SOW Efiling_Court Management_08212023.pdf

Federal Maritime Commission Office of the Secretary

STATEMENT OF WORK

(Proposal Version 06.21.2023)

FMC SOW Page 2 of 27 6/21/2023

SECTION 1: INTRODUCTION

1.1 PURPOSE

1.2 SCOPE

1.3 BACKGROUND

1.4 CONTRACT TYPE

1.5 PERIOD OF PERFORMANCE

1.6 PLACE OF PERFORMANCE

1.7 BACKGROUND INVESTIGATIONS

SECTION 2: REQUIREMENTS

2.1 REQUIREMENT #1: E-FILING

2.2 REQUIREMENT #2: DOCKET/CASE CREATION

2.3 REQUIREMENT #3: COURT DOCKET/CASE AND NOTATION VOTING MANAGEMENT

2.4 REQUIREMENT #4: MEETING/HEARING AND ACTIVITY MANAGEMENT

2.5 REQUIREMENT #5: DATA/RECORD AND DOCUMENT MIGRATION

2.6 REQUIREMENT #6: LICENSE RENEWALS & SOFTWARE UPGRADE SUPPORT

2.7 REQUIREMENT #7: DATABASE ADMINISTRATION & TRAINING

2.8 REQUIREMENT #8: HELP DESK/TECHNICAL SUPPORT

2.9 REQUIREMENT #9: PROVIDING SYSTEM ENHANCEMENTS

2.10 REQUIREMENT #10: PROVIDING SECURE HOSTING ENVIRONMENT

2.11 DELIVERABLES AND DELIVERY SCHEDULE

SECTION 3: STAFFING AND RESPONSIBILITIES

3.1 FMC

3.1.1 Staffing

3.1.2 Responsibilities

3.1.3 Time and Deliverable Tracking

3.1.4 FMC-Furnished Equipment

3.2 SUPPLIER/CONTRACTOR

3.2.1 Staffing

3.2.2 Responsibilities

3.2.3 Status Reports

3.2.4 Program Cost Tracking System (PCTS) – Time and Deliverable Tracking

3.2.4.1 Time and Materials Type Contracts

3.2.4.2 Firm Fixed Price Type Contracts

3.2.5 Education and Awareness for Contractors

3.2.6 Invoice Process

3.2.7 FMC-Furnished Equipment/Property

3.2.8 Transmission of Information Resources to the Supplier/Contractor

3.2.9 Travel

3.2.10 Transition Plan and Execution

SECTION 4: INTELLECTUAL PROPERTY

SECTION 5: CONTRACTOR KEY PERSONNEL

SECTION 6: KEY DELIVERABLES

SECTION 7: FMC CONTACTS

FMC SOW Page 3 of 27 6/21/2023

SECTION 1: INTRODUCTION

1.1 Purpose

The Office of the Secretary (OS), Federal Maritime Commission (FMC or Commission), has a requirement for a fully integrated electronic e-filing/court docket/case management and notation voting system to be used by the Commission’s employees, parties to Commission docketed/cases or proceedings, and the general public.

1.2 Scope

The requirements of the contract include securing and configuring an appropriate electronic e-filing/court docket/case management/voting system; customization to meet FMC needs, data/record migration, hosting of the application and database in a FedRAMP-certified cloud infrastructure environment;

operations and maintenance, database administration, technical support and training, and project management.

Procurement of an integrated, e-filing/court docket/case management and notation voting system solution, hosting, and support that provides:

1. a web-based portal/interface that allows a filer/party to securely and directly submit and authenticate their identity and contact information; provide case information using system-generated, fillable forms with customized drop-down menus; submit docket/case files (public and non-public documents) into the system; view, print, and download files; and pay filing fees;

2. capability for staff to capture critical key information directly from the parties to automatically populate future FMC-generated orders/notices;

3. support to parties that are not represented by an attorney (pro se litigants);

4. a back-office interface that will support all FMC staff responsibilities including processing, managing, and serving all docket/case documents received or created by the OS, Office of the Administrative Law Judges (OALJ), and other FMC component offices;

5. a web-based portal/interface to replace the FMC’s current Electronic Reading Room allowing the general public to view, search (in natural language), print, or download non-confidential documents filed and posted in each docket/case;

6. a responsive web design (RWD) to ensure the content accessed via the web-based portals/interfaces correctly and uniformly display on a variety of devices, platforms, and screen sizes;

7. capability to facilitate, track, record, and report official actions/votes of the five Commissioners pertaining to both adjudicatory and on non-adjudicatory dockets/cases or policy issues;

8. secure access from any location including secure access for filers/parties to proceedings, or Commission staff that may be located outside the United States;

9. cloud-based hosting and maintenance, and support to include incident reporting, tracking and resolution, as well as system updates, upgrades, and patching;

10. ongoing compatibility with integrated applications when those applications are updated (e.g., Microsoft Word, Adobe, etc.);

11. initial and on-going training of FMC staff; and

12. system and training documentation based on customization of solution specific to the FMC.

1.3 Background

The requirements defined in this SOW will be accomplished through an award. The OS is responsible for receiving, processing, and managing the FMC’s adjudicatory and non-adjudicatory proceedings that are governed by the Commission’s Rules of Practice and Procedure found in 46 CFR Part 502. The Commission’s OALJ adjudicates formal and informal complaints, and Commission-initiated enforcement https://www.ecfr.gov/current/title-46/chapter-IV/subchapter-A/part-502

FMC SOW Page 4 of 27 6/21/2023 actions received from the OS, and issues initial decisions. The five Commissioners review and take action/votes on all OALJ initial decisions, as well as staff non-adjudicatory and policy recommendations.

The Commission does not have an integrated electronic e-filing/court management system, nor an integrated electronic system to facilitate, track, record, and report official actions/votes taken by the Commission. In May 2020, the FMC transitioned to electronic dockets and no longer maintains paper case files. At that time, it also began using Microsoft Outlook to circulate, track, and record Commission actions and the five Commissioners’ votes.

Current docket/case management process: The FMC currently uses a largely manual process supported by MS Outlook, Adobe Acrobat Pro, and Microsoft Word to manage its docket/case files and due dates. It uses electronic document repositories to store, search (using natural language), and retrieve these files. Since May 2020, documents have been stored on SharePoint, with older files stored in an SQL database accessible via Laserfiche (Laserfiche WebLink Version: 9 Service Pack 1 (9.0.1.275)).

Documents are received as either an attachment to an email or in paper form by United States Postal Service/courier. Once deemed acceptable for filing, email filings are uploaded into an electronic document repository, and paper filings are scanned/digitized and uploaded into the repository. A manual process is used to assign sequential docket numbers to new cases, generate captions, calculate due dates, and establish and maintain an electronic docket log for each case. Cases are tracked and workload and performance reports are manually generated. Microsoft Outlook, Adobe Acrobat Pro, and Microsoft Word are used within the FMC to receive or serve case documents, further process (e.g., generate documents), distribute, or circulate case documents internally (among FMC component offices) and externally (parties to the case). Calendars and reports are manually created and maintained by the OS and the OALJ using Microsoft Outlook/Word/Excel.

Currently, the OS and the OALJ process approximately 50 dockets/cases per year. This number is projected to increase each year. The number of documents filed in a docket/case range from 5-275. The OS facilitates, tracks, and records approximately 90 notation items per year requiring action/vote by the Commission, which also is expected to increase. The solution must support all administrative and legal roles and activities of the OS, OALJ, and the five Commissioners, including standardized and ad hoc reporting.

Types of Docketed Proceedings/Cases Include:

• Private party complaints: Any person may file a formal complaint alleging a violation of Shipping statues or FMC regulations. Formal complaints are assigned to an Administrative Law Judge (ALJ) within the OALJ who manages the case and issues an initial decision which is then reviewed and may be acted on by the five Commissioners as a group similar to an appellate court’s review of a district court decision. Filers are required to pay a user fee via pay.gov or paper check when filing the complaint.

• Small claims complaints: An informal complaint may be filed for claims of $50,000 or less. The case is assigned to a Small Claims Officer (SCO) within the OALJ who manages the case and issues a decision which is then reviewed and may be acted on by the five Commissioners as a group. Filers are required to pay a user fee via pay.gov or paper check when filing the complaint.

• FMC-initiated adjudicatory/enforcement actions (Orders of Investigation and Hearing, Adjudicatory Fact Findings, and Orders to Show Cause): The Commission may investigate the activities of regulated entities to ensure compliance with Shipping statues and Commission regulations. Orders of Investigation and Hearing are assigned to an ALJ within the OALJ for case management and issuance of an initial decision which is reviewed and may be acted on by the five Commissioners as a group. In addition, Adjudicatory Fact Findings are assigned to a Fact Finding Officer for issuance of findings and recommendations that are acted by a vote of the five

FMC SOW Page 5 of 27 6/21/2023

Commissioners. Further, Orders to Show Cause can be assigned to an ALJ or the five Commissioners as a group.

• Initiate, amend, or repeal a rule: Any interested party may file a petition for the issuance, amendment, or repeal of an FMC rule/regulation. The Commission may also initiate via a vote of the five Commissioners the issuance, amendment, or repeal of a rule through the public notice and comment process. (Note: As of October 2022, FMC moved to Regulations.gov for all future rulemaking dockets, therefore data migration and search capabilities are needed for historical rulemaking documents only).

• Non-adjudicatory actions (Fact Finding Investigations): Upon petition or by FMC-initiation, the Commission may initiate by a vote of the five Commissioners a non-adjudicatory Fact Finding Investigation to examine and gather information about existing or emerging industry practices or activities that may require further and more formal Commission action.

• Charge complaints: The Commission may investigate information concerning complaints about charges assessed by common carriers that may not comply with its regulations. Formal Orders to Show Cause are issued and decided by the Commission via a vote of the five Commissioners.

Electronic Reading Room: The OS is responsible for managing the organization and content of the Commission’s public-facing website, including the content posted and maintained in the FMC’s Reading Room (https://www2.fmc.gov/readingroom/ProceedingSearch). The Reading Room is a web-based application that contains all docket logs and the related postings in each respective FMC proceeding/case (both closed and active). A website content management tool is used to generate new docket logs and post filings/documents (from the electronic document repositories) to respective docket logs. This website content management tool is not digitally integrated with the FMC’s current, mainly manual docket/case management system, or digitally integrated with its electronic document repository where its docket/case files are stored.

Current voting/notation system: The FMC currently uses a manual process supported by Microsoft Outlook, Adobe Acrobat Pro, and Microsoft Word to facilitate, track, record, and report official actions/votes of the Commission. The Commission takes action/votes on all adjudicatory (docketed cases) and non-adjudicatory issues (e.g., policy matters, rulemakings, etc.). This process is governed by recordkeeping requirements under the Government in the Sunshine Act, 1976.

In addition to a simple vote of “Yea” or “Nay”, a vote may include comments for the record, specific amendments to a recommended action, and/or a written concurrence or dissent for publication with the official Commission (majority) action. Voting records are stored in Microsoft Outlook, SharePoint, or Laserfiche (depending on the year the vote was concluded). The size of all data stored in Laserfiche (historical documents including but not limited to voting records) is 500 GB. The size of the data currently stored in SharePoint is approximately 11 GB, and growing, as this is the location for ongoing storage of the Commission’s docket/case files and voting records.

Storage of active and historical data/documents: The FMC’s dockets/cases and notation files/documents are currently stored in electronic document repositories and copies placed within an FMC web-based application (EReading Room) linked to its main public-facing website. As stated in the paragraph immediately above, approximately 11 GB of data are stored in SharePoint and approximately 500 GB of data are stored in Laserfische.

1.4 Contract Type

Firm-Fixed Contract Type for Purchase of web-based solution https://www2.fmc.gov/readingroom/ https://www2.fmc.gov/readingroom/ProceedingSearch

FMC SOW Page 6 of 27 6/21/2023

Time and Materials for Customization of Web-based Solution, Data Migration, and Cloud Hosting & Application Maintenance (including license renewal)

1.5 Period of Performance

Purchase of Web-based Solution:

Base Year: September 25, 2023, through August 31, 2024

Option Year 1: September 25, 2024, through August 31, 2025 Option Year 2: September 25, 2025, through August 31, 2026 Option Year 3: September 25, 2026, through August 31, 2027 Option Year 4: September 25, 2027, through August 31, 2028

Customization of Web-based Solution (including System Enhancements):

Option Year 1: September 25, 2024, through August 31, 2025 Option Year 2: September 25, 2025, through August 31, 2026

Data Migration:

Option Year 1: September 25, 2024, through August 31, 2025 Option Year 2: September 25, 2025, through August 31, 2026

Cloud Hosting & Application Maintenance (including license renewal):

Option Year 1: September 25, 2024, through August 31, 2025 Option Year 2: September 25, 2025, through August 31, 2026

1.6 Place of Performance

The work will take place at the following primary locations: FMC Headquarters in Washington, D.C., or at the vendor’s location.

1.7 Background Investigations

Background investigations will be conducted on each Federal employee and service contractor in accordance with 5 C.F.R. 731.104. The supplier/contractor’s personnel may need to gain access to the FMC computer environment, sensitive information, or receive facility badges. In these cases, supplier/contractor personnel are required to obtain a background investigation that is required for extended engagements (more than 180 days) on FMC premises.

Typically, this appointment will require a Tier 2 Non-Sensitive Moderate Risk Public Trust background investigation. New Tier 2 investigations take approximately 60 days to complete once the appropriate documents are provided. Personnel with an existing Tier 2 or higher investigation may be granted reciprocity for a favorably adjudicated background investigation. In these instances, a new investigation may not be required. Reciprocity can take up to two weeks to process.

FMC SOW Page 7 of 27 6/21/2023

The COR will coordinate the background investigation requirements with the vendor’s personal office and the FMC’s Office of Human Resources (OHR).

SECTION 2: REQUIREMENTS

This section provides the technical and functional requirements that the OS has identified for a completely integrated, e-Filing, court docket/case management/notation voting system to support the day-to-day activities of the OS and OALJ.

The supplier/contractor is to provide a detailed response for how the proposed solution would meet and comply with the requirements as stated, as well as provide the level of effort; how the requirements are accomplished, for instance through out-of-the-box features and functionality and/or the need for configuration or customization; whether there would be a need for third-party software or plug-ins; if there are steps that would need to be performed outside of the system; and processes and procedures in place for system support and maintenance, for instance incident reporting, tracking, and resolution, as well as system updates, upgrades, and patching. Supplier/contractor must not provide white papers, links to websites, or canned documents as the only detail for its response to the requirements.

An assessment and evaluation of each supplier/contractor’s response will be performed to determine the most complete solution that best meets the requirements. Based on the results of the assessment and evaluation a supplier/contractor will be selected and awarded a contract.

The solution must have the following minimum “out of the box” or customizable capabilities:

• The ability to report (both routine and ad hoc), search, and perform standard and ad hoc queries to retrieve data entered on the system and display case status and aggregate information in traditional formats, such as tables and graphs.

• E-Filing features for parties to proceedings to file documents electronically and submit information that integrates seamlessly into the system screen and data entry procedures.

• An analytics feature, based upon preconfigured datasets, that provides visual depictions of data that provides the ability to modify the visual presentation and drill down on dimensions and measures.

• The ability for FMC customers to access e-Filing options and web-posted adjudication results on the web with mobile devices and smart phones.

• A document management feature embedded in the solution that permits the sharing, editing, processing, and serving of documents across the platform, depending upon the FMC docket/case or voting process.

• Ability to store, track, retrieve, manage, and have capability to generate workload and performance reports on all aspects of the FMC docket/case and voting processes, and must be configured for mobile applications, such as smart phone and tablet users.

• Capability to transmit emails from the system and perform other customer service type functions for FMC employees and parties to proceedings under various conditions, triggered by information that is entered into the system, or as executed by authorized FMC employees.

2.1 Requirement #1: E-Filing

Description: The technical approach for e-Filing is outlined below. The supplier/contractor’s response must demonstrate that the proposed system has the capabilities to provide a fully complete e-Filing solution at a level to support the work activities of the OS and OALJ.

1. Solution includes an integrated web-based portal e-Filing system.

FMC SOW Page 8 of 27 6/21/2023

2. Ability to authenticate and restrict ability to submit filings in a docketed/case to only authorized parties.

3. Ability to meet all government security requirements for passwords.

4. Ability of any user to register for an account, initiate a case, and submit documents to the OS and OALJ.

5. Ability of any user to have a final review of all documents before submission, including error messages and reminders.

6. Ability of designated representative(s) of the OS and OALJ to review the documents attached to the case before approving or rejecting a new case.

7. Ability to route docket/cases to the assigning official for assignment, and to provide a task/Work Queue for individual staff, and a task/Work Queue by docket/case.

8. Ability of designated representative(s) of the OS and OALJ to change information on a new case request, such as case type, before approving.

9. Ability to allow authorized users to file a new document (including attachments) electronically only to cases in which they are a party.

10. Ability to receive and accept a request to appear/participate, e.g., make an amicus filing, by a non-party in a docket/case.

11. Ability to allow authorized users to view, download and/or print any document(s) filed only in a case to which they are a party.

12. Capability to accept multiple document formats for submissions, including, but not limited to pdf, .tiff, .xls, .xlsx, .doc, .docx, .ppt, .pptx, .jpg, .bmp, and .txt.

13. Capability to accept multi-media submissions in differing formats.

14. Capability to accept multiple documents as a single filing.

15. Capability to convert and store for retrieval documents in a common protected format.

16. Capability to apply and keep a record of the date and time (in the Eastern U.S. time zone) along with individual’s name or ID for each document that is filed.

1. Capability to back date and time stamp paper documents when they are scanned into the system after they are received in hard copy.

17. Capability to scan filings/documents for potential viruses.

18. Ability of designated representative(s) of the OS and OALJ to manually create and add a docket/case number from a case started prior to the initiation of the solution for inclusion in the solution and back date/time stamp previously accepted paper documents that are converted from docket/cases started prior to the initiation of the solution.

19. Capability for OS or OALJ to automatically serve any document on the party[ies] to a case electronically (e.g., to an email address) and provide notification (via email or text messaging) that the document was sent.

20. It is anticipated that some parties may be unable to file documents electronically and may, instead, file documents with the OS and OALJ in hard copy. It is anticipated that those documents will need to be electronically scanned and uploaded into the solution by the OS and OALJ staff.

1. Ability of designated representative(s) of the OS and OALJ to file electronically any documents received in hard copy and designate which party is to be listed in the solution as the filer and specify the filing date and time.

21. The solution ordinarily must not allow a document filed by a user to be withdrawn later.

1. Exceptions and overrides of this rule must be available to designated persons in the OS and OALJ.

22. The solution must allow an authorized user when filing, to designate a document as restricted from viewing by the public, but accessible to the parties in the docket/case and the Commission’s designated staff. The solution should also require and prompt the user to file a public version of this document that will be available to the public.

23. Capability to assist filers with guided online instructions (tutorials).

1. Capability to illustrate and demonstrate filing instructions and deadlines.

2. Capability to illustrate and demonstrate document format requirements.

3. Capability to illustrate and demonstrate filing process.

4. Capability to provide online forms for filing directly into the e-Filing process.

24. Capability to accept e-Filing fees.

FMC SOW Page 9 of 27 6/21/2023

25. Capability to accept large filings >5GB at one time.

26. Capability to allow timestamp in the format - (MM-DD-YY and hh:mm) - Eastern Time Zone -for any document filed.

27. Capability for the system to accept filings from multiple devices such as computer, laptop, mobile phone, or tablet device.

2.2 Requirement #2: Docket/Case Creation

Description: The technical approach for docket/case creation is outlined below: The Supplier’s response must demonstrate the proposed system has full capabilities for docket/case creation at a level to support the work activities of the OS and OALJ.

1. Allow for the creation of docket/cases.

2. Allow for docket/case initiation by any authorized user

3. Ability of a user to select a docket/case type from a drop-down menu and be appropriately guided to file the initial documents in a docket/case

4. Ability of a user to populate an information form for specific docket/case types, and have a final review of information, including color coded error messages for required fields, and reminders.

5. Solution must automatically assign an appropriate docket/case number to each newly filed docket/case based on docket/case type. Capability to have different docket/case types or groups of docket/case types that have distinct and individual docket/case numbering schemes.

6. Docket/case type identification must be able to identify at least the different docket/case types below:

1. FC Formal Complaint

2. IC Informal Complaint

3. CC Charge Complaint

4. CCP Charge Complaint Penalty

5. XXX Order of Investigation and Hearing (FMC initiated enforcement docket/case)

6. SD Special Docket

7. PT Petition

8. NOI Notice of Inquiry

9. FF Fact Finding (adjudicatory and non-adjudicatory)

10. NT Notation (Non-public)

7. Ability for designated representative(s) of the OS and OALJ to reject a filing, generate a response within the system, and send the notification to the filer.

8. Ability to create a new docket/case type and the docketing schematic

9. Ability to create new docket/case types and make them available for e-Filing users to choose in the drop-down menu.

2.3 Requirement #3: Court Docket/Case and Notation Voting Management

Description: The technical approach for court docket/case and notation voting management is outlined below. The solution includes an integrated court docket/case management and notation voting system.

The supplier/contractor’s response must demonstrate the proposed system has the capabilities to provide a fully complete solution with integrated docket/case management and notation voting at a level to support the work activities of the OS or OALJ, as applicable.

The system must provide a comprehensive security architecture that uniquely identifies users, assigns granular permissions, and restricts access to information stored and processed on the system. Security

FMC SOW Page 10 of 27 6/21/2023 mechanisms must prevent unauthorized access to the system. Changes and updates to the system must be restricted to authorized personnel.

The system must have the security structure to establish profiles and assign and limit user access based on group roles, individuals, and/or group credentials and privileges. The system must have the security structure to limit access by users from one unit to data from another unit.

2.3.1 Court Docket/Case Management

1. Ability to record and modify docket/case files by assigning docket/cases to various personnel, consolidating related docket/cases, and attaching documents in various formats, including but not limited to .pdf, .tiff, .xls, .xlsx, .doc, .docx, .ppt, .pptx, .jpg, .bmp, and .txt, to a docket/case.

Examples of these types of documents include, but are not limited to, motions, submitted evidence, orders, decisions, and hearing transcripts.

2. Ability to serve docket/case documents to all or some parties of a docket/case and provide verification that the document has been received by the party.

3. Ability to either generate UPS/FedEx labels when paper service of documents is required or an interface with UPS/FedEx to facilitate label generation and automatic population of such labels with a docket/case parties’ address – Desired.

4. Ability to route docket/cases to the assigning official for assignment, and to provide a task/Work Queue for individual staff, and a task/Work Queue by docket/case

5. Ability to automate routing of documents to appropriate party(ies)

6. Ability to add, remove, modify users, parties, organizations, locations, etc.

7. Ability to add hearing dates and related information (e.g., hearing location) to an existing docket/case

8. Ability to create and maintain hearing and telephone conference calendars

9. Ability to edit and/or create new docket/case type identifiers

10. The solution must be capable of generating form letters/documents, pre-populated with case caption or case information, for printing and/or electronic filing and distribution by OS and OALJ staff

11. The solution must allow the OS and OALJ staff to specify (and change) the contents of each form letter/document

12. The solution must allow each form letter/document to be designated to one or more docket/case types. The solution must allow specific docket/case data to be automatically incorporated into appropriate correspondence/documents including but not limited to:

a. filing date

b. party names

c. docket/case number

d. performing simple calculations based on those data – e.g., filing date plus x days – and incorporating the results of those calculations into the resulting document.

13. Capability of solution to allow OS, OALJ, and other certain Commission staff to view, download and/or print document(s) filed in dockets/cases, with access limitations managed by the OS.

14. Capability to use a mobile device or tablet to view filings and generate documents with valid electronic signatures.

15. Capability to “consolidate” and "unconsolidate" dockets/cases

16. Capability to generate custom electronic signatures or digitally sign a document using Adobe

Acrobat within the solution on an order or other document in a docket/case.

17. Capability to add an FMC seal to the documents.

18. Capability to redact personally identifiable information (PII) such as social security numbers, date of birth, and financial account numbers from the filed documents and also other information as determined by the OS and OALJ.

19. Capability to edit any order within the OS and OALJ (internally) before it is finalized. Once finalized the document becomes “read only” for external and internal users.

FMC SOW Page 11 of 27 6/21/2023

20. Capability for the OS to restrict access from other internal FMC staff to a docket/case based on specific docket/case status, e.g., mediation, development of final Commission action/voting.

21. Capability of solution via a web portal to allow the public to search, view, download and/or print non-confidential document(s) in dockets/cases, with access limitations managed by OS.

2.3.2 Notation Voting Management

1. Capability to facilitate, track, record, and report official actions/votes of the five

Commissioners pertaining to both adjudicatory and on non-adjudicatory dockets/cases, and policy or administrative issues. Capability to allow uploading into the system/repository; and associate/link, and circulate the underlying document, with the relevant notation vote sheet. Ability to receive from the five Commissioners, their respective vote inclusive of written instructions or comments on the vote sheet, or as an attachment to their respective vote sheets.

2. Capability to populate an internal, OS administered Notation Calendar with action items, due dates, and ticklers for each Notation by individual FMC components (e.g., Commissioner offices, Office the Chairman, Office of the General Counsel, etc.), as well as a task/Work Queue by Notation Item for action by each of the five Commissioners and their staff.

3. Capability to generate standard templates or formats to prepare the minutes/summary of actions taken by the Commission on items circulated on notation (including docket/cases, issues of policy, or administrative matters; with ability to connect/link associated underlying document(s) to the summary minute.

4. Capability for the OS to restrict access from other internal FMC staff to a Notation Item based on specific Notation subject matter.

2.4 Requirement #4: Meeting/Hearing and Activity Management

Description: The technical approach for meeting/hearing and activity management is outlined below. The supplier/contractor’s response must demonstrate the proposed system has the capabilities to provide a fully complete solution with integrated event and activity management (provide calendar functions and capability to track docket/cases and voting due dates) at a level to support the work activities of the OS, OALJ, and Commissioners.

1. Solution must include an integrated, interactive calendar with tracking and tickler (reminder) capability

2. Solution must have a customizable dashboard(s)

3. Supplier/contractor must illustrate criteria and methods to track events and create ticklers by individual user and to coordinate with the user’s Microsoft Outlook account in O365 cloud version

4. Supplier/contractor must illustrate solution's ability to calendar and maintain events, actions and tasks with due dates and ticklers by individual user and office, with capability of limiting access

5. Supplier/contractor must illustrate criteria and methods to manage, track, assign, reserve and schedule personnel as well as physical assets such as conference or hearing rooms or support functions such as court reporters

6. Document management (including non-textual information (e.g., video and audio files))

7. Capability to extract date from document and add to calendar

8. Capability to create, generate, and maintain an integrated meeting, hearing, and telephone conference calendar for all judges or by room and/or based on the day or by week or other criteria pulled from the "events" of the cases

9. Capability to add payment tracking

FMC SOW Page 12 of 27 6/21/2023

10. Capability to provide standardized and ad hoc workload or performance reports.

2.5 Requirement #5: Data/Record and Document Migration

Description: The technical approach for data transfer is outlined below. The supplier/contractor’s response must demonstrate that the supplier/contractor has the capability to transfer data from other applications, servers, or systems to provide existing case data for research purposes to support the work activities of the offices of the OS, OALJ, and Commissioners.

The database repository and underlying file system must house FMC docket/case files, case-related reports, voting records and other types of docket/case or voting records. Any type of electronic object (image, sound file, video, or XML document) must be managed by the OS or OALJ and served to the user on demand. Information System users must be able to open, view, edit, save, and print these common audio, video, image, and document file types stored in the database repository.

FMC units produce many documents internally that will be stored in the DMS repository.

The Contractor shall provide a detailed migration strategy and plan that demonstrates how data, documents and content, will be migrated from the existing document repositories (including data posted in the FMC’s EReading Room) to a new repository(ies). This plan will also depict how data and documents will be mapped or imported to the new solution. The migration plan will ensure the following goals:

• Reduced effort required close to, and during the go-live or cutover period.

• Quick and efficient process at the go-live phase.

• Verification that data is current at the go-live phase.

• Increased stakeholder confidence that the migrated data is accurate and has integrity.

• Migration glossary of “before and after” use and mapping of the data.

Active dockets/cases and historical notation items must be migrated immediately (currently stored in SharePoint and containing approximately 11 GB of data). The transfer of those dockets/cases between the FMC’s current repository and/or Electronic Reading Room must be seamless with minimal down time for the public and staff to access these documents. Research into old cases and past voting and Sunshine Act meeting records of the FMC are also necessary, and these historical records (currently accessible via Laserfiche) also must be migrated (approximately 500 GB), albeit subsequent to those items mentioned above required to be migrated immediately, to allow tracking and to ensure all cases and vote/meeting records are accounted for in the new system. All dockets/cases, votes, and meeting records submitted after the implementation of the new solution will be processed in the new solution.

1. Capability of the solution to accept a copy of a Microsoft Word or Excel file of historical case tracking information needed for research and make the information available in the solution.

2. Capability to accept full docket/case management copy of Microsoft SQL database (e.g., SharePoint and Laserfiche) which includes metadata information related to documents, meetings, rulemakings, transcripts, minutes, orders, and other information related to the dockets or meetings.

3. Capability to provide written detailed migration strategy and plan that demonstrates how data, documents and content will be migrated from the existing document repositories.

4. Capability to provide written plan to show how data and documents will be mapped or imported to the new solution.

2.6 Requirement #6: License Renewals & Software Upgrade Support

FMC SOW Page 13 of 27 6/21/2023

Description: The technical approach for license renewal and software upgrade support is outlined below.

The supplier/contractor’s response must demonstrate that it has the capability to timely execute license subscription renewals, software upgrades/releases, and appropriate system maintenance.

1. License Subscription Renewals, Software Upgrades/Releases: Contractor shall ensure subscription renewals are timely executed; and software upgrades/releases are timely installed, configured, and tested. This includes all activities associated with Contractor’s server maintenance and configuration required to support the solution, and meeting FedRAMP protocols. This shall include regular product upgrades and/or releases, bug fixes, and changes needed to stay compliant with the docket/case management and voting, tracking, and reporting system, as well as federal regulations, policies and directives.

2. The Contractor shall provide the following ongoing maintenance:

• Software Releases installed and configured;

• Functional Requirements Document (create and/or modify);

• System Specification (create and/or modify);

• Database Specification (create and/or modify);

• User’s Manual(s) (create and/or modify); and

• Administrator Manual(s) (create and/or modify).

3. Corrective maintenance: The Contractor shall provide corrective maintenance that includes modifications that fix software problems caused by customization, logic, or coding errors.

Examples of corrective maintenance include:

• Calculations that generate incorrect totals;

• Data screens that omit a required entry or store an entry in the improper location; and

• Aborted Programs.

2.7 Requirement #7: Database Administration & Training

Description: The technical approach for database administration, and training is outlined below. The Contractor’s response must demonstrate that it has the capability to provide these functions at the levels indicated, including systems in place to analyze, troubleshoot, identify root cause, and resolve user’s issues with the system (internally or externally) at a level to support the work activities of the OS, OALJ, and Commissioners.

1. Database Administration: Database administration is application/software support that may require some adaptation of the deployed system to new FMC processes. This involves modifications that are mandated in response to laws, regulations, or business processes that govern FMC programs; to hardware or software changes, and/or to upgrades within FMC’s technical architecture. This is usually a modification required because of software changes or a modification required because of anticipated hardware changes. Examples of adaptive maintenance are:

• Changes in software that were promulgated by new law, regulations, or IT Security;

• Adding or deleting a data field.

• Creating or modifying a report or query.

• Optimization of execution time, memory size, and file management; and

• Standardization of naming conventions and development methodology.

2. Training: Prior to the “go live date” the contractor will provide training to FMC users and administrators on the FMC-customized system. Post “go live date,” the contractor will provide refresher training annually to FMC users and administrators, respectively; and in the event that significant changes or upgrades are necessary due to a software upgrade or programing enhancements, the contractor will provide training to FMC users and administrators, respectively, within 3 days of completion. The training will be virtual (e.g., Microsoft Teams or similar format).

The training will be specific to the FMC’s docket/case and voting business processes and provide

FMC SOW Page 14 of 27 6/21/2023 users and administrators appropriate written user guides (online access is acceptable) that are specific to the FMC.

2.8 Requirement #8: Help Desk/Technical Support

Description: The approach for help desk/technical support is outlined below. The supplier/contractor’s response must demonstrate that supplier/contractor can:

1. Helpdesk Support: The Contractor shall provide technical incident-based helpdesk support to FMC system administrators between the hours of 8am and 5pm (Eastern Standard Time) on normal business days. Helpdesk support includes such services or assistance with: password administration, system administration, and system functionality help, as well as system malfunction(s) and/or error(s) resulting in a partial or total loss of service.

The Contractor shall provide helpdesk support to FMC system administrators to include but not be limited to the following:

• Problems with data entry and data retrieval;

• Application trouble-shooting;

• Problems with running reports or understanding report components;

• Submitting or reporting work orders; and

• Other general inquires.

The supplier/contractor’s response must demonstrate that the supplier/contractor can:

1. Provide help desk support 365x24x7.

2. Demonstrate the severity level of help desk incidents as critical, high, medium, and low and resolve at the following timeframes:

• Critical issue – resolution within 4 hours of notification.

• High issue – resolution within 24 business hours.

• Medium issue – resolution within 3 business days.

• Low issue – resolution within 5 business days.

• At the resolution of all issues, a follow-up email should be sent which should document the issue, root cause, and any follow-up actions.

3. Provide hourly updates for critical incidents (e.g., system is down or the OS, OALJ, and

Commissioners are unable to use a critical feature or function and it is affecting their work).

4. Provide email updates to the person who reported the incident and a list of OS and OALJ personnel.

5. Integrate with other help desk telephone numbers, i.e., accept transfers of incidents from other help desks.

6. Accept notifications via phone or email.

2.9 Requirement #9: Providing System Enhancements

Description: On a task order basis, the contractor shall provide design, programming, hardware, and project management, for system enhancements or services that exceed basic system design and installation, or help desk support activities. An example of these kinds of enhancement or service might be providing a new feature or application on the system that reflects a new business process.

2.9.1. For these task orders, the FMC Contracting Officer Representative (COR) and the Contractor will review the requirements. After receiving a Statement of Work, the Contractor shall

FMC SOW Page 15 of 27 6/21/2023 submit to the Contracting Officer a Technical and Price proposal including at a minimum the following:

a) A plan of approach that describes component tasks and appropriate visual graphics.

b) Costs for programming

c) Equipment

d) Project Management

e) Continuing maintenance and support.

f) Milestones for delivery

2.10 Requirement #10: Providing Secure Hosting Environment

Description: The technical approach for security is outlined below. The supplier/contractor’s response must demonstrate that it has the capability to secure the FMC data because of the confidentiality of some of the data or documents which the system will be storing, sending, and processing. The FMC’s general and cloud security requirements are listed. The supplier/contractor will need to respond with their ability to comply with these requirements.

FedRAMP Certification

The Contractor shall provide a cloud infrastructure hosting environment that complies with Federal Risk and Authorization Management Program (FedRAMP) requirements. The Contractor will also cooperate with FMC and support fully all FMC efforts to meet FMC Cybersecurity requirements for the solution that meets FedRAMP requirements.

The Contractor shall obtain a provisional Authorized to Operate (ATO) FedRAMP certification by the time of contract award. This requirement may be based upon a reasonable expectation and outcome of the Contractor’s present FedRAMP process with its sponsoring agency and third-party assessor. The Contactor will provide all reasonable assistance for FMC to initiate an authorization to use the FedRAMP information security and privacy requirements, including security and privacy controls, and controls selected for continuous monitoring, to leverage its cloud services. FMC may cancel and terminate any outstanding orders or work if the Contractor has its provisional authorization revoked and the deficiencies are greater than the risk tolerance threshold. The Contractor and Federal Government Agency share responsibility to ensure compliance with security requirements within the FedRAMP Cloud Computing Security Requirements Baseline. The Contractor shall generally, substantially, and in good faith follow FedRAMP guidelines and Security guidance. In situations where there are no procedural guides, the Contractor shall use generally accepted industry best practices for IT security.

In maintaining and implementing FedRAMP certification and practices the Contractor will ensure the following:

FedRAMP Compliance

The Contractor shall apply the appropriate set of impact baseline controls for a “moderate risk level” system and data, as required in the FedRAMP Cloud Computing Security Requirements Baseline documents to ensure compliance to security standards. The FedRAMP baseline controls are based on NIST Special Publication 800-53, Revision 5, Recommended Security Controls for Federal Information.

In these documents the Contractor shall refer to the section about cloud service providers, or contract holders who are providing cloud computing services to the federal government through this contract and also includes a set of additional controls for use within systems providing cloud services to the federal government.

The Contractor shall maintain a security management continuous monitoring environment that meets or exceeds the requirements in the Reporting and Continuous Monitoring in this section of this contract, FMC SOW Page 16 of 27 6/21/2023 based upon the latest edition of FedRAMP Cloud Computing Security Requirements Baseline and FedRAMP Continuous Monitoring Requirements.

Privacy Requirements

Contractor shall be responsible for the following privacy and security safeguards:

1. To the extent required to carry out the FedRAMP assessment and authorization process and FedRAMP continuous monitoring, to safeguard against threats and hazards to the security, integrity, and confidentiality of any non-public Government data collected and stored by the Contractor, the Contractor shall afford the Government access to the Contractor’s facilities, installations, technical capabilities, operations, documentation, records, and databases.

2. If new or unanticipated threats or hazards are discovered by either the Government or the Contractor, or if existing safeguards have ceased to function, the discoverer shall immediately bring the situation to the attention of the other party.

3. The Contractor shall also comply with any additional FedRAMP privacy requirements.

4. The Government has the right to perform manual or automated audits, scans, reviews, or other inspections of the vendor’s IT environment being used to provide or facilitate services for the Government. In accordance with the Federal Acquisitions Regulations (FAR) clause 52.239-1, Contractor shall be responsible for the following privacy and security safeguards:

(a) The Contractor shall not publish or disclose in any manner, without the Contracting Officer’s written consent, the details of any safeguards either designed or developed by the Contractor under this contract or otherwise provided by the Government. Exception - Disclosure to a Consumer Agency for purposes of C&A verification.

(b) To the extent required to carry out a program of inspection to safeguard against threats and hazards to the security, integrity, and confidentiality of Government data, the Contractor shall afford the Government access to the Contractor’s facilities, installations, technical capabilities, operations, documentation, records, and databases within 72 hours. The program of inspection shall include, but is not limited to: 1) Authenticated and unauthenticated operating system/network vulnerability scans; 2) Authenticated and unauthenticated web application vulnerability scans: 3) Authenticated and unauthenticated database application vulnerability scans; and 4) Automated scans can be performed by Government personnel, or agents acting on behalf of the Government, using Government operated equipment, and Government specified tools.

(c) If new or unanticipated threats or hazards are discovered by either the Government or the Contractor, or if existing safeguards have ceased to function, the discoverer shall immediately bring the situation to the attention of the other party.

(d) If the Contractor chooses to run its own automated scans or audits, results from these scans may, at the Government’s discretion, be accepted in lieu of Government performed vulnerability scans. In these cases, scanning tools and their configuration shall be approved by the Government. In addition, the results of Contractor-conducted scans shall be provided, in full, to the Government.

Sensitive Information Storage

Sensitive But Unclassified (SBU) information, data, and/or equipment will only be disclosed to authorized personnel on a Need-To-Know basis. The Contractor shall ensure that appropriate administrative, technical, and physical safeguards are established to ensure the security and confidentiality of this information, data, and/or equipment is properly protected.