Request for Information: Commercial Off-the-Shelf (COTS) Electronic Records Management (ERM) System

REQUEST FOR INFORMATION (RFI)

RFI Title: Commercial Off-the-Shelf (COTS) Electronic Records Management (ERM) System for the Office of General Counsel (OGC)

Issuing Office: The Department of Energy Office of General Counsel 

Date of Issuance: June 2, 2026 

Response Due Date: June 17, 2026 at 12PM EDT

1. Introduction The Office of General Counsel (OGC) for the Department of Energy is conducting market research to identify Commercial Off-the-Shelf (COTS) Electronic Records Management (ERM) systems capable of meeting its electronic records management needs. The OGC currently maintains records in various formats and locations, including local drives, individual staff computers, and SharePoint files. Our objective is to procure a NARA-compliant ERM solution that centralizes, manages, and ensures the long-term accessibility and integrity of our electronic records. This RFI is issued for information and planning purposes only and does not constitute a solicitation. Responses will be used to inform our acquisition strategy.

2. Background As a federal agency, the OGC is committed to adhering to all federal records management regulations and guidelines, particularly those set forth by the National Archives and Records Administration (NARA). This includes compliance with DOD 5015.2-STD, NARA Universal ERM Requirements, and directives such as OMB/NARA M-19-21 and M-23-07. The current decentralized storage of electronic records presents challenges in terms of compliance, discoverability, efficiency, and long-term preservation. Furthermore, the OGC recognizes a significant gap in its current handling of case-related information, which is largely dispersed across email and individual systems. A key objective for this ERM solution is to significantly improve how the OGC manages, accesses, and utilizes its case-related records.

3. Requested Information (Vendor Questions) Vendors are requested to provide comprehensive responses to the following questions. Please organize your response according to the numbering below.

3.1. Company and Product Overview

1. Provide a brief overview of your company, including its history, core competencies, and experience with federal government clients, especially legal or general counsel offices.
2. Describe your primary COTS ERM product(s) or solution(s) that address the requirements outlined in this RFI.
3. What is your product's current version, and what is your typical release cycle for updates and new features?
4. Outline your product's general architecture (e.g., cloud-based, on-premise, hybrid) and underlying technologies.

3.2. NARA and Federal Compliance

1. Does your ERM system hold DOD 5015.2-STD certification? If so, please provide details of the certification (e.g., version, date, type of records supported).
2. How does your system address NARA's Universal ERM Requirements (Capture, Maintenance and Use, Disposal, Transfer, Metadata, Reporting)? Provide specific examples for each category.
3. Describe how your solution helps agencies comply with OMB/NARA M-19-21 and M-23-07 directives, particularly regarding the management of permanent electronic records and associated metadata.
4. How does your system ensure the authenticity, reliability, integrity, and usability of electronic records over time, including during data migrations or system upgrades?
5. Detail your system's capabilities for generating audit trails and ensuring the immutability of records.

3.3. Functional Requirements 

1. Ingestion & Capture:

1. How does your system support the ingestion of existing records from various sources (e.g., network drives, individual workstations, SharePoint, email systems, structured databases)? Describe the methods (e.g., bulk import, API integration, manual upload, automated capture).
2. Describe mechanisms for capturing records in different formats (e.g., documents, spreadsheets, presentations, audio, video).
3. Can your system automatically capture metadata upon ingestion?

1. Classification & Metadata:

1. How does your system support the creation and application of NARA-compliant file plans and retention schedules?
2. Describe your system's metadata management capabilities, including the ability to apply, modify, and manage descriptive, technical, and preservation metadata.
3. Can the system enforce mandatory metadata fields?

1. Search & Retrieval:

1. Detail the search functionalities (e.g., full-text search, metadata-based search, advanced queries, federated search).
2. How quickly can records be retrieved?
3. Can the system generate reports on search results or record inventories?

1. Access Control & Security:

1. How does your system manage user authentication and authorization (e.g., integration with Active Directory, LDAP, role-based access control)?
2. Describe your system's security features for protecting CUI (Controlled Unclassified Information) and other sensitive data, including encryption in transit and at rest.
3. How does the system prevent unauthorized alteration or deletion of records?

1. Disposition & Transfer:

1. How does your system automate or facilitate the application of retention schedules and trigger disposition actions (e.g., destruction, transfer)?
2. Describe your system's capabilities for preparing and transferring permanent electronic records to NARA in compliant formats and with appropriate metadata.
3. Can the system manage temporary records and their legal disposition?

1. Integration & Interoperability:

1. Describe your system's ability to integrate with common federal agency applications and platforms (e.g., Microsoft 365, agency-specific legal case management systems).
2. Do you offer APIs or other integration mechanisms for custom development or connections to other systems?
3. Specifically, please detail the extent and nature of your API capabilities (e.g., RESTful APIs, GraphQL) for accessing and extracting record content, metadata, and search results. 
   1. What authentication and authorization mechanisms are supported for API access to ensure secure integration with internal applications like an AI tool?
   2. What rate limits or usage policies are associated with your APIs?
   3. Can your APIs support programmatic queries to retrieve records based on specific criteria (e.g., keywords, date ranges, record categories) that an AI application would use for analysis?
   4. Are there any existing integrations or demonstrated capabilities with AI/ML platforms or natural language processing tools?

1. Case Management Support:

1. Describe how your ERM solution can serve as a central repository for legal case records and support related legal workflows.
2. What features does your system offer for associating multiple documents, communications (e.g., emails), and other records with a specific legal case or matter?
3. Explain how your system's search and retrieval functions can be optimized for finding case-specific information across diverse record types.
4. How does your system facilitate the organization and access of records throughout the lifecycle of a legal case?

1. User Experience:

1. Describe the user interface and overall ease of use for end-users and administrators.
2. Is the system Section 508 compliant for accessibility?

3.4. Implementation and Support

1. Outline your typical implementation methodology and timeline for a federal agency of our size and complexity.
2. Describe the training and documentation services you provide for end-users and system administrators.
3. Detail your technical support model, including availability, response times, and escalation procedures.
4. What are your data migration capabilities and approach for transitioning existing records from disparate sources?
5. What are your disaster recovery and business continuity plans for the ERM system and stored records?

3.5. Cloud Offerings (if applicable)

1. If your solution is cloud-based, what is its FedRAMP authorization level?
2. Describe your cloud infrastructure (e.g., AWS, Azure, Google Cloud) and data residency policies.
3. How do you ensure federal agencies retain control and ownership of their records in a cloud environment?

3.6. Price Modeling Information

1. Describe your company's pricing model(s) for your ERM solution. This could include, but is not limited to, models based on:

1. Number of users (e.g., per user, tiered user groups)
2. Storage volume (e.g., per TB, tiered storage)
3. Feature sets or modules included
4. Subscription-based vs. perpetual licensing
5. Professional services (e.g., implementation, training, customization)
6. Annual maintenance and support

1. Provide a clear explanation of how these elements combine to form a comprehensive pricing structure.
2. Indicate any common factors that significantly influence the overall cost for a federal agency (e.g., data volume, complexity of integrations, level of support). 

(Note: This section requests information on pricing methodologies and structures, not specific price quotes.)

4. Instructions for Responding

1. Responses should be clear, concise, and directly address the questions posed.
2. Please limit your response to 25 pages, including title page and table of contents.
3. Submit responses electronically to kelley.vandecoevering@hq.doe.gov and ellen.baptist@hq.doe.gov by the due date.
4. Clearly mark all proprietary information.
5. Include the primary point of contact for your RFI response.

6. Disclaimer This RFI is not a request for proposal (RFP) or a request for quotation (RFQ). It does not commit the government to contract for any supply or service whatsoever. All information submitted in response to this RFI is voluntary, and the government will not pay for information provided. The government reserves the right to use information provided by respondents for any purpose deemed appropriate. NO QUESTIONS WILL BE ANSWERED.