Draft SOW (DSOW) - Case Tracking and Records Retention system (CTaRRs)

The Securities and Exchange Commission (SEC) is seeking industry review and comment on a Draft Statement of Work (DSOW) prior to issuance of any formal solicitation. The draft SOW is subject to change prior to solicitation and the SEC may incorporate into the final version of the SOW any information or comment resulting from this request that is determined to be useful. Responses to this Request for Information (RFI) are not considered offers and cannot be accepted by the Government to form a binding contract. Industry is requested to review the attached DSOW and provide comments/feedback that will assist the requiring activity in refining its requirement. Respondents should not submit any proprietary information when responding to this RFI. Respondents are encouraged to review the DSOW, and submit any comments or questions that may be useful for this requirement. All comments/questions will be considered and the DSOW will be amended accordingly to reflect any changes the requiring activity deems necessary to make. BACKGROUND: The SEC is seeking an off-the-shelf solution for a Case Tracking and Record Retention System (CTaRRS) that will support the business requirements of the Office of the General Counsel's (OGC's) litigation groups (General Litigation and Appellate). While the initial phase of this effort will be focused on the needs of OGC's litigation groups, the acquired system must be flexible and scalable to accommodate other OGC groups and other SEC Offices and Divisions, should the SEC decide to expand the use of the system in future phases. This system is primarily intended for matter/case management to organize, track, and provide search and reporting capabilities for matters handled by OGC. Each matter will be categorized by matter type, and the types of matters will be associated with applicable records retention schedules. The system will also serve as a file (i.e., document/email) repository for each matter, and the system should be able to organize all of the information in a given matter by type, date, and other applicable fields. Each matter must contain various other identifiers in addition to matter type by which the matter can be searched and organized, and which will serve as the means by which to run reports. OBJECTIVE: The Government is soliciting industry feedback relative to a future contract effort and its DSOW. The purpose of this RFI is to: 1. Improve the understanding of Government requirements and industry capabilities, 2. Allow potential offerors to judge whether or how they can satisfy the Government's requirements, 3. Enhance the Government's ability to obtain quality services at reasonable prices, and 4. Increase efficiency in proposal preparation, proposal evaluation, negotiation, and contract award. THIS RFI IS NOT A REQUEST FOR PROPOSAL/QUOTE. The Government will not return any information submitted in response to this RFI. The Government is not responsible for any costs incurred by respondents regarding any responses to this RFI. This is a tool to receive feedback from industry regarding the DSOW and data provided. The Government is considering the following North American Industry Classification System (NAICS) codes for this procurement, 334614, 423430, 511210 or 541519. (334614 - Software and Other Prerecorded Compact Disc, Tape, and Record Reproducing - 750 employees; 423430 - Computer and Computer Peripheral Equipment and Software Merchant Wholesalers- 100 employees; 511210 - Software Publishers - $38.5 million; or 541519 - Information Tech. Value Added Reseller). REQUIREMENT: Refer to the Attached DSOW for a detailed explanation. SUBMITTAL INFORMATION: (1) Title of the DSOW you are referencing. (2) Company name, address, DUNS number, and a statement regarding current small business status for previously stated NAICS codes. (3) What type of technical information along with the DSOW would you like to see with a potential solicitation? (4) Provide comments on the clarity in the DSOW's description of technical areas as well as other types of additional information that would improve understanding or clarity of requirements and terms and conditions. In particular, the agency is interested in receiving information on the following: a. Are any provisions or requirements in the DSOW confusing, ambiguous or inconsistent? b. Given the general scope and objectives identified in the DSOW, are there any requirements or other provisions that have not been included that are needed for successful implementation and operation of the system? c. What Contract or Order type is most suitable to meet the SEC's needs as provided in the DSOW, recognizing the potential need to expand the system in the future (system scalability)? d. Are there any specific functional or non-functional requirements in the DSOW that are likely to need custom code or other significant customization? (5) The Government will not honor telephonic responses. Responses to this RFI shall be submitted electronically to Mr. Ricky Mills via e-mail at millsr@sec.gov. Please reference all e-mail correspondence with the following subject line: Company Name and RFI #. All responses must include the following information: Company Name; Company Address; and Point-of-Contact (POC) name, phone number, and e-mail address. Submissions must be received at the email above no later than Monday, March 21, 2016, 12:00 PM (Eastern Time). (6) RESULTS INFORMATION: RFI responses will not be returned; neither will Respondents be notified of the Government's evaluation of the information received. Respondents are advised that the Government is under no obligation to acknowledge receipt of the information received or provide feedback to respondents with respect to any information submitted under this RFI. Please visit the FBO Website at www.fbo.gov for future contract opportunities.