MODIFICATION
D -- Administrative Proceedings Document Management and Electronic Filing System with Exernal Hosting
- Notice Date
- 8/20/2007
- Notice Type
- Modification
- NAICS
- 541519
— Other Computer Related Services
- Contracting Office
- Securities and Exchange Commission, Procurement and Contracts Branch, Operations Center, 6432 General Green Way, MS 0-20, Alexandria, VA, 22312-2413, UNITED STATES
- ZIP Code
- 00000
- Solicitation Number
- SECHQ1-07-R-0318
- Response Due
- 8/29/2007
- Archive Date
- 9/13/2007
- Description
- Q&A: The following questions have been received; the answers follow each question. The questions are divided into two groups: technical and administrative. Technical questions refer to requirements of Section C and administrative questions refer to preparation of the proposals. TECHNICAL: 1. Attachment 4, Item 1: would all filers have the same initial configuration and/or permissions when we create the account? Answer: YES [not sure of your meaning of ?initial configuration?; everyone will have same approval process to obtain password to file and once permission is granted, every ?Filer? will have same access]. 2. Attachment 4, Item 3: what is meant by "prepare document for submission"? What is the requirement of the ASP in this step? Are there some unique requirements? Answer: The Filer must ensure that the document meets the specifications in the Commission?s Rules of Practice, such as word count limits, formatting requirements, and signature requirements (which are currently applicable to these paper filings). There is not an ASP requirement in this step. 3. Attachment 4, Item 5: what is meant by "submit the document to the docket" if the documents are forwarded to an administrator for further review/posting? Is there just one docket to which documents are submitted to? Answer: A document will be entered into the Docket after review by the SEC Administrators. Thus, the Filer submits the document to the SEC Administrators; then the SEC Administrators submit the document to the Docket. There is a docket for each administrative action; for example, in 2006, the Commission had approximately 271 administrative proceedings; therefore, there would be a docket of pleadings filed in each administrative proceeding (e.g., 271 dockets). 4. Attachment 4, Item 6: should all users be able to see docs successfully posted to the docket? Answer: YES, all users AND all members of the public should be able to see all documents posted to each Docket, which can be maintained by the vendor, but available on the SEC?s website, via a SEC website link to the Docket, EXCEPT those documents filed under seal would not be visible to all users and the public (see Question #9). 5. Attachment 4, Item 6: will Administrators simultaneously post to sec.gov site, or is that a requirement of the system? Answer: See answer above in Question No. 4. 6. Attachment 4, Item 6: what happens to a document if it is not approved for the docket? Who are making those decisions, or is it expected that the ASP will be able to qualify by rules? Answer: If the SEC Administrator does not approve the document to be submitted to the docket, then the system should return the document to the Filer with a personalized message from the SEC Administrator that the documents did not satisfy the requirements for filing. The system should retain a record of the returned documents. 7. Attachment 4, Items 7, 10, 12, and 13: how are parties to the pleading (litigant, filer, administrators, etc) identified when the document is uploaded/submitted? Answer: The ?Filer? is the person or party submitting (or uploading) the document, so that person is self-identified. ?Litigants? and ?SEC Administrators? are identified to the system when they are registered. ?Litigants? are all the parties in the administrative proceeding. ?SEC Administrators? are the SEC Office of Secretary staff who review the filing upon receipt from the Litigant before it is submitted to the Docket. 8. Attachment 4, Item 8: can the administrator manually identify the parties to be served? Answer: If a person has not registered as a ?Litigant? in the proceeding via the system, the SEC Administrator would like the capability to manually add a person or party to be served, when the SEC Administrator determines that a person or party should receive copies of the filings. 9. Attachment 4, Item 14: please confirm that documents under seal should not be accessible by anyone except internal SEC users and the filer. Answer: When a document is filed under seal by the Filer, the SEC Administrator will not release the document to the Docket until an Order from the Administrative Law Judge (?ALJ?) or Commission is received either permitting the Filer to file the document under seal or not permitting such filing under seal. As an added precaution, any actions performed under seal should require confirmation in the system and flagged as being filed under seal. Once the ALJ or Commission Order specifies who should be given access to the document filed under seal (and all appeals of this Order are exhausted), the SEC Administrator should be able to manually add the parties who should be given access to the document. 10. Attachment 4, Item 14: will more than one user ever need access to the same sealed doc set (ie party and counsel)? Answer: On a sealed document, more than one party can have access to the sealed document, depending on the ALJ (or Commission?s) Order. (However, for any access to the system, if a party is represented by counsel, only counsel should have access to the system). 11. Would any counsel need access to documents submitted on behalf of more than 1 party? Answer: YES. 12. Is there a requirement to provide electronic notary services or other types of certificates, etc.? Answer: It is not a requirement for the system to provide electronic notary services (or other types of certificates), but this feature would be considered an added benefit. (Filers should be able to submit pdf exhibits to filings that contain notary signatures). 13. Can the SEC clarify what is meant by ?ad hoc? reports, as discussed in section C.3.8.3 in the Solicitation? Answer: Ad hoc reporting is the ability to generate reports outside of the specified reports that the system can run. We currently use Crystal Reports and Business Objects to run such ad hoc reports. 14. Please explain the requirement in section C.3.8.3 that states: ?Contractor will partition server so SEC ad hoc reporting function only queries SEC data.? Answer: The system should not query the Contractor?s entire database, which includes non-SEC data. 15. Can the SEC specify what type of statistics the Contractor is expected to collect regarding users? (see Solicitation C.3.1.6) Answer: We would want certain critical information about the filings submitted; for example, their dates of submission, the number of submissions, the types of submissions, the disposition of submissions, hearings, pending motions and initial decisions, guideline dates in 17 CFR ?201.900(a) for timely completion of proceedings, time frames specified in 17 CFR ? 201.360(a)(2), pending motions, and statistics regarding a Judges? workload. 16. Can the SEC describe the amount of detail required for audit trails? (see Solicitation C.3.6.1.11). Answer: We want a record of submission , such as who submitted the document, date of submission, file name and number, whether the submission was sealed or not, whether the submission was returned by the SEC Administrator, the number of attachments or exhibits to the submission, etc. 17. Please describe the types of ?parties? who file into SEC administrative proceedings? (i.e.: Are the majority of filers attorneys or pro-se litigants?) Answer: The majority of the Filers will be attorneys. 18. Please clarify the following requirement: ?The system shall generate an electronically available docket on the SEC public website making documents in administrative proceedings available to the public over the internet.? (see Solicitation C.1.0). Does the SEC require that Contractor generate the docket directly on the SEC public website, or that the docket be available to be placed onto the SEC public website? Answer: See Answer to Question No. 4. 19. At which stage in the e-filing process does the SEC require word count capabilities? Answer: The SEC requires a word count capability when the Filer files the document (but this capability is only for the filing, attached exhibits). 20. Would the SEC be opposed to different methods of storing data outside of storing the data on a compact disk (CD)? (see Solicitation 3.7.2) Answer: Perhaps ? we would have to know what the method is. ADMINISTRATIVE: 1. Will the SEC accept, review, and answer additional vendor questions regarding the Solicitation after August 17, 2007? Answer: No. 2. Would the SEC be willing to extend the current August 29, 2007 Solicitation response deadline? Answer: No.
- Place of Performance
- Address: US Securities and Exchange Commission, 100 F Street NE, Washington DC
- Zip Code: 20549
- Country: UNITED STATES
- Zip Code: 20549
- Record
- SN01378875-W 20070822/070820222100 (fbodaily.com)
- Source
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