Solicitation - PPB2_rev.1.docx

SECTION M

EVALUATION FACTORS FOR AWARD

REQUEST FOR PROPOSAL:

PERSONNEL ACTION REQUEST (PAR), PAYROLL AND BENEFITS SERVICES (PPB2)

ENTERPRISE SERVICES

U.S. DEPARTMENT OF COMMERCE

May 20, 2020 (rev.1)

Table of Contents

Table of Contents

1331L5-20-R-13ES-0008

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B.1 CLAUSES INCORPORATED IN FULL TEXT

1352.216-75 MINIMUM AND MAXIMUM CONTRACT AMOUNTS (APR 2010)

During the term of the contract, the Government shall place orders totaling a minimum of $50,000.00. The amount of all orders shall not exceed $110,000,000.

B.2 CONTRACT TYPE

This is an indefinite delivery, indefinite quantity contract (IDIQ) issued in accordance with FAR Part 12 and FAR Part 16.5. The scope of services includes providing Personnel Action Request (PAR), Payroll and Benefits transaction processing using existing technology to support offices widely across the Department of Commerce.

B.3 SCHEDULE OF RATES

Pricing under this contract will contain fixed unit price (FUP) per transaction, firm fixed price (FFP) for a specified amount or period of work and/or time and material (T&M) aligned to a fixed rate card on a limited basis for requirements that cannot be defined enough for the Contractor to adequately estimate their costs. The fixed rate card shall be fully burdened ceiling rates that shall apply to each year of the contract respective to when the task order is placed under the IDIQ. All pricing information is contained in Attachment 10. The Contractor may discount from these rates in response to Task Order Proposal Requests (TOPRs) but shall not exceed the ceiling rates.

SECTION B

SCHEDULE OF SUPPLIES OR SERVICES

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C.1 PERFORMANCE WORK STATEMENT (PWS)

The Contractor shall furnish the necessary personnel, material, equipment, services, and facilities (except as otherwise specified) to perform the Performance Work Statement below.

C.2 BACKGROUND, SCOPE AND OBJECTIVES

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. 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. DOC 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. Its operations include gathering economic and demographic data for business and government decision-making, issuing patents and trademarks, helping to set industrial standards, and administering the National Weather Service.

DOC is comprised of 11 Bureaus and the Office of the Secretary with operations across the United States and globe. DOC employs a particularly varied workforce, with over 45,000 employees operating across all seven continents, including a significant number of full-time teleworkers –over 48% of employees work outside of the D.C. metro area. Another element unique to the workforce composition is the cyclical fluctuation in employee population around the Decennial Census during which the U.S. Census Bureau expands from 15,000 employees to over 1 million employees.

Positions within DOC range widely from statisticians, attorneys, scientists, and economists to cryptologists, meteorologists and aircraft mechanics, all working to help meet the Department’s mission. DOC, as a Federal government entity, follows core Federal personnel regulations and policies provided by the Office of Personnel Management (OPM), in accordance with Title 5, Code of Federal Regulations.

The majority of DOC’s workforce is paid under the General Schedule (GS) as defined by 5 Code of Federal Regulations (CFR); however, several Bureaus use alternative pay systems for approximately 25% of DOC’s highly diversified workforce; and a small percentage are paid under the Federal Wage System.

Given the diverse Bureau missions, highly specialized, unique workforces and geographically-dispersed work locations, DOC operates in a decentralized and federated model with each Bureau managing its operations and tailoring its strategic direction to specific Bureau needs. Consistent with DOC’s overall operating model, the Human Resources (HR) function has been historically decentralized across the enterprise. This included a headquarters policy and administrative function and five overall servicing HR organizations (SHROs) providing “hire to retire” HR operations to the Department and Bureaus. Please reference the table below for additional information on the SHROs.

Table 1. SHROs

· Bureau of Economic Analysis (BEA)

· Economic Development Administration (EDA)

· Minority Business Development Administration (MBDA)

· National Telecommunications and Information Administration (NTIA)

· Office of the Secretary (OS)

· International Trade Administration (ITA)

· National Technical Information Service (NTIS)

*Please note that ITA: Foreign Service and the Office of the Inspector General (OIG) service themselves and are not included.

Historically, each SHRO had different organization structures, roles and responsibilities, performance standards, processes, policy interpretations, and service delivery models. Some variation between SHROs is justified as each works to support the unique missions and workforce considerations of its customers. Accordingly, the SHROs have adopted specific processes, policies, and programs to accommodate the requirements of the mission of their serviced customer base. Likewise, variation in bargaining units of employees is also a major workforce consideration that DOC must manage, as nearly 45% of employees belong to 31 distinct labor unions (note that the PP&B Contractor will not work directly with bargaining units).

Enterprise Services Establishment

In 2014, DOC recognized an opportunity to improve mission-enabling service delivery for HR and other functions by leveraging a shared services delivery model. Over the past four years, DOC has embarked on the path to establish Enterprise Services and initiate operations. Enterprise Services is the first cabinet-level, multi-functional, enterprise-wide shared services operation in the Federal Government. Between 2017-2019, Enterprise Services began providing a set of HR Services to all SHROs (excluding PTO and NIST), inclusive of PAR Processing, Payroll Processing, Benefits Processing, Human Resources Information Technology (HRIT) Administration Services, Time and Attendance support services, and Contact Center inquiry support.

Overview of Enterprise Services Model

Diagram 1 provides a high-level overview of Enterprise Services’ functional delivery model.

Diagram 1. Enterprise Services Functional Delivery Model

As shown in the above diagram, Enterprise Services consists of functional towers such as HR, which provide in-scope services to DOC bureaus. The Enterprise Services Capabilities for this IDIQ also include:

· Service Management (SM): responsible for monitoring performance of the organization to ensure Enterprise Services delivers best in class services to its customers. This includes providing the structure and control to technical and process changes within the Enterprise Services environment, monitoring the performance of Enterprise Services and its services through SLAs, Customer Level Expectations (CLE), and Key Performance Indicators (KPI), and overseeing Enterprise Services relationships with its private and public partners. SM shares performance, data, trends, and information to drive customer engagement.

· Customer Experience Management (CEM) and Change Management/Communications: responsible for working collaboratively with functional teams to deliver an improved and consistent customer experience. This includes using service data and customer feedback to develop and support process improvements, engaging stakeholders and leadership to support adoption of services, drafting and disseminating strategic and operational communications, and creating and delivering training content, including courses, videos, and reference materials.

· Contact Center: responsible for resolving and triaging customer inquiries within Enterprise Services. This includes providing the first-line of communication to customers regarding inquiries and issues, continuously monitors and updates Contact Center resources based on customer inputs and coordinating with SM and CEM Teams to escalate issues and trends, as needed. Enterprise Services has cross-functional contact center processes, technologies and standards that all service vendors are expected to integrate into for a consistent and seamless end-user experience.

For the HR Tower specifically, Enterprise Services collaborated with DOC HR leadership and customers to design a new end-to-end HR delivery model to provide more efficient, effective, and transparent HR services to its customers. In this model, DOC Bureaus retained the highly strategic, advisory and locally delivered HR activities, such as HR strategy and employee relations, and transitions the transactional work, such as inquiry intake, processing, and HRIT infrastructure support to Enterprise Services. Diagram 2 provides the delivery model of how Enterprise Services and Local HR must interact; this model describes the integral partnership and required collaboration between Enterprise Services (including vendor partners) and Local HR deliver technology-enabled client services. Local HR and Enterprise Services strive to work seamlessly together, with HR leadership as the foundation for these relationships, to deliver an end-to-end employee experience for its customers, who are the driving force for service delivery.

Diagram 2. HR Delivery Model

Overview of Enterprise Services HR Technology

DOC’s landscape of HR technology that supports PP&B services includes various solutions and seeks to provide customers with a consistent, transparent, and user-focused experience. The Contractor will be expected to be familiar with and use the following technology solutions, shown in Tables 2 and 3. NOTE: The “Technology” shown is currently in use, this may change over the life of the contract.

Table 2. Technology Solutions Used by the PP&B Contractor

The following table outlines the technology solutions that are customer-facing that the Contractor may receive questions about:

Table 3. Technology Solutions Used by Customers

DOC will also be contracting with ServiceNow to implement the ServiceNow HR Service Delivery (HRSD) module in 2020 in order to facilitate a more streamlined experience for HR customers. All of DOC’s HR-related data and information is, and will continue to be, owned by DOC.

C.3 REQUIREMENTS

C.3.1 Tasks Order Specific Requirements Individual task orders issued under this indefinite delivery vehicle (IDV) will be managed, monitored and evaluated by the federal personnel as specified in the task order. Task orders will describe the required work to be performed, period of performance and any unique terms not addressed in this contract.

C.3.2 PAR, Payroll and Benefit Services The Contractor, through Task Orders, shall deliver PP&B services and the corresponding system administration, customer relationship, and operations management solutions. Examples include but are not limited to:

· Operational processing to intake, process, and perform quality control and quality assurance of PP&B services

· System administration for HR technology solutions such as WebTA, eOPF, and HRConnect

· Contact center support to intake, manage, escalate, and resolve end-user inquiries and issues

· Trained Contractor staff in compliance with Federal HR policies and regulations, and maintenance of all relevant knowledge materials for ongoing learning (note: The Contractor will also be expected to provide training input, content, and materials as needed to DOC for key stakeholder training)

The following details the requirements for this IDIQ, which falls into two major categories: Design and Build and Operational Services. Design and Build requirements include all activities necessary for the transition and implementation of PP&B services, and Operational Services requirements include all activities for ongoing operations and enhancements of PP&B services, including system administration, contact center support, and operations management. Specific requirements and deliverables will be defined in issued Task Orders.

C.3.2.1 DESIGN AND BUILD REQUIREMENTS: Support the transition and implementation of PP&B services, which includes, but is not limited to, the following requirements:

3.2.1.1 Establish a Design and Build team to work with the designated DOC implementation team to manage the Design and Build effort

3.2.1.2 Participate in all required program management activities and meetings and provide regular updates regarding status of contractor transition activities, schedule, identified transition risks/issues and mitigation strategies, and actions required by stakeholders

3.2.1.3 Coordinate with ES and system support organizations on current systems and services to gain the information, expertise, processes, data, and procedures necessary to stand up PP&B services for DOC. ES will provide the vendor with DOC-specific and ES Technology-related training. The vendor will also be provided with existing knowledge management content (e.g., process maps, SOPs, etc.) from ES and will be required to implement process redesigns and knowledge management changes.

3.2.1.4 Identify all Contractor staff who require access to DOC systems and coordinate system provisioning activities so that all staff have the appropriate access to meet performance requirements

3.2.1.5 Request appropriate security accounts for the Contractor personnel who will use each HRIT and Enabling Technology system from the DOC Contracting Officer Representative

3.2.1.6 Participate in testing for enabling technology (ServiceNow Portal, HRSD, IVR) and HRIT (NFC, HRConnect, webTA) as required

3.2.1.7 Develop HRIT and services-related training and job aid materials for Contractor staff

3.2.1.8 Maintain HRIT and services-related training and job aid materials for ongoing and future training purposes for Contractor staff

3.2.1.9 Participate in routine operational activities as required by the Government as part of knowledge transfer and service transitions (e.g., user audits)

3.2.1.10 Develop and deliver an on-going training approach and plan to train contractor staff on standard Federal PP&B processes, HRIT use, and customer service standards in order to maintain performance requirements

3.2.1.11 Establish and stand-up physical site for DOC ES PP&B Processing and Contact Center services within 50-miles of the Greater Washington, DC Area and work with ES to conduct a physical security controls assessment according to NIST-800-53 standards to receive Authority to Operate (ATO).

3.2.1.12 Using existing DOC materials that will be provided at the time of award, develop customer service processes and standards, desktop procedures (DTPs), and call scripts, and train staff accordingly

3.2.1.13 Provide input and content to ES for Standard Operating Procedures (SOPs), process maps, and job aids if changes are needed based on process redesigns

3.2.1.14 Develop and submit all deliverables as detailed in associated Task Order

3.2.1.15 The Contractor shall acquire all major technology systems described in the table below according to the Contractor Requirement column:

Enabling Technology

· Tracks intake and tracking of all actions, including PAR, Payroll, Benefits, HRIT System Administration requests

· Tracks progress and status of actions upon intake.

· Tracks the progress of cases, including incidents submitted for resolution.

· This system will be provided by DOC for use by the Contractor.

· Ability to mask the Agent’s direct phone number on caller ID and instead display the general office number;

· Ability for unlimited calls, eliminating busy signals, while providing callers with their estimated wait times;

· The Contractor shall furnish its own call center telephony solution including labor, materials and necessary resources to accept routed calls from the DOC IVR

HR Administrative Systems

Treasury’s HR Line of Business Solution (i.e. HRConnect)

National Finance Center (NFC) Personnel/Payroll System (PPS) and Suite of Applications (NFC includes NFC mainframe systems, Insight Enterprise Reporting Solution, Reporting Center, Employee Personal Page, Remedy, and various applications such as TINQ, PINQ, EPIC, HCUP, SPPS/SPPS Web, ABCO, ABCOINQ, FOCUS, CULPRPT, IRIS, MASC, TMGT, RETM, PMSO, RFQS, VPS, ISPF, CLER)

· Collect and process Request for Personnel Actions (SF-52), benefit transactions, and payroll documents.

· Provide reports, data, and accounting information concerning Human Capital.

· Provide employment verification.

· NFC is the official system of record.

· This system will be provided by DOC for use by the Contractor.

C.3.2.2 OPERATIONAL SERVICES REQUIREMENTS: Ongoing integrated PP&B processing services and other support services, which include, but are not limited to, the following requirements:

3.2.1 3.2.2

3.2.2.1 Transactional Processing:

3.2.2.1.1 Payroll Processing: Transactional administration and processing of bonuses and awards, time and attendance, pay and leave, payroll, and changes throughout the employee lifecycle, as well as associated recordkeeping. This also includes, but is not limited to, the following:

· Services to record leave data, manage and conduct leave audits, manage and administer Voluntary Leave Transfer Plan (VLTP), manage employee payroll data, process on-cycle/off-cycle payroll, distribute labor costs, process disbursements, and handle all payroll issues

· Services to process allowances, union dues, lump sum payments, recruitment, relocation, retention bonuses, tax withholdings, leave restoration, student loan repayments, garnishments, direct deposit payments, Office of Workers’ Compensation Programs (OWCP) buy-backs, military deposits, and civilian deposits and redeposits

· Services to process settlements, historical correction update processing (HCUPs), and other actions requiring specialized and extensive subject -matter expertise

· Services to facilitate document management, quality control, and operational reporting

3.2.2.1.2 PAR Processing: Transactional HR processing services to support DOC personnel changes throughout the employee lifecycle and associated recordkeeping to include corrections and cancellations (e.g., process PAR actions to include receiving and processing SF-52s [Request for Personnel Action], compensation changes, award/incentive actions, benefits changes, etc. as found in the OPM Guide to Processing Personnel Actions to create SF-50s [Notification of Personnel Action]). The Contractor will also be expected to verify and validate the completeness and accuracy of any and all forms, documents and related materials. Services also include those that facilitate document management, quality control, and operational reporting

3.2.2.1.3 Benefits Processing: Services to facilitate management of benefits programs including life insurance, health insurance, and Thrift Savings Plan (TSP); answer benefits inquiries; and maintain employee records. The Contractor shall:

· Process enrollments for general enrollments, qualifying life events, open season, and terminating and updating plans. Examples of key benefits programs are: Federal Employees Group Life Insurance (FEGLI), Federal Employee’s Health Benefits (FEHB), Thrift Savings Plan (TSP), Federal Long-Term Care Insurance Program (FLTCIP), and Flexible Spending Accounts (FSA)

· Process separation packages and store into records

· Provide processing, computing, and correction services for Service Computation Date (SCD), and processing of military buy-backs

· Facilitate document management, quality control, and operational reporting

3.2.2.2 Operations Management Services

3.2.2.2.1 Project Management: Overall management and delivery of PP&B services including. but not limited to:

· Risk, issue, and status reporting on weekly basis according to established ES reporting protocols

· Utilizing established ES collaboration sites (i.e., SharePoint)

· Conducting, supporting, and responding to audits and inquiries as requested by ES, DOC, Bureaus, external parties, and/or other Contractors as needed

· Collaborating as needed with ES vendor partners

3.2.2.2.2 Operational Communications Support: Provide input into operational communications as needed, as well as maintaining operational communications calendar on regular communications distributions based upon key PP&B annual seasons (e.g., Open Season Enrollment, End of Fiscal Year and Performance Awards)

3.2.2.2.3 Continuous improvement and BPR opportunity identification: Identify opportunities for process and technological improvements and participating in the necessary change request processes to bring forth improvement recommendations. Adapt and implement improvements and enhancements quickly to address emerging needs, policy and regulatory changes, and Bureau nuances.

3.2.2.2.4 HR Reporting & Analytics: Reporting and analytics services to inform business decisions, answer Federal obligations, measure performance metrics against targeted outcomes (e.g., provide ad-hoc and routine reporting for management purposes, assist in answering congressional inquiries, and provide inputs for executive briefings), and frequent generation (daily, weekly, bi-weekly, monthly, quarterly, and/or annually) of operational reports to identify upcoming actions requiring bureau inputs, including but not limited to probationary periods, upcoming NTE date, and WGI notifications

3.2.2.2.5 Call Center Support Services: Provide call center support services for all PP&B-related services. These services include, but are not limited, inquiries into the use and administration of DOC’s current PP&B technologies (National Finance Center tools, webTA, eOPF, EPP, and HRConnect). The support also includes, but is not limited to, addressing inquires related to status of transactions completed by the Contractor; answering any general HR inquires related to PP&B; and supporting technology functional and password reset inquiries. Call center channels currently in-use include email, portal (self-service), and phone, with chat as an option to be implemented in the future.

3.2.2.2.6 HRIT System Administration: Provide HRIT management and administration services and/or additional staff to support the administration of data in current PP&B systems (e.g., webTA, eOPF, HRConnect, EPP), maintain technology items such as workflow, answer system functional questions, and provide technology password administration

3.2.2.3 Develop and submit all deliverables as detailed in associated Task Order(s)

C.3.3 Technical Requirements

To meet all necessary expectations for transition and operations of PP&B services, the Contractor shall meet the following technical requirements:

· SLA-Compliance: The Contractor shall adhere to all SLAs with a focus on customer satisfaction.

· Data Ownership: All of DOC’s data and information, including data and information created by the Contractor for DOC, are, and will continue to be, owned by DOC. The Contractor shall produce and deliver DOC data within 10-days of request.

C.4 PLACE OF PERFORMANCE

The Government anticipates the majority of product deliveries and rendered services in support of this Contract to be provided at the Contractor’s site. The Government requires the site location be located within 50 miles of the Greater Washington, DC Area. A key portion of the personnel processors supporting the DOC PP&B program shall be located at this site, but teleworking, use of value-add alternative geographical sites and other work flexibilities may be utilized to ensure that the PP&B staff has the overall required skills and experiences across the integrated suite of services to perform the work according to the Service Level Agreements (SLAs) defined in Task Orders.

The Government believes that proximity to the Greater Washington, DC Area will enable: (1) access to personnel with the requisite Federal HR experience to provide services to DOC and (2) stronger collaboration and communication between the Contractor and ES in order to provide ES customers with the best possible service. The Contractor shall have dedicated space available for up to 5 Government employees at any given time to observe or assist as necessary. The Contractor’s physical site and IT infrastructure will require an ATO letter issued by a Federal Government agency. The Department of Commerce will sponsor a site ATO.

Performance may also require attendance of the Contractor at DOC Headquarters or other DOC and Bureau locations, as needed. Place of performance will be further defined in Orders as applicable.

C.5 PERIOD OF PERFORMANCE

The ordering period of this IDIQ is 6 years from the date of award, with approximately 1 year dedicated to transition services and 5 years dedicated to operational transactional services. Orders may be issued at any time during the ordering period.

C.6 HOURS OF OPERATION

Hours of operation will be identified in individual task orders. Generally, Government offices are closed for the following Federal holidays and occasionally during other designated periods. Contractors who may be working at DOC or other Government facilities shall not be able to perform activities onsite on these days or during those periods designated for closure:

When any such holiday falls on a Saturday, the preceding Friday is observed; when any such holiday falls on Sunday, the following Monday is observed.

Government closures may occur during the contract performance period as a result of Executive Order, Office of Personnel Management direction or other form of Federal proclamation. These closures are often due to inclement weather, potentially hazardous conditions or other special circumstances. Closures or delays of this nature during the performance period do not entitle the Contractor to compensation for time not worked or to an automatic period of performance extension.

Hours will be identified in each task order. General facility base hours are between 8:00 am and 5:00 pm Monday through Friday. Extended hours are not an authorization for overtime or premium pay.

C.7 GOVERNMENT FURNISHED RESOURCES

For tasks performed in a Government facility, the Government will generally furnish the following resources as defined in the task order:

C.8 TRAINING, LICENSES AND CERTIFICATIONS

The Contractor shall be responsible for any special training, licensing and certifications of Contractor personnel necessary to provide the expertise and support required by this contract.

C.9 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.

C.10 TRAVEL

Travel is not anticipated under this contract. However, should travel be required it will be identified and authorized in individual task orders. If travel is not specifically authorized in writing, travel is not authorized as a direct billable expense. Authorized travel shall be in accordance with the Federal Travel Regulation and the Federal Acquisition Regulation part 31.205-46. Travel reimbursed under task orders issued under this contract shall be based on the most economical form of transportation available only. This includes using connecting rather than direct flights, and reasonable efforts to insure the most economical flights are secured. Simply relying on a travel agent may not be sufficient. If economy class transportation is not available, the invoice must include justification for use of higher-class travel indicating dates, times, and flight numbers. Any costs deemed unreasonable will be reduced to a reasonable amount. Improper costs will be disallowed and deducted from the invoice. Any exceptions shall be fully justified and documented with the invoice. All travel shall be scheduled sufficiently in advance to take advantage of available discount rates.

Information on current Federal Travel Regulations and current per diem rates may be obtained at the following web site:

http://www.gsa.gov/portal/category/21287

C.11 SECURITY REQUIREMENTS

C.11.1 Security Implementation The Contractor shall establish and implement security aspects of the contract execution environment (i.e. policies, procedures, standards, resources, controls, and outcomes to include applicable verification testing) that are compliant, effective, and reliable in the areas of personnel security (for clearances and access), information security and assurance, and physical security and protection of facilities and infrastructure.

C.11.2 Physical Security The Contractor shall ensure access to Contractor buildings, rooms, work areas and spaces, and structures that house DOC sensitive information or IT systems through which DOC sensitive information can be accessed, is limited to authorized personnel. The Contractor shall ensure controls are implemented to deter, detect, monitor, restrict, and regulate access to controlled areas at all times. Controls shall be sufficient to safeguard IT assets and sensitive information against misuse, loss, theft, destruction, accidental damage, hazardous conditions, fire, malicious actions, and natural disasters.

C.11.3 Badges All Contractors shall complete a Department of Commerce Personal Identity Verification (PIV) Request form CD-591 and Common Access Card (CAC) form 1172-2 prior to being granted access to U.S. federal Government facilities.

In addition, all Contractors will be issued a PIV/CAC badge, in compliance with Homeland Security Presidential Directive 12/HSPD. This technically advanced picture-ID badge will enhance the security of all federally controlled facilities and computer systems to ensure a safer environment for all Federal employees and Contractors. To receive a PIV/CAC card all personnel must have successfully cleared all DOC and Federal investigation and background checks.

C.11.4 Exit Interviews The Contractor shall conduct exit interviews with all departing Contractors and return Government-issued identification badges and Government-issued equipment to the COR.

C.12 CONFLICTS OF INTEREST

Contractor and subcontractor personnel performing work under this contract may receive, have access to, and/or participate in the development of government requirements which may create a current or subsequent Organizational Conflict of Interests (OCI) as defined in FAR Subpart 9.5. The Contractor shall notify the Contracting Officer immediately upon learning that any personnel performing under this contract has or may have a Conflict of Interest.

C.13 DATA RIGHTS

The Government has unlimited rights to all documents/material produced under task orders. All documents and materials, to include the source code of any software produced, designs, blueprints and plans, whether resulting in a solicitation or not, 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.

C.14 EMERGENCY SITUATIONS

Emergency situations and contingency operations at the DOC may require the Contractor to operate at times not considered normal operating hours, as directed by the Contracting Officer. This normally involves utility outages, weather driven contingencies, or any work involving support for significant technical related services critical to the DOC mission and the mission of the supported Bureaus.

C.15 NATIONAL SECURITY

Services may be required to support an activation or exercise of contingency plans outside the normal duty hours. Emergencies (i.e., accident and rescue operations, civil disturbances, terrorist attacks, and natural disasters) may necessitate the Contractor to provide increased or reduced support as determined by the CO.

C.16 REPORTS AND DELIVERABLES

The following reports and deliverables are required at the contract level during performance of this contract. If additional reports are required, they will be defined at the task order level.

The Contractor shall develop, maintain, and implement the following plans throughout the performance of this IDIQ. These plans shall address and integrate the efforts of all Task Orders under this IDIQ.

· Security Plan

· Quality Control Plan

· Emergency Preparedness Plan

· Contractor Financial Management Plan

· Records and Document Management Plan

· Transition-Out Plan

Delivery and Acceptance:

The first draft of all plans shall be submitted to the Contracting Officer’s Representative (COR) as noted in the following chart. The plans shall be updated as appropriate with the award of each subsequent Task Order and/or option period. The COR will accept this deliverable only after all comments have been addressed and approved.

Additionally, the Contractor will be expected to attend a post award conference within 15 days of award.

C.16.1 Security Plan

DOC is subject to various federal statutes and regulations that specify systems security requirements, including Homeland Security Presidential Directive 12: Policy for a Common Identification Standard for Federal Employees and Contractors and the Federal Information Security Management Act of 2002 (P.L. 107-347) (FISMA).

Per the Federal Information Security Management Act of 2002 (FISMA), DOC information and information systems shall be protected from unauthorized access, disclosure, duplication, modification, diversion, destruction, loss, misuse, or theft (whether accidental or intentional). Information access shall be limited based on a least-privileged approach and a need-to-know basis; authorized user access is only granted to obtain information necessary to complete the performance of required tasks

The National Institute of Standards and Technology (NIST) has issued a number of publications that provide guidance in the establishment of minimum-security controls for management, operational and technical safeguards needed to protect the confidentiality, integrity and availability of a Federal information system and the data therein.

The Contractor shall adhere to and follow all DOC Information Security practices, guidelines in accordance with all current security policies. To ensure the confidentiality, integrity and availability of DOC information throughout the system development lifecycle, the Contractor shall address the following of its information security controls and related information, including, but not limited to, the following:

a. Information Security, Policies and Procedures;

b. Physical Security controls;

c. Logical Access controls;

d. Segregation of Duties controls;

e. System Monitoring and Incident Response/Handling controls;

f. Personnel Security controls;

The Contractor shall develop and implement a Security Plan to three critical sections:

· Information Security

· Personnel Security

· Physical Security

The Information Security section shall address the following:

· The Federal Information Security Management Act (FISMA)

· Federal Information Processing Standards (FIPS)

· NIST Special Publications

· The Office of Management and Budget (OMB) Circular A-130

· Any other DOC information security and privacy regulations, guidance, management directives, or policies

The Contractor shall maintain the security posture in accordance with a government-approved Security Program Plan.

The Contractor shall comply with Federal regulations, standards, and policy related to the privacy issue related to “system of records” and individual personal information.

The Contractor shall maintain the privacy and security of all records used, accessed, or contracted during the execution of the tasks and activities defined in this IDIQ.

The Contractor shall satisfy requirements to work with and safeguard Sensitive Security Information (SSI), Personally Identifiable Information (PII), and Protected Health Information (PHI).

The Contractor shall be responsible for the security of:

· All data generated by the Contractor on behalf of the DOC

· DOC data transmitted by the Contractor

· DOC data otherwise stored or processed by the Contractor regardless of who owns or controls the underlying systems while that data is under the Contractor’s control

The Personnel Security section shall address the following:

· Protect PII by administrative, technical, and physical safeguards including safeguarding of information in hard-copy or on portable electronic devices

· Provide and enforce a mechanism to periodically assess the compliance of systems (existing, under development and acquired) with privacy requirements

· In accordance with DOC PII reporting guidelines, notify DOC ESOC or Security POC of any breach to the security of PII and assist in any subsequent investigation and implementation of remedial measures

The Physical Security section shall address the following:

Ensure access to Contractor buildings, rooms, remote work areas and spaces, and structures that house DOC sensitive information or IT systems through which DOC sensitive information can be accessed, is limited to authorized personnel. The Contractor shall ensure controls are implemented to deter, detect, monitor, restrict, and regulate access to controlled areas at all times. Controls shall be sufficient to safeguard IT assets and sensitive information against misuse, loss, theft, destruction, accidental damage, hazardous conditions, fire, malicious actions, and natural disasters.

Contractors are responsible for the security, integrity and appropriate authorized use of interfacing with the Government, equipment and or used for the transaction of any and all Government business. The Government, through the Government's Contracting Officer, may require the use or modification of security and/or secure communications technologies related to Government systems access and use.

C.16.2 Quality Control Plan

The Contractor shall develop and implement a Quality Control Plan (QCP) with quality control mechanisms for processing all PP&B actions. The QCP shall, at a minimum, describe how the Contractor will:

· Review all paper and electronically submitted forms for accuracy, timeliness, completeness, and compliance

· Research and resolve issues with forms, documents, information submitted by all DOC employees

· Ensure all required forms are received

· Follow up with appropriate Point of Contacts (POCs) to obtain outstanding actions and/or information

· Review all data elements for accuracy on transactions prior to transmission to the National Finance Center and conduct validation after transaction applies to the NFC PPS

· Research as needed to identify errors and/or discrepancies and follow up with DOC to correct

· Develop, produce, and analyze quality control reports on an agreed upon cadence, and take action to correct identified discrepancies

· Conduct/participate in quality audits as instructed/agreed upon by DOC

C.16.3 Emergency Preparedness Plan

The Contractor shall develop and implement an Emergency Preparedness Plan to address the following:

· Develop and deliver a Continuity of Operations (COOP) Plan to ensure continuity of operations and disaster recovery procedures for the Contractor and all subcontractors including:

· Ensuring the continued performance to meet SLAs (See Attachment 3: Target SLAs) on all Contractor activities that support the DOC essential human capital functions under all circumstances

· Minimizing damage and losses

· Executing successful succession to office with the accompanying delegation of authorities

· Reducing or mitigating disruptions to operations

· Ensuring the availability of alternate facilities from which to continue to perform all Contractor activities that support the DOC essential human capital functions

· Protecting essential facilities, equipment, records, and other assets

· Achieving a timely and orderly recovery from emergency and reconstituting normal operations that allow resumption of all Contractor activities that support the DOC essential human capital functions

· Providing interoperable communications to support connectivity between key government leadership, internal elements, other agencies, and critical customers during crisis, disasters, or wartime conditions

· Ensuring the COOP Plan contains an Emergency Response Plan that includes procedures appropriate to fire, flood, civil disorder, disaster, bomb threat, or any other incident or activity that may endanger lives, property, or the capability to perform essential functions

· Ensuring the COOP Plan contains a Backup Operations Plan including procedures and responsibilities to ensure essential operations can be continued if normal processing or data communications are interrupted for any reason for an unacceptable period of time

· Ensuring the COOP Plan contains a Post-Disaster Recovery Plan including procedures and responsibilities to facilitate rapid restoration of normal operations at the primary site or, if necessary, at a new facility following the destruction, major damage, or other major interruption at the primary site

· Providing designated COOP essential personnel, as needed, to ensure continuity of operations, perform orderly shut-down of operations, perform other COOP functions responsibilities, as needed

· Ensure, through a formal process, that the Contractor COOP Plan is coordinated directly with the COOP Plan for the DOC

· Provide the COOP Plan to DOC for review and approval

· Plan, conduct, and document periodic tests, training, and exercises of COOP capabilities to assess, demonstrate, and improve the plan’s viability

· Test the COOP Plan annually and record, track, and correct any COOP deficiency

· Notify the DOC Office of the Chief Information Security Officer of any correction that cannot be accomplished within one month of the annual test

· Retain records of the annual COOP test for review during periodic audits

· Abide by applicable guidelines and directives which include:

· Federal Continuity Directive (FCD) 1, January 2017

· OMB Circular A-130, Appendix III

· 210-1 Emergency Readiness for Departmental Continuity

· 210-7 Commerce Responsibilities in Disasters

· Any DOC applicable guidelines and directives

C.16.4 Contractor Financial Management Plan

The Contractor shall develop and implement a Contractor Financial Management Plan to address the following:

· Identify costs associated with discrete individual work processes to allow for transparent accounting and accurate billing to the Federal shared service customers at the finest level of granularity (i.e. Line Office) at the time of transaction

· Develop accurate cost estimates for each period of performance

· Monitor and report weekly, monthly, and annual financial status, including both incurred and invoiced costs

· Provide financial status information, including burn-rate information, as requested by DOC to support ES financial analysis

· Monitor actual quarterly burn compared to forecasted quarterly burn and notify the Contracting Officer and appropriate party at the 50% and 80% funding expenditure points to provide clear insight into expended funds to date

· Additionally, the Contractor shall immediately notify the Contracting Officer and appropriate Government personnel in writing of a drastic and unanticipated increase in workload that will lead to the funding being exceeded before the end of the performance period—regardless of whether the anticipated increase in workload has been confirmed or is merely suspected

· Provide accurate financial reporting of all DOC assets

· Provide prompt and thorough response to, and resolution of financial inquiries and issues

· Establish traceable and verifiable internal Program Control policy and procedures specific to ES requirements

· Provide documented ES Program compliance guidance and oversight

· Provide ES Services financial information, including cost estimates, status of expenditures (to include both incurred and invoiced), burn rate, cost/benefit analyses, progress/status/forecast reporting, and other analyses of budgets, spend plans, and funding

· Provide a scalable PMO methodology that incorporates modules to provide processes, procedures and tools to facilitate the management of project estimates, costs, and budgets

· Provide a spend plan process for the ES PMO

· Manage ES project costs and budgets throughout the project life cycle to ensure the expected benefits accrue to the organization within the specified financial constraints

C.16.5 Records/Document Management Plan

The Contractor shall develop…