RFI - REQINN-22-00-035 Case Management Software.pdf

RFI - REQINN-22-00-035 Case Management Software

THIS IS A REQUEST FOR INFORMATION (RFI) ONLY. This RFI is issued solely for information and planning purposes; it does not constitute a Request for Quote (RFQ) or a promise to issue an RFQ. A solicitation does not exist for this requirement. This is only an RFI, so please do not submit proposals. The Government does not intend to award a contract on the basis of this RFI. Furthermore, those who respond to this RFI should not anticipate feedback with regards to its submission; other than acknowledgment of receipt if a request for an acknowledgement is requested by the submitter. This RFI does not commit the Government to contract for any supply or service. The Department of Homeland Security, Office of Inspector General (DHS-OIG) is not at this time seeking proposals. Responders are advised that the U.S. Government will not pay any cost incurred in response to this RFI. All costs associated with responding to this RFI will be solely at the responding party’s expense. Not responding to this RFI does not preclude participation in any future solicitation. If a solicitation is released, it may be via the Government wide Port of Entry (GPE) at (http://www.bet.sam.gov). It is the responsibility of the potential offerors to monitor the website for any information that may pertain to this RFI.

The information provided in this RFI is subject to change and is not binding on the Government. All submissions become the property of the Federal Government and will not be returned.

Vendors must identify any proprietary information submitted in response to this Request for Information. The proprietary information must be clearly marked as proprietary.

Background

The DHS-OIG conducts independent and objective audits, inspections, and investigations to provide oversight and promote excellence, integrity, and accountability in DHS programs and operations. The DHS-OIG workforce of skilled and dedicated employees is the critical foundation of its effectiveness.

DHS-OIG’s Office of Innovation (OIN) provides data and cyber services to various offices within the OIG. In addition to those services OIN is also looking at tools that will move our modernization effort forward.

OIN is searching for a more efficient way to manage cases across OIG that will allow for smarter use of resources, better strategic alignment and decision making. A case management tool is central to this effort. An effective case management tool provides the OIG auditors, investigators, and leadership the ability to effectively manage, track, and prioritize OIG’s cases and audits to ensure success across offices and ultimately drive strategic plans forward.

Purpose and Objectives

The DHS-OIG is seeking information from vendors who can responsively provide information for a case management tool. This RFI is intended to obtain information about current industry capabilities and performance for case management products.

Case Management Functional Requirements

The Office of Innovation (OIN) is seeking Case Management capabilities that will facilitate auditors, investigators and leadership with balancing resources, records, projects, cases and across the entire DHS-OIG case portfolio to promote well-informed case selection. The Case Management functional capabilities that OIG needs for Audits, Inspections and Evaluations and Compliance Reviews are outlined in Table 1 in the following categories:

• Workflow Management

Automate initiation and tracking of activities associated with an end-to-end business process based on business rules and advance the process forward through each activity for action.

• Evidence and Workpaper Management

Collect and manage evidence and case/project workpapers.

• Document/ Data/ Records Management http://www.bet.sam.gov/

Manage all phases of a document lifecycle (e.g. create, store, search, retrieve, modify, and retain) in support of cases/projects and maintenance of formal and temporary records in accordance with NARA and OIG requirements.

Table 1 – Case Management Functional Requirements

1. Workflow Management High

Priority Nice to Have

Offering Provides?

Workflow Templates: Create and manage standardized, reusable workflows for different types of cases/projects based on their attributes and/or business rules and applicable standards. Provide the capability to:

1.1 enable non-technical users to create, maintain and export standard workflow templates for different types of cases/projects based on the case attributes, and/or business rules, such as for audit plans, audit survey guides, inspection reports, including activities for planning, report drafting, review and approval, report “indexing and referencing”, report packaging, report publication/ distribution, report recommendation dispute, and recommendation closeout

X

1.2 enable assignment of standard timelines/ durations for major activities within a workflow X

1.3 enable activities within a workflow to be conducted by multiple users simultaneously X

1.4 use multiple workflows within the same case/project X

1.5 maintain version control on workflow templates X

1.6 enable workflow templates to link to standard document templates used in the workflows X

Workflow Assignment: Enable assignment of workflow templates to generate cases/projects and standard activities based on business rules or case/project characteristics (e.g. title, description, DHS Component, priority, risk profile). Provide the capability to:

1.7 enable customization of details, and generation of a unique case/project number. X

1.8 open and close cases/projects; place a case/project on hold (pause and resume a case, leaving it open) or archive a case/project. Cases/projects are not closed until all actions on the Corrective Action Plan submitted by the auditee are completed and approved by OIG

1.9 automatically generate workflows for each major activity in a case/project process based on OIG’s business rules for audits, inspections and evaluations and compliance reviews that may include activities such as project startup; planning; evidence collection and supervisory review;

report drafting; report review, edit and comment; recommendation and follow-up; project closure.

1.10 establish expected timelines/ schedules for major activities within the workflows. X

1.11 automatically select document templates and insert information into documents based on the case/ project attributes and/or specified business rules.

1. Workflow Management High Priority

Nice to Have

Offering Provides?

Resource Assignment: Assign personnel resources to workflows and enable views of staffing for reporting and analytics. Provide the capability to:

1.12 enable staff assignment and changes to case/project activities by non-technical personnel X

1.13 enable creation and maintenance of staff profiles, e.g. name, email address, location, skill sets, certification X

1.14 view work assignments and due dates by person or by team X

1.15 track case/project workload to determine staff availability for additional assignments X

Workflow Tracking: Track and display/report workflow status and advancement of workflow; provide performance analysis and metrics for cases/ projects and staff. Provide the capability to:

1.16 measure and track elapsed time of activities to help identify operational efficiency and bottlenecks X

1.17 track and report work progress against benchmark timelines X

1.18 transfer/export case/project data to support reporting of lifecycle metrics and analysis X

1.19 manually override automated activities in a workflow X

1.20 report/view case/project history of workflow actions taken including users and dates of action at both a summary and detailed level X

1.21 report/display current workflow status X

Alerts, Notifications and Reminders: Provide personnel with alerts, notifications, or reminders when key status changes occur, outstanding actions need to be performed, or when key actions have been taken on a case/project to which they are assigned. Provide the capability to:

1.22 issue reminders/ notifications of upcoming or overdue actions X

1.23 enable users to subscribe and unsubscribe to alerts (e.g. for changes to data, documents, attachments) X

1.24 enable users to use hyperlinks within an alert to quickly navigate to the case/project (open/closed/archived) X

Action Tracking

1.25 track status and resolution of action items (e.g. field interviews, recommendations, issues, daily action items) associated with a case/project

2. Evidence and Workpaper Management High Priority

Nice to Have

Offering Provides?

Evidence Capture and Analysis: obtain, upload, store, catalog and track the collection of documents and other digital forms of evidence pertaining to a case/project (e.g. text documents, pdfs, images, data sets, audio, video). Provide the capability to:

2.1 request evidence pertaining to a case/project from sources external to OIG X

2.2 track the status of requests for documents or data, and receipts of documents/ data from sources external to OIG, including those received during the recommendation closeout phase of a case/ project

2.3 automatically send reminder messages to sources when requested evidence is not received by the deadline X

2.4 associate documents received from an auditee to the request for documents/ data X

2.5 enable creation of hyperlinks to the evidentiary artifacts that support the report X

2.6 enable “indexing” of documents, linking statements to evidence that supports the statements X

2.7 enable “referencing” of reports, providing a method for an independent reviewer to “validate” and signoff on each reference/ link to evidentiary artifacts that the report author identified as supporting evidence

Workpaper Management: provide the capability to create, upload, update, tag, access, and associate artifacts and data pertaining to a case/project. Provide the capability to:

2.8 tag artifacts and data pertaining to a case/project, for example the purpose, source, scope, and conclusion (PSSC) X

2.9 create and maintain standard templates for documents required for cases/projects, such as Engagement Memos, Audit Plans, Draft Reports, Memorandum of Record

2.10 link documents, unstructured data, and metadata to a case/project X

2.11 enable creation and maintenance of notes (e.g. notify supervisors to review evidence, coaching notes, approvals) associated with case/project artifacts X

3. Document/Data/Records Management High Priority

Nice to Have

Offering Provides?

Case/Project File Repository: create, search, retrieve, and modify all file types (e.g. workpapers, reports, evidentiary documents) related to cases/projects in a structured repository and maintain version control of those files and their contacts. Provide the capability to:

3.1 create a structured repository of cases/projects to store artifacts (e.g. letters, forms, reports, documents) X

3.2 manage multiple file types (e.g. documents, spreadsheets, pictures, videos, sound files, web pages) for cases/projects/ X

3.3 manage the upload of files into the structured cases/projects repository X

3.4 enable access, retrieval, viewing, printing of case/project-related information based on case/project assignments and associated roles, including imported files (e.g. imported or scanned documents, presentations, spreadsheets, data, audio, pictures, video, email, chats, web pages; file types including, but not limited to, doc/docx, pdf, txt, rtf, ppt/pptx, xls/xlsx, csv, xml, jpeg, mp3, mp4, html)

Document Templates: create, update, maintain, store and archive document templates. Provide the capability to:

3.5 enable the creation, update, maintenance, storage and archival of document templates that can be used for OIG business processes, such as document templates for Engagement Memos, Audit Reports, Management Alerts

3.6 maintain version control of document templates X

3.7 assign standard document templates to workflow templates X

3.8 notify staff of newly published document templates X

3.9 enable use of standard document metadata for document templates X

Artifact Metadata: enable automatic or user generation of artifact metadata to classify and attribute documents and ensure documents are retrievable, Provide the capability to:

3.10 tag documents to support retrieval of artifacts based on user-generated tags X

3.11 support automatic generation of document/ artifact metadata based on actions taken (e.g. date of upload/creation, individual who uploaded/created the file) and on associated business rules

Document Creation, Review, Edit and Versioning create, review and edit documents with automatic version control to include tracking of reviewer comments and edits. Provide the capability to:

3.12 create documents based on document templates, where applicable X

3.13 enable the use of active hyperlinks in documents X

3.14 enable multiple users to view and modify (or markup) documents at the same time X

3.15 provide versioning and version control of case-related documents and enable recovery of all versions X

3.16 track changes and comments to documents by editor/ reviewer and make changes viewable to authorized users X

Priority

Nice to Have

Offering Provides?

Federated Search: enable queries and full text search within a given case/project file and across the case/project file repository and the knowledge repository. Provide the capability to:

3.17 search structured and unstructured case/project-related data to return the most relevant results for the specified search criteria X

3.18 search the knowledge repository to return the most relevant results for the specified search criteria X

3.19 enable retrieval of data and documents using keywords, tags, or full text X

Knowledge Management: create and manage repositories containing institutional knowledge and information aids for system users. Provide the capability to:

3.20 create and manage an easily referenced repository containing institutional knowledge (e.g. policies and procedures, legal opinions, past legal guidance and treatments, lessons learned, best practices, vetted talking points, auditing/inspections/investigations standards) and standardized work product templates

3.21 create and manage a repository of job aids for self-service access by users (e.g. Frequently Asked Questions [FAQs], tips, resolved issues, operating procedures)

Stakeholder and Correspondence Management: create, store, and maintain case/project-related correspondence with internal and external stakeholders. Create, store and update information on OIG internal and external entities involved in OIG cases/projects. Provide the capability to

3.22 support preparation, review, transmittal, disposition and logging/ reporting of case/project-related correspondence and its attributes (date of issuance, title of issuance, individual(s) to whom the correspondence was delivered, and the method of delivery)

3.23 store and update information on OIG internal and external entities involved in OIG cases/projects (e.g. points of contact, organizations, email addresses, dates of contact), and the relationships among entities

Records Management: manage the lifecycle of OIG temporary and permanent records. Provide the capability to:

3.24 monitor and review access rights and permission rules X

3.25 securely capture and store records of OIG audits, inspections and evaluations and compliance reviews, including all related events and actions, with adequate capacity to store records for as long as needed

3.26 associate records with their approved records schedules to ensure that records are usable (locatable, retrievable, understandable, etc.) X

3.27 manage all phases of a record lifecycle to facilitate search, retrieval, and export (e.g. for FOIA), to categorize records as essential, to control access and track changes in an audit log

3.28 capture required metadata for permanent records that will be transferred to NARA in a readable, searchable CSV file, maintaining a link between records and required metadata, to support NARA transfer formats

3.29 support record disposal based on the approved records schedule in a X

Priority

Nice to Have

Offering Provides?

manner that protects sensitive, or proprietary information

3.30 support a disposition freeze against a record and resume disposition processing when the freeze is lifted X

3.31 support transfer of permanent records to NARA in accordance with their records retention schedules along with adequate transfer documentation and the record format independent of specific hardware or software

3.32 retain case/project data as required by federal and OIG records retention standards and/or business rules X

3.33 generate reports demonstrating adequate audit trails, and compliance with NARA and privacy and information security requirements and provide the ability to design and generate customized reports

Case Management Non-Functional Capabilities:

OIG is requesting information on non-functional capabilities that would support DHS-OIG’s Audits, Inspections and Evaluations and Compliance Reviews as shown in Table 2 below.

Table 2 - Case Management Non-Functional Capabilities

Non-Functional Capability How Does your Offering Address This Capability?

1. Deployment Options

Deployment options (e.g. cloud, data center, Software as a Service) for your case management offering. If cloud or Software as a Service, identify specific cloud(s) and FedRAMP certification level.

2. Security and Privacy Controls

Security and privacy controls built into your case management offering, such as Role Based Access Control.

3. Backup and Failure Recovery

Backup and failure recovery processes for your case management offering that support high availability.

4. Case Data and Metadata Export

Export case data and metadata pertaining either to individual cases or to all cases to use for reporting, analytics, and records management. Include a description of your case management offering’s case data and metadata documentation that is available to customers.

5. Legacy Data Import

Tools and/or services included as part of your case management offering to assist customers in importing legacy case data into your offering.

6. Government Ownership of Case Data

OIG requires full ownership of all its case data. If OIG decides to transition to a different case management product in the future, describe how all government data can be exported from your case management offering in a well understood and usable format to import into a different case management offering.

7. User Experience

Features that simplify and enhance the user experience for all types of users, including auditors, investigators, administrators, and executive managers.

8. Performance Enhancement

Non-Functional Capability How Does your Offering Address This Capability?

Features that enhance performance, including user response time, case updates, search queries, etc.

9. Application Programming Interfaces (APIs)

APIs provided by your case management offering to enable communications, data exchanges and integration with other systems.

10. Product Updates

Frequency of updates, the time required to perform the updates, and the usual purposes for the updates for your case management offering.

11. Implementation Approach

Best practices for implementing your case management offering, such as your trained implementation and integration partners, agile implementation process, legacy system transition methods.

12. Operational Support

Operational support provided for your case management offering.

13. Reporting and Analytics

Reporting and analytics capabilities that are included in your case management offering. Describe features of your case management offering that enable customers to apply external reporting and analytics tools to data pertaining to individual cases and to data pertaining to all cases in the system.

Information Requested:

Interested parties should submit a written response which addresses the following topics:

Volume I

1. Organization information: Provide the organization's name and full address, point of contact, email address, and phone number. Include information about your firm’s size and any small business designations.

2. Small Business Information: Please provide the business size status of your company based on NAICS 511210 Application Development and Publishing (except on a custom basis), with a business standard of $38.5. Clearly indicate all that applies, for example, whether your business is a Large Business, Small Business, Women Owned - Small Business (WOSB), Veteran Owned/Service Disabled Veteran Owned Small Business (SDVOSB), 8a, or HUBZone.

3. GSA Schedules or Other GWACs: Vendors with a General Services Administration (GSA) schedule or other type of Government Wide Acquisition Contract (GWAC) award or schedule, which is available to the DHS-OIG for the procurement of the proposed product/service, should provide the full description of that award or schedule, award number of that contract or schedule, the Contracting Officer’s complete address, phone number, and other descriptive information.

Volume II

1. Capabilities: Provide a description of your capabilities and complete product information. Include Table 1- Case Management Functional Requirements. In Table 1, state in the right-most column if your offering provides the requirement. Also include Table 2, Case Management Non-Functional Capabilities, and describe in the right-most column how your offering addresses each capability.

2. Approach: Your Capability Statement should provide a clear overview confirming your understanding of and willingness to provide the product/service as outlined in the objectives listed in this RFI.

Submission of Information Requested:

Any submitted response must include all requested information.

Volume I - Responses for Volume I shall be limited to 10 pages, (U.S. letter size paper 8.5” x 11”), (Single- Sided), single spaced, 12-point font size and should include information such as Organization Information, Small Business Information, and GSA Schedules/Other GWAC Information as described above.

Volume II - Responses shall be limited to 50 pages (U.S. letter size paper 8.5” x 11”), (Single-Sided), single spaced, 12-point font size and should include information of your company’s capabilities and approach.

Submit responses via email no later than June 27, 2022, 10:00 AM (EST) to the point of contact listed below. The subject line of the submission must read “Response to the RFI - REQINN-22-00-035 Case Management Software”. Submit responses and attachments in PDF format.

Submit questions regarding the RFI, no later than June 15, 2022, 10:00 AM (EST) to the point of contact listed below.

SOURCES SOUGHT: Responses from large and small businesses are encouraged, however, in accordance with FAR 19.5, set asides for small business; the government will review the information in this announcement to determine the type of set aside (if any) for this requirement. Please provide the size status of your company based on NAICS 511210 - Applications development and publishing, except on a custom basis, with a size standard of $38.5. Source Sought information shall be included in Volume I.

The Government reserves the right to contact, or not contact, any party responding to this notice to obtain further information for market research purposes. The government will not notify respondents of the results of the evaluation of the information received and will not return submittals to the sender.

Responses to RFI may be sent via electronic mail to:

Sheri Brooks, Contracting Officer, sheri.brooks@oig.dhs.gov