DMS_Performance_Work_Statement.docx

DEPARTMENT OF COMMERCE ENTERPRISE SERVICES

PERFORMANCE WORK STATEMENT

PERFORMANCE WORK STATEMENT:

DOCUMENT MANAGEMENT SYSTEM

FOR

OFFICE OF THE GENERAL COUNSEL

U.S. DEPARTMENT OF COMMERCE

1.0 Contract Overview

This is a non-personal services task order. The Government will not exercise any supervision or control over the task order service providers performing the services herein. Such task order service providers shall be accountable solely to the Contractor who, in turn is responsible to the Government as defined in this Performance Work Statement (PWS). The Contractor shall perform to the standards in this task order.

2.0 Background

The U.S. Department of Commerce (DOC) is a cabinet-level Department that promotes job creation, economic growth, sustainable development, and improved standards of living for all Americans. The DOC works in partnership with businesses, universities, communities, and our nation’s workers to realize its mission to help make American business more innovative at home and more competitive abroad. The Department has a widespread and diverse set of responsibilities within the areas of trade, economic development, weather monitoring and communication, technology, entrepreneurship and business development, and statistical research and analysis. The Department is comprised of 12 Bureaus with operations across the United States, 6 U.S. Territories, and more than 70 international offices. The Bureaus include the National Oceanic and Atmospheric Administration (NOAA), National Institute of Standards and Technology (NIST), United States Census Bureau, United States Patent and Trademark Office (PTO), the Bureau of Industry and Security (BIS), International Trade Administration (ITA), United States Economic Development Administration (EDA), National Telecommunications and Information Administration (NTIA), Office of the Inspector General (OIG), Bureau of Economic Analysis (BEA) and the Economics and Statistics Administration (ESA). The Office of the Secretary (OS) is the headquarters organization for the Department.

The Office of the General Counsel (OGC) is organized as follows:

· Assistant General Counsel for Administration and Transactions

· Ethics Law and Programs Division

· Contract Law Division

· Real Property and Environment Law Division

· Federal Assistance Law Division

· General Law Division

· Assistant General Counsel for Employment, Litigation, and Information

· Employment and Labor Law Division

· General Litigation Division

· Information Law Division

· Assistant General Counsel for Legislation, Regulation, and Oversight

· Legislative Division

· Regulation Division

· Oversight Division

· Various Chief Counsel Offices that directly support the Bureaus listed above.

The OGC currently uses a SharePoint platform that supports some offices’ needs for basic document management and filing, but there are serious shortcomings with this system as developed. Therefore, OGC is looking to use a document management system where all legal offices (regardless of their subject matter expertise or program area) would be able to create, edit, store, and retrieve legal documents in a simple, straightforward way, with minimal time spent on adding metadata or creating new templates. OGC is particularly interested in document management systems that have a proven track record for use in legal offices, can be configured to use drop-down menus to the maximum extent possible, does not require extensive customization, and is not primarily for use as a document management system (although incidental document management features are not disqualifying). Creation and storage of documents should be in both MSWord and PDF formats, and integrate with an e-discovery feature that is either an add-on to the Document Management System (DMS) or is integrated into the solution proposed. Solutions must be NARA compliant.

Microsoft Outlook is the primary workflow tool, with most customers reporting email as the preferred means of communication with both internal and external constituents. Integration within Outlook is a critical element.

2.1 Objective

The Department’s Office of General Counsel (OGC) is seeking a commercially available off-the-shelf (COTS) document management system (DMS) that has demonstrated commercial history in either the large commercial law firm setting or large government legal offices to store and retrieve attorney work product documents in a simple, but secure, manner. There will be up to 200 users of this system.

3.0 Requirement

3.1 The Contractor shall provide all personnel, equipment, supplies, facilities, transportation, tools, materials, supervision, training, and other items and non-personal services necessary to perform the requirement as described in the Performance Requirement Statement

3.2 The Contractor shall monitor performance in accordance with the approved Quality Control Plan (QCP). The Contractor shall develop and implement procedures to identify, prevent, and ensure non-recurrence of defective services. The Contractor’s QCP is the means by which they will ensure work complies with the requirements of the task order.

3.3 The Contractor shall always maintain an adequate workforce for the uninterrupted performance of all tasks defined within this PWS when the Government facility is not closed for the above reasons. When hiring personnel, the Contractor shall consider the stability and continuity of the workforce.

3.4 Phase 1 – Go-Live Period of Performance: This period of vendor support begins at the contract award date and ends with Department acceptance of the “Go-Live” application. Specifically, Department acceptance will be granted upon the completion of services described in 3.7-3.8 and readiness and availability of service 3.9 —including successful implementation of the Document Management System and all training and documentation delivery to the Government. The Government requires the “Go-Live” application to be ready within five months of contract award or preferably sooner.

3.5 Phase 2 – Post-Go-Live Support: The initial period of vendor support begins with Department acceptance of the Go-Live application and ends within 365 days of contract award. In addition to the initial Post-Go-Live Support, the Department may opt for a total of four one-year support periods of performance. During these support periods, the vendor support will mainly consist of technical support for OGC administrators and users, but the vendor may be called upon to assist with system upgrades and enhancements as necessary.

3.6 Phase 3 – Optional Expansion: Following a reasonable trial period after the System Acceptance date, the Department may exercise an option to add offices and divisions outside of the initial OGC implementation effort to the contract. If the Department exercises this option, the vendor shall provide and the Department will pay for additional implementation services, at rates consistent with Phases 1 and 2, to ensure the successful adoption of the application by the new users. At the discretion of the Department, a new System Expansion Acceptance Date will be scheduled and system expansion acceptance will be made following the completion of the training for new users and delivery of any additional documentation to the Government. This expansion phase may occur simultaneously with the post-go-live support period that applies to users who have already started using the system.

SERVICES REQUIRED

4.

3.7 Go-Live Implementation. Engineering, development, and implementation of the new document management system, to include:

3.7.1 Installation and implementation of the new document management application

3.7.2 Conversion of the legacy data from OGC-DOCS to the new application

3.7.3 Integration of the new application with other Department data systems

3.7.4 On-site application training for OGC administrators and end users

3.8 Project Management. Services provided by a project manager experienced with implementation of document management systems in the government agency context to ensure to successful accomplishment of the above tasks.

3.9 Post-Go-Live Operations Support.

3.9.1 Technical (help desk) support for OGC administrators and users

3.9.2 Report development to ensure that reports that will commonly be generated by system users include all the elements needed

3.9.3 Maintenance of the application, including the installation of patches, repairs, and upgrades

3.9.4 Renewal of applicable software licenses/Subscriptions

4.0 Place of Performance

Contractor support shall perform at DOC, HCHB, Washington, DC.

☒ Remote/telework may be authorized by the Task Manager (TM) on a case by case basis.

5.0 Period of Performance

The vendor period of performance is divided into three phases as follows:

Base:

Phase 1: September 25, 2017 – February 24, 2018 Phase 2: September 25, 2017 – September 24, 2018 Phase 3: TBD

Option 1: September 25, 2018 – September 24, 2019 Option 2: September 25, 2019 – September 24, 2020 Option 3: September 25, 2020 – September 24, 2021 Option 4: September 25, 2021 – September 24, 2022

6.0 Hours of Operation

Under this task order, the Contractor is responsible for conducting business, Monday thru Friday during normal business hours except Federal holidays or when the Government facility is closed due to local or national emergencies, administrative closings, or similar Government directed facility closings.

7.0 Government Furnished Resources

7.1 The Contractor shall be responsible for safeguarding all government equipment, information and property provided for Contractor use. The Contractor shall not use GFP/E/I for any purposes other than official Government business as performed under this task order. At the close of each work period, government facilities, equipment, and materials shall be secured.

7.2 Contractors working on Government sites will be provided standard business equipment including all or some of the following: desk, chair, phone, computer and access to office equipment such as printers, copiers, fax, etc.

8.0 Qualifications

The Contractor is responsible for and shall ensure staff are properly trained and hold the appropriate credentials as required for the services being performed.

9.0 Identification of Contractor Employees

All Contractor personnel attending meetings, answering Government telephones, and working in other situations where their Contractor status is not obvious to third parties are required to identify themselves as such to avoid creating an impression in the minds of members of the public that they are Government officials. They must also ensure that all documents or reports produced by Contractors are suitably marked as Contractor products or that Contractor participation is appropriately disclosed.

10.0 Travel

Travel ☐ is ☒ is not required under this task order.

If required, the Contractor shall travel as approved by the designated TM or COR during the performance of this task order to attend meetings, conferences or conduct other official business covered under this task order. Authorized travel is reimbursable in accordance with the contract. The Contractor shall ensure adequate funding is available for costs of travel prior to incurring costs.

Local travel to meetings, conferences or other official business covered under this task order is not reimbursable as a direct charge.

12.0 Data Rights

The Government has unlimited rights to all documents/material produced under this task order. All documents and materials, to include the source code of any software produced under this contract, shall be Government owned and the property of the Government with all rights and privileges of ownership/copyright belonging exclusively to the Government. These documents and materials may not be used or sold by the Contractor without written permission from the CO. All materials supplied to the Government shall be the sole property of the Government and may not be used for any other purpose. This right does not abrogate any other Government rights.

13.0 Reports and Deliverables

13.1 The Contractor shall attend progress meetings requested by the contracting activity or task order administration. The Contracting Officer, Contracting Officer’s Representative (COR), and other Government personnel, as appropriate, may meet periodically with the Contractor to review the Contractor's performance. At these meetings, the CO will apprise the Contractor of how the government views the Contractor's performance and the Contractor will apprise the Government of problems, if any, being experienced. Appropriate action shall be taken to resolve outstanding issues. These meetings shall be at no additional cost to the government.

13.2 Monthly Progress Report

The Contractor shall prepare and submit a monthly progress report describing at a minimum the work performed during the month, the projected work over the next month, and any issues or barriers that need to be addressed.

14.0 Attachment/Technical Exhibit List

15.1 Attachment 1/Technical Exhibit 1 - Functions Required

TECHNICAL EXHIBIT 1

FUNCTIONS REQUIRED

The Vendor must provide a web-based document management software application capable of meeting OGC’s document tracking requirements. The software must also allow for the tracking of litigation matters as well as other types of matters frequently handled by OGC attorneys, including litigation arising out of employee complaints, matters involving legal advice on proposed agreements, and responses to subpoenas for Department records or testimony of Department employees. The software must have the following capabilities:

User Access and Permissions

3. The software must authenticate users with their existing Windows login credentials.

X

4. The software must provide for role-based access and privileges to data, functions, forms, reports, and ad-hoc reports.

The software should allow a user to be able prepare a report even if the user has not had specialized report writing training.

It must have a comprehensive role-based security model. All users must log in the system with a well-defined and specified user role. The model must be configurable by an administrator who will be able to define how each form or field may be accessed for users in each role. For example, if security is defined down to the field level, the administrator must be able to specify for each field if a role has create, read, update, or delete permissions to the field. Alternatively, security should be definable at the form, report, or module level.

It must apply security at the report level, meaning that only users in a specified set of roles may execute the report. In addition, security should also apply to the report data level, meaning that while a user is in a role that allows the execution of the report, not all data that could potentially be returned from a report is displayed because the user doesn’t have read permission to that data. Users should be able to see in a list all reports that the security model grants execution access to.

X

Document Management

11. The software must be capable of generating documents using case data contained in the application. For example, an OGC user working with a particular case file matter should be able to generate on command a letter acknowledging receipt of an administrative claim that uses a standard Microsoft Word template and incorporates necessary data from the case file (e.g., name of claimant, name of associated attorney, date and place of claimed injury, and the dollar amount claimed).

X

13. The software must allow for the storing of metadata for documents, such as Document Owner, Creation Date, Document Name, etc.

X

17. The software should provide the ability to archive case file records.

X

Reporting and Auditing Capabilities

22. The software must provide for auditing of user actions within the application. This also includes log-in, log-out, and failed log-in attempts.

The amount of audit information collected on user actions (i.e. audit level) must be configurable so as to not degrade system performance.

X

23. The system should provide a way to remove audit information from the operational data storage to a place for offline storage. This must be an automated process that can run in the background on a schedule or can be retrieved by an authorized user anytime. Audit information stored offline must be retrievable at any time by authorized users.

X

Usability

Performance and Support Requirements

Security Compliance

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