sensitive information, including PII.

• 508 Compliance: Ensure the system is compliant with Section 508 accessibility standards.

• CRUD Operations: Support create, read, update, delete, edit, and clone operations for records at any time as needed.

• Cover Sheet Generation: Generate or print a cover sheet for each case or document as needed.

• FLETC Organizational Data Integration: Ensure organizational data (such as organization codes and structure) are regularly updated from the primary enterprise database so that document management systems have access to the latest organizational structure and acronyms. This can be accomplished through API integration or import functionality.

• Export Reporting: Implement a mechanism for exporting report outputs to Microsoft Excel spreadsheets or Excel-readable CSV files, including column headers and full customization options.

• Data Filtering and Sorting: Enable filtering and sorting of data columns for easy data collection and review.

• Document Upload per Record: Allow documents to be uploaded for each record created.

• Case Assignment/Reassignment: Enable assignment and reassignment of cases based on topical area and staff workload.

• Attachment Addition Post-Closure: Allow additional files/attachments to be added to cases regardless of their status, including previously closed cases.

pg. 3

• Automated Notifications for Assignments: Auto-generate notifications to users for case assignments and reassignments via email.

• Automated Case Status Updates: Auto-generate case status updates and fulfillment details to requesters, with the ability to notify attorneys via email.

• Fiscal Year Crossover: Automatically route all new actions to the new fiscal year document numbers during FY crossover.

• Document numbers: Ensure the system allows for the regeneration and reuse of document numbers that become available when a record is deleted due to duplication or error.

• Document notifications: Ensure the system automatically sends a notification to the assigned attorney whenever a case document is opened, initiated, or created.

• Backup and Recovery: supports regular backups and disaster recovery procedures, with documented recovery time objectives.

• System Support: Provide user guides, training materials, and normal business hour helpdesk support for all users.

• Audit Trail: Automatically maintain system log entries for all CRUD actions, document uploads, and case assignments that are exportable for compliance review.

2.1 Suitability Requirements Table

OS001

System must comply with all privacy aspects of FISMA, Privacy Act, and NIST SP 800-53 controls, including PII protection.

Mandatory IT Support

US-

Compliance documentation;

security audit; privacy impact assessment completed.

OS002

System must meet Section 508 accessibility standards (WCAG 2.1 AA).

Mandatory IT Support

US-

Accessibility test results; VPAT provided; user testing with assistive technology.

OS003

Users can create, read, update, delete, edit, and clone a record, with all actions tracked in an audit log.

Mandatory Lawyers

US-

Functional test; audit log review; user acceptance.

OS004

Users can search for records using multiple parameters (e.g., case number, attorney, date range, status, keywords).

Mandatory Lawyers

US-

Search test; results accuracy; advanced search options available.

pg. 4

OS005

System supports scheduled and ad hoc reporting, with customizable filters and export options.

Mandatory Supervisor

US-

Report generation test; export to Excel/CSV; filter customization.

OS006

System can generate or print a cover sheet for any record, with customizable fields.

Nice to have

Program Analyst

US-

Cover sheet template available; print/export test.

OS007

FLETC Org Codes are updated from FRED Application (FEDB) regularly (e.g., nightly sync), ensuring latest org structure and acronyms.

Mandatory Program Analyst

US-

Sync test; org data accuracy; update frequency documented.

OS008

Access and roles restricted to FLETC OCC staff only, with role-based permissions and hierarchy.

Mandatory IT Support

US-

Access control test;

permissions matrix;

user role assignment.

OS009

Users can export any report output to Excel or CSV, with column headers and customizable fields.

Mandatory Program Analyst

US-

Export test; file format validation; header customization.

OS010

Data columns can be filtered and sorted for easy collection and review, including multi-column and custom views.

Mandatory Program Analyst

US-

Filter/sort test; user feedback; custom view creation.

OS011

Ability to upload documents for each record, supporting common file types (PDF, DOCX, XLSX, JPG, PNG) and size limits.

Mandatory Lawyers

US-

Upload test; file type/size validation;

attachment review.

OS012

Records can be edited at any time, with version history maintained for all changes.

Mandatory Lawyers

US-

Edit test; version history review; audit log validation.

OS013

Cases can be assigned/reassigned based on topical area and staff workload, with analytics dashboard for workload distribution.

Mandatory Program Analyst

US-

Assignment test;

dashboard review;

workload analytics accuracy.

OS014

Additional files/attachments can be added to any case, regardless of status (including closed cases), with audit trail.

Mandatory Lawyers

US-

Attachment test; audit trail review; closed case file addition.

OS015

System auto-generates notifications for case assignments/reassignments via email, using customizable templates.

Mandatory Program Analyst

US-

Notification test;

email delivery validation; template customization.

OS016

System auto-generates case status updates and fulfillment details to requester, with option to notify attorney by email.

Nice to have

Status update test;

email notification review; requester feedback.

pg. 5

OS017

At fiscal year crossover, all new actions automatically use new year document numbers, with clear numbering scheme.

Mandatory Program Analyst

US-

FY crossover test;

numbering scheme validation; new action review.

OS018

When deleting a record due to duplication or error, system can regenerate that document number for reuse, with administrator override and audit log.

Mandatory Program Analyst

US-

Deletion/reuse test;

audit log review;

admin override validation.

OS019

When a case document is opened/initiated/created, system sends notification to assigned attorney via email.

Mandatory Lawyers

US-

Notification test;

email delivery validation; attorney feedback.

OS020

System supports regular backups and disaster recovery procedures, with documented recovery time objectives (RTO/RPO).

Mandatory IT Support

Backup test; recovery procedure review;

RTO/RPO

documentation.

OS021

System provides user guides, training materials, and helpdesk support for all users.

Mandatory Program Analyst

Documentation review; training session completion;

helpdesk response test.

OS022

System is accessible from mobile devices (responsive design or dedicated app, if applicable).

Nice to have

IT Support Mobile access test;

user feedback; device compatibility review.

OS023

System maintains audit trails for all CRUD actions, document uploads, and case assignments, with exportable logs for compliance review.

Mandatory IT Support Audit trail test; log export review;

compliance check.

3. Performance Measures

The contractor should ensure that the system meets all stated objectives and can support legal operations with no more than one business day of downtime. The system shall be demonstrated in an operational environment prior to acceptance.

pg. 6

4. Place of Performance

Federal Law Enforcement Training Centers US Department of Homeland Security 1131 Chapel Crossing Road Glynco, Georgia 31524

5. Period of Performance

TBD

6. Contract Type

Firm fixed price

7. Deliverables

• All licenses, user manuals, warranties for all equipment and software.

• New functionality will be documented with the following diagrams: system design, logical design, and To-be process map.

• Project plan no later than 20 days after contract award.

• Weekly status update reports that summarize all outstanding work, issues, completed work.

These reports will start one week after the initial project plan has been delivered and accepted and continue until all work has been accepted by FLETC.

• Written documentation of deviations or exception to DHS and NIST security requirements.

pg. 7

• The inspection of deliverables shall be performed by the COR at the FLETC, Glynco, Georgia location.

• The general quality measures, as set forth below will be applied to each Deliverable received from the Contractor under this requirement. Any perceived conflict between quality measures referenced in this requirement and the quality measures listed below should be immediately reported to the Contracting Officer.

o Accuracy: Deliverables shall be accurate in presentation, technical content, and adherence to accepted elements of style.

o Format: Deliverables shall be submitted electronically and/or in a media defined in the requirement. The Deliverable format may change from sub-task to sub-task.

o Timeliness: Deliverables (required reports) shall be submitted no later than 3 days from due date.