Attachment_1_Statement_of_Work_(SOW).docx

ER/LR Tracker Project

STATEMENT OF WORK

1. BACKGROUND:

The U.S. Small Business Administration (SBA) Office of Human Resources Solutions (OHRS) is responsible for developing and implementing SBA’s human capital strategy to carry out the Agency’s responsibilities for selecting, developing, and managing a high-caliber workforce ready to support America’s entrepreneurs as they seize opportunities to grow and reach new markets. OHRS is also accountable for the Agency’s overall human capital program, which includes human resources policy, recruitment, employee development, retention, executive resources, strategic workforce planning, performance management, compensation and benefits, leave administration, labor & employee relations, work/life, and HR IT systems.

OHRS strives to gather information on trends in labor and employee relations matters and serves as the centralized source of information related to the employee, management, and union under various Federal guidelines and regulations. OHRS is transitioning from a manual tracking process for Employee/Labor Relations (ER/LR) cases to an automated ER/LR tracker system. OHRS needs a system to properly monitor Employee Relations and Labor Relations data. The data in the current system is not fully reliable as OHRS has limited capability to track everything needed to properly report on case statuses. OHRS needs a system that can house all the data and documents related to a case in one location.

OHRS currently is using a SharePoint tracker with limited data tracking capabilities. Case documents are not tracked within the SharePoint tracker, but in a separate shared folder. That shared folder was created in 2016, with most of the case documents before that time kept as hard copy files by each Specialist working the case. This current tracking system places the Agency’s ER/LR files at risk for operational continuity and reconstitution of critical Agency files. SBA is required to provide periodic reports to oversight and regulatory agencies, such as, OPM, OMB, MSPB, GAO, OIG, Congress, FLRA, EEOC and potentially federal courts, and data provided should be reliable and contained in one location.

2. FUNCTIONAL REQUIREMENTS

SBA seeks to implement a proven and successful, Commercial off the Shelf web-based ER/LR tracker system. ER/LR specialists will use the ER/LR tracker to effectively manage, track, and report on ER/LR activity. OHRS users access the current system using a Government issued laptop, a Windows domain account, and a PIV. The government issued laptop complies with the United States Government Configuration Baseline (USGCB). It runs the Windows 7 and 10 Operating Systems and Internet Explorer 11 and Edge 42. SBA uses Microsoft Office 365. The laptops will be upgraded to Windows 10. Any COTS product will need to be accessible using the same configurations.

The SBA ER/LR tracker must provide the following:

2.1. Comply with Federal-wide legal and regulatory requirements All Federal Agencies are also now required to comply with “Executive Order 13839, Promoting Accountability and Streamlining Removal Procedures Consistent with Merit System Principles – Data Collection Requirement for Fiscal Year 2018.” To ensure the goals of the EO are met, effective FY 2018, OPM outlined certain types of data for agencies are to collect and report to OPM for FY 2018, and for each fiscal year thereafter. SBA collected that data manually, as some of the information requested cannot be pulled from the SharePoint tracking the cases. That process is ineffective, timely and has a potential for data inaccuracies. Finally, OMB Memorandum M-19-01 (Federal Data Strategy) and Circular A-130 (Managing Federal Information as a Strategic Resource) requires SBA to modernize and improve the agency’s ability to deliver mission outcomes, provide excellent service, and effective stewardship of taxpayer dollars. The acquisition of an ER/LR tracker supports the Agency’s efforts to leverage data as a Strategic Asset and is one of the 14 Cross-Agency Priority goals supporting the Administration’s transformation objectives. The Federal Data Strategy applies to and requires all agencies improve data stewardship and information management.

2.2. Create an ER/LR case file.

Configurable case file types include:

· Employee Relations:

· Disciplinary and adverse actions

· Reprimands

· Suspensions (less than 14 days and more than 14 days)

· Demotions

· Removals

· Performance Based Actions

· Performance Improvement Plans (PIP)

· Within Grade Increase (WGI) denial

· Rating 1 or 2 consultation

· Performance Discipline

· Non-Disciplinary Actions

· Medical Inability Actions

· Letters of Counseling

· Leave

· Family Medical Leave Act (FMLA)

· Leave Restriction Letters

· Disabled Veteran Leave

· Family Friendly Leave

· Administrative Leave-Weather, Investigation, Proposal

· Leave Restoration- “Use or Lose”

· MSPB Appeals/EEO/Settlement Agreements/OSC

· Administrative Grievances

2. Labor Relations (LR):

· Negotiated Grievance

· Arbitrations

· Unfair Labor Practice (ULP)

· Unit Clarification Petitions

· Negotiability Appeals

· Request for Information

· Union Notices

· Information Notice

· De minimis

· Change in working conditions

· Formal Discussions

· Negotiations (Mid-term and Term Bargaining)

· Notice

· Briefing (Requested date and briefing date)

· Demand to Bargain

· Negotiating Team-Management/Union

· Negotiation dates

· Proposals Management

· Proposals Union

· Federal Mediation and Conciliation Service (FMCS)

· Federal Service Impasses Panel (FSIP)

· FLRA-Negotiability Appeal (track separately and link)

· Union Dues

· Request to withdraw or to join

· Date communication

· Anniversary date for withdrawal

· Review of Bargaining Unit Status (BUS) status

· Communication with union/employee

· Submission of document to payroll

3. Investigations

· OIG referral

· Ad Hoc Committee (SOP 37 15, Anti-Harassment)

· Critical Incidents Response Team CIRT

· Referred by management

4. Trainings:

· Document trainings provided to field facilities

5. EEO Requests for Information The ER/LR tracker shall allow for additional case file types to be built or configured based on the specific requirements of the SBA

2.3. Edit case file

ER/LR tracker cases shall be editable by authorized ER/LR Specialists. The ER/LR tracker system shall have an audit trail to allow for review of edits and track people involved.

2.4. Archive case file

ER/LR tracker cases shall be retrievable and accessible for a duration of seven years to comply with records retention requirements. Storage drive quantity shall be determined by SBA. Case files shall be backed up daily. The primary server shall be replicated to a secondary site for backup purposes only or to provide coverage in the event of a significant outage of the primary system. All data transfer shall be unidirectional from the primary server to the backup server.

2.5. Security controls

SBA OCIO and or CISO will concur on the procurement.

Security is paramount within an ER/LR tracker system. The Contractor shall work with SBA to establish security protocols for accessing of case information, ability to read but not work cases, ability to create and or read reports, restrict case data if required, and other security parameters.

2.6. Upload documents attached to the file and in reference section The ER/LR tracker shall allow for case documents to be keyword searched for reference to other/similar cases and for research. The Contractor shall allow for the documents to be restricted upon security parameters.

2.7. Transfer of database to SBA if no longer servicing the contract Data is property of SBA and if no longer serviced by the Contractor, will be transferred to SBA. Data shall be transferred in a file format to be determined by SBA beginning 90 days before the end of the period of performance.

2.8. Reporting capability

The ER/LR tracker system shall have standard reports that are SBA-specific and can be edited and changed by the agency administrator. The system shall also have ad hoc reporting capability that ER/LR specialists can share with others or lock from editing. Report formats shall include but not be limited to Word, Excel, PDF, and Text formats.

2.9. Alerts and tickler capability

The ER/LR tracker shall provide reminders to specialists of activities and track activities for timeliness.

3. TRAINING REQUIREMENTS

Contractor shall provide training and establish a training help desk for SBA subscribers. Training deliverables shall be determined by SBA, and an on-going help desk function shall be available once the system is operational.

4. PEFORMANCE STANDARDS

System pages not updated within the most recent three months must be reviewed for content, accuracy, clarity, and timeliness of message.

The service level agreement will require the system to be accessible 99% of the time.

5. IMPLEMENTATION

The following schedule of milestones will be used by the COR to implement and monitor timely progress under this contract. The Contractor shall deliver the project milestones listed in the table below. All references to days are in terms of Government Workdays.

Period of Performance end date

monthly, or monthly as required by Government 1 per system

Conceptualization Phase Deliverables

Project Work Plan showing cost, schedule, resources, and Work Breakdown Structure (WBS), in the form of a Microsoft Project-based Gantt chart document.

Definition Phase Deliverables

Design Phase Deliverables

Execution Phase of Deliverables

6. TRAVEL:

Travel required to fulfill the tasks in this SOW shall be performed in accordance with FAR 31.205-46.

7. GOVERNMENT FURNISHED MATERIAL/INFORMATION:

Government will furnish FedRamp Cloud environment with the requisite FedRAMP security controls and requirements and access to the space.

The SBA OHRS Contracting Officer’s Representative (COR) is the point of contact to furnish copies of required documentation for the effort and access to resources for data collection. The SBA COR shall furnish the Contractor with current task pertinent information and other documentation or materials as required for conducting specified tasks described.

8. PERSONNEL SECURITY:

SBA OCIO and or CISO will concur on the procurement.

Contractor personnel performing work under this Task Order must have the capability to pass a high-risk public trust background investigation prior to the start of the work and be able to maintain the level of security for the life of the contract. All personnel working on this Task contract must be US Citizens or legal permanent residents (LPR).

The Contractor recognizes that, in performing this contract, the Contractor may obtain access to non-public confidential information, Personally Identifiable Information (PII), or proprietary information. The Contractor agrees that it, its employees, its subcontractors, and its subcontract employees will not disclose to any third party, or otherwise use, any information it obtains or prepares in the course of performance under the Task Order without first receiving written permission from the SBA. Information acquired by the Contractor pursuant to the performance of the Task Order shall not be disclosed by the Contractor to others outside the approved Contractor team members and the oversight staff without prior approval by the COR. Under the Contract Disputes Act, any unauthorized disclosure of non-public confidential information, Personally Identifiable Information (PII), or proprietary information is considered a violation of a material term of this contract.

Contractor Personnel Security Pre-Screening of Personnel and Removal of Unacceptable Personnel All Contractor personnel or any representative of the Contractor entering any Government facility or Government-leased facility shall abide by all security regulations and be subject to security checks. A Background Investigation (BI) is required for all Contractor personnel (includes subcontractor personnel) who are:

(a) Working on-site; or

(b) Accessing SBA systems; or

(c) Accessing SBA data which, if misused, would likely cause significant harm; or

(d) Representing the SBA in a significant capacity.

All personnel shall be subject to BI in accordance with the SBA Standard. Contractors shall exercise due diligence in their hiring process. Contractors that can certify fingerprint based criminal background checks for, at a minimum, the jurisdictions in which they live and work, verification of past employment and education as part of their hiring process may have their employees begin working upon the submission of the required documents.

Contractors who cannot certify that they include these elements as part of their hiring process must wait for the results of the SBA fingerprint based criminal history records check to be successfully completed.

1. Applicable personnel shall not begin working on the TO until all security forms have been properly completed, submitted to the COR for processing, and vetted and approved by SBA’s Personnel Security office, as follows:

a. Completed fingerprint cards

b. Non-disclosure Agreement

c. Fair Credit Reporting Act Release

d. SF 85-P, “Questionnaire for Public Trust Positions”

Personnel performing work in positions deemed to be high risk must complete a BI and must be United States citizens. Applicable personnel shall not begin working on the contract until all security forms have been properly completed, submitted to the COR for processing, and vetted and approved by the SBA’s PS office, as follows:

1. Completed fingerprint cards

2. Non-disclosure Agreement

3. Fair Credit Reporting Act Release

4. SF 85P

5. Optional Form 306 Non-Disclosure Agreement The Contractor’s employees performing on this TO may be required to sign a non-disclosure agreement (NDA) regarding all deliverables and other pertinent information relative to this requirement. All information provided by the Government shall be returned to the Government at the conclusion of the TO. In addition, the Contractor must have provided the personnel associated with the TO, all security and privacy awareness training and all other requirements contained in the Federal Information Security Management Act of 2002 (FISMA) regulations, National Institute of Technology (NIST) guidelines and all other public law, which shall include those requirements of the Federal Acquisition Regulation (FAR). Classified information will NOT be made available to the Contractor.

9. SECTION 508 COMPLIANCE:

The Contractor shall comply with Section 508 of the Rehabilitation Act of 1973 (29 U.S.C. 794d). Specifically, the procurement, development, maintenance, or integration of electronic and information technology (EIT). This requirement applies to Web Based Intranet and Internet Information and Applications and Information and Documentation and Support in accordance with Web Content Accessibility Guidelines (WCAG) 2 standards.

10. Title to Materials Shall Vest in the Government All hardware, software, materials, products, licenses, source code, data, and information produced and/or furnished to the Government under this Contract shall become the property of and remain with the Government upon delivery and acceptance by the Government. This shall include but not be limited to the following: plans, systems analysis, design specifications, drawings, completed programs and documentation thereof, reports and listings, all tapes, disk files, databases, servers, and other items pertaining to the work and services to be performed pursuant to the Contract. The Government shall have unlimited rights to use, disclose, reproduce, prepare derivative works, and distribute copies to the public of such hardware, software, materials, products, licenses, source code, data, and information in any manner and for any purpose, and to have or permit others to do so, without compensation to or approval from the Contractor.

11. Technical Objectives The contractor shall:

11.1 Provide all technical advisory services necessary to fully implement the Employee and Labor Relations System in either the SBA Azure or AWS FedRAMP cloud;

11.2 Work with SBA to ensure backup, recovery and disaster recovery procedures and processes in the SBA Azure or AWS FedRAMP cloud environment for the target applications and services that support the following objectives:

· Recovery Point Objective (RPO) – Ability to recover files for any specific day within a rolling one-month period.

· Recovery Time Objective (RTO) – Ability to recover files within two (2) business days.

· Data Backup Location – Data backups maintained or replicated at a site geographically disparate from the production site such that the loss of one data center does not prohibit recovery of data within the prescribed RTO.

· Ability to stand up the full services at a geographically disparate location from the primary production site within 1 business day in case of complete failure at the primary site (failover);

1.1.3. Provide COTS solutions that are IPv6 capable. An IPv6 capable system or product shall be capable of receiving, processing, transmitting and forwarding IPv6 packets and/or interfacing with other systems and protocols in a manner similar to that of IPv4. Specific criteria to be deemed IPv6 capable are: An IPv6 Capable system must meet the IPv6 base requirements defined by the USGv6 Profile and Testing program as found here “http://w3.antd.nist.gov/usgv6/testing.html”. Systems being developed, procured or acquired shall maintain interoperability with IPv4 systems/capabilities. Systems shall implement IPv4/IPv6dual-stack and shall also be built to determine which protocol layer to use depending on the destination host it is attempting to communicate with or establish a socket with. If either protocol is possible, systems shall employ IPv6.

12. PLACE OF PERFORMANCE:

The Contractor will build the environment in Government owned FedRamp. All Operation and Maintenance will be performed from Contractor space.

13. PERIOD OF PERFORMANCE:

The period of performance shall be a base year (12 months), as of date of award signature and four non-competitive option years (exercised unilaterally at the discretion of the U.S. Small Business Administration).

a) SBA must notify the Contractor in writing of the Agency’s intent to exercise each option period before the contract’s current performance period expires.

b) SBA must give the Contractor at least 30 days advanced notice of the Agency’s intent to exercise each option year before the original 12-month performance period expires.

INSTRUCTIONS FOR SUBMISSION OF QUOTE AND TECHNICAL EVALUATION CRITERIAS

Factor #1-Product Description and Acceptance Requirements-The criteria specified in the Statement of Work represents both the Government’s essential needs and preferences that extend beyond the minimum. Quotes must include sufficient material such as narrative technical specifications, brochures, demo disk to permit the Government to determine that the COTS product meets the minimum requirements set forth, and whether the product contains any superior features. Any specific variances from the specifications shall be addressed by the offeror with respect to how the offeror’s proposed alternative provides equivalence. The Government may require a product demonstration if sufficient information is not provided by offerors.

Factor #2 – Technical Approach - The contractor's technical approach demonstrates a clear understanding of the work to be performed. The proposal outlines an effective, efficient, achievable approach for accomplishing the work to be performed by this task order within the timeline specified by either performance periods or documented in a deliverable schedule. This includes time required for system customization and providing a data extractable environment.

Factor #3-Corporate Experience-The factor refers to the firm’s technical experience and corporate abilities to supply software that will meet the necessary requirements and be supported over the life cycle of the product as it is implemented at the SBA. The offeror must address: 1. Experience working with Federal, State or local government agencies, or commercial entities, 2. Estimated number of customers and listing of key customers, 3. Number of years offeror has supplied product.

Factor #4- Past Performance-This factor refers to the offeror’s record of conforming to specifications of good workmanship; the offeror’s history of reasonable and cooperative behavior and commitment to customer satisfaction; and, the offeror’s business-like concern for the customer’s interest. The offeror must submit at least three references of current product users that will be contacted. Submit reference name, phone number, e-mail addresses to be contacted. The Government may obtain past performance information from other sources.

Factor #5-Price-This factor does not refer to an independent analysis of the price of the product, but to an analysis of the most comprehensive, cost-effective pricing for all the products the offeror provides.

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