Attachment A 6_21_22 Performance Work Statement RMR-CSRO GAP ANALYSIS.pdf

ATTACHMENT A

Performance Work Statement

Western Area Power Administration Colorado River Storage Project - Management Center (CRSP-MC) and Rocky Mountain Region (RMR), Gap Analysis and Software Requirements

U.S. DEPARTMENT OF ENERGY

WESTERN AREA POWER ADMINISTRATION

PERFORMANCE WORK STATEMENT

CRSP/RMR Gap Analysis and Software Requirement Services

1. GENERAL

1.1 Scope of Work

The Western Area Power Administration (Western), Colorado River Storage Project - Management Center (CRSP-MC) and Rocky Mountain Region (RMR), require a contractor to perform a Gap Analysis of functional areas and Software Requirement Services at various locations. The required services as described further in this Performance Work Statement (PWS), include the following:

A. Gap Analysis

i. CRSP and RMR require a qualified contractor to evaluate CRSP’s and RMR’s current business practices, resources, tools, and operations compared to operating in the Southwest Power Pool (SPP) Regional Transmission Organization (RTO) and identify needs, changes, software cost, and implementation costs.

ii. CRSP and RMR require a qualified contractor to evaluate CRSP’s and RMR’s current business practices, resources, tools, and operations and address the needs of successfully operating in the future state arena.

iii. CRSP and RMR require a qualified contractor to evaluate market strategies that may provide benefit to operating directly in the RTO market (i.e., FES, co-supply, etc.).

iv. CRSP and RMR require a qualified contractor to evaluate their full network model and identify what modifications are required to operate in the SPP RTO market. The qualified contractor will use this information to help create a plan to implement modifications, remediate issues, and assist CRSP and RMR staff in completing modifications.

v. CRSP and RMR require a qualified contractor to create a training strategy and plan that includes:

Overall training strategy and plan. Describes the approach to developing, delivering, and tracking all necessary training to ensure successful execution of the market implementation project and readiness ahead of market activation.

B. SPP RTO Software Requirements:

i. CRSP and RMR require a qualified contractor to define detail-level solution architecture that identifies the key systems and processes which are necessary to perform all core SPP RTO market functions (identify system, date sources, and the responsibilities between different CRSP and RMR teams). Identify internal interfaces and those external to the market, file transfers, etc.

ii. CRSP and RMR require a qualified contractor to define technical architecture.

• Assess the viability and robustness of the technical architecture as proposed by WAPA and vendors.

• Define whether software is hosted in the cloud or on premises.

• Disaster recovery plan as required and integration/interface plan and design review.

iii. CRSP and RMR require a qualified contractor to define business and system requirements.

iv. CRSP and RMR require a qualified contractor to evaluate software solutions.

v. CRSP and RMR require a qualified contractor to evaluate technical components, requirements, and timely delivery of new software contracts associated with implementation of the RTO market.

C. Contractor will produce a detailed written report that identifies findings, comparisons, and costs for scenarios listed above.

Western, CRSP, RMR, and the Government are used interchangeably in this document, and all have the same meaning.

1.2. Background

Western, part of the U.S. Department of Energy (DOE), is a Federal power marketing administration that markets and delivers reliable, cost-based hydroelectric power and related services within a 15-state region. The RMR serves preference customers in Colorado, Wyoming, Nebraska and Kansas.

RMR also services the Colorado River Storage Project-Management Center (CRSP-MC) in Montrose, Colorado. CRSP-MC provides transmission services to facilities in Arizona, New Mexico, Colorado, Utah, Texas, and Wyoming. RMR’s mission includes maintenance and operation of the high-voltage transmission system including 80 substations and over 5,400 miles of high-voltage power transmission lines that deliver power from CRSP-MC and over 19 power plants to its wholesale customers.

In 2020, CRSP and RMR joined the SPP WEIS market and now are evaluating to join the SPP RTO market. These assessments and documentations are to support this effort.

1.3. Location

The work locations are at:

1. CRSP-MC main facility at 1800 South Rio Grande Avenue, Montrose, CO 81401

2. RMR main facility at 5555 East Crossroads Blvd., Loveland, CO 80538

1.4. Government Personnel

1.4.1 The Contracting Officer (CO) is the individual executing this contract on behalf of the

Government and is responsible for the overall administration of the contract. The CO is the only person authorized to make any changes in the prices, terms, or other conditions of the contract.

1.4.2 The Contracting Officer’s Representative (COR) is responsible for giving the contractor any special technical instructions or guidance necessary to ensure contract execution. The COR has no authority to alter the terms of conditions of the contract or Performance Work Statement (PWS).

1.5. Contractor Personnel

1.5.1 The contractor shall furnish adequate supervision at the premises to ensure that work is performed in a satisfactory manner. It is the responsibility of the contractor to maintain close surveillance over personnel employed to perform work on the contract.

1.5.2 The contractor shall have a competent on-site representative authorized to act on behalf of the contractor, available to the CO or COR, to receive instructions or information regarding work under the contract. The on-site representative must be able to fluently speak and understand English.

1.5.3 No unauthorized personnel are permitted on the premises.

1.6. Hours of Work

CRSP-MC, Montrose, Colorado, regular business hours are from 7:30 a.m. to 4:00 p.m. daily, Monday through Friday, except for Federal holidays. RMR Power Marketing and Operations Complex (PMOC), Loveland, Colorado, regular business hours are from 7:30 a.m. to 4:30 p.m. daily, Monday through Friday, except for Federal holidays. Normal work hours for RMR’s Maintenance personnel are from 7:00 a.m. to 5:30 p.m. daily, Monday through Thursday. Differing from this schedule may be authorized on a case-by-case basis with the COR’s and CO’s prior approval.

1.7. Submittals

1.7.1 Safety Plan. A Safety Plan is required to be submitted to the CO and COR no later than 10 calendar days after contract award. Western’s approval of the plan is required prior to the commencement of work.

1.7.2 List of Employees. Contractor shall furnish names of all personnel performing work on this contract no later than 10 calendar days after contract award. List of employees shall be submitted to the CO and COR no later than 10 calendar days after contract award. The list of employees must identify citizenship. No unidentified or unauthorized personnel shall be allowed or permitted on the work site.

1.7.3 Work Schedule. Contractor shall submit a proposed work schedule to the CO and COR no later than 10 calendar days after contract award. Western’s approval of the work schedule is required prior to the commencement of work.

1.7.4 Submittals.

1.7.4.1 Implementation plan (within 30 calendar days of award)

1.7.4.2 Gap assessment methods (within 30 calendar days of award)

1.7.4.3 Technical requirement gathering methods (within 30 calendar days of award)

1.7.4.4 Reports and Results

1.7.4.4.1 Documenting revised processes and procedures for operating in the RTO (within 120 calendar days)

1.7.4.4.2 Complete technical software requirements package (within 200 calendar days)

1.7.4.4.3 Training material and trainings (within 240 days)

1.7.4.4.4 Final report (within 320 days)

1.8. Pre-Performance Meeting and Period of Performance

The CO will schedule a meeting with the contractor within 1 to 2 week(s) following the contract award to discuss the requirements of the contract, to include safety prior to start of work.

The contract period of performance shall be one (1) year upon contract award.

1.9. Compliance with Regulations

In performing the work required by this contract, the contractor shall comply with all applicable Federal, State, and local laws and regulations.

1.10. Licenses and Permits

The contractor shall obtain and maintain, at its sole expense, all necessary licenses and permits required to meet the requirements of the contract.

1.11. Materials, Equipment, and Storage

1.11.1 The contractor shall furnish all materials and supplies required for the performance of work under this contract.

1.11.2 The contractor shall determine and furnish all equipment required for the performance of the work under this contract. All equipment shall comply with applicable OSHA guidelines and shall be in good operating condition. The contractor shall operate the equipment in accordance with the original manufacturer’s recommendation and applicable laws and regulations.

1.11.3 The contractor shall provide off-site storage space for its materials and equipment. Materials and equipment shall not be stored on Western property.

1.12. Interference with Business

The Government may undertake or award other contracts for additional work, and the contractor shall fully cooperate with such other contractors and Government employees and carefully schedule its own work to such additional work as may be directed by the COR. The contractor shall not commit or permit any act that will interfere with the performance of work by any other contractor or by Government employees.

The services under this contract shall be performed in such a way that there will be no interruption to or interference with the normal operation of Government business on the premises. Persons employed by the contractor shall, while on the premises, comply with all applicable regulations.

1.13. Government Furnished Property, Equipment, Materials and Utilities

1.13.1 The Government will not furnish any property, equipment, or materials for use under this contract.

1.13.2 The Government will provide electrical power at sites with existing power outlets for the operation of equipment as necessary to perform services. Contractor shall furnish and provide power for those sites without electrical power.

1.13.3 The Government will provide water at sites where it is available from an existing outdoor source. Contractor shall furnish and provide water for those sites without existing water.

1.13.4 Sanitation facilities are available at some sites.

1.14. Security of Facilities

Security of Government facilities is a shared responsibility of all employees, both Federal and contractor.

1.14.1 Contractor personnel shall be alert to surroundings and notify the CO, COR, RMR Security

Specialist, or on-duty contractor security staff after hours of suspicious activity, including unescorted persons who do not have a visitor’s badge, or known or suspected unauthorized removal of Government property from the facility.

1.14.2 Contractor personnel shall notify the CO, COR, RMR Security Specialist, or on-duty contractor security staff after hours, if they have any security issues or concerns.

1.14.3 Contractor personnel shall protect identification badges and card keys and notify the RMR

Security Specialist within 24 hours if card keys or badges are lost. Badges and card keys shall be returned to the RMR Security Specialist when employment is terminated.

1.14.4 Contractor personnel shall not prop open doors, and when entering or leaving the complex shall ensure that doors and gates are secure. Contractor staff shall notify the RMR Security Specialist if they are unable to secure a door or gate.

1.14.5 Contractor personnel shall not allow any person to enter Western property without proper clearance from the RMR Security Office.

1.14.6 The Government may require immediate removal of the employee from the contract and the job site for conduct issues deemed by the Government to be serious (for example: violent behavior or comments, theft, misuse of Government equipment, unsafe work practices, fraudulent activity, etc.).

1.15. Safety

1.15.1 The contractor shall comply with the latest effective standards promulgated by the

Department of Labor, Occupational Safety and Health Administration (OSHA), Safety and Health Standards, 29 CFR 1910 and 29 CFR 1925, and shall comply with all applicable safety and health regulations and requirements, including DOE and Western requirements.

1.15.2 The contractor shall take all reasonable precautions in the performance of the work under this contract to protect the safety and health of employees and members of the public and shall comply with all applicable safety and health regulations and requirements, including DOE and Western requirements.

1.15.3 The contractor shall maintain an accurate record of and shall immediately report to the COR and the CO, all cases of death, occupational disease, or traumatic injury to employees or the public, and any property damage as a result of performance under this contract.

1.15.4 The contractor shall ensure that its employees are provided with personal protective equipment (PPE) as necessary in accordance with established regulations and procedures.

This equipment includes, but is not limited to, occupational foot protection and eye and face protection as required by OSHA Standards 29 CFR 1910 and as required by Western safety standards and directives.

1.15.5 The contractor shall ensure that its employees have been appropriately instructed and trained in the proper use of any equipment, vehicles, and/or personal protective equipment needed for the performance of their duties. The contractor shall ensure that its employees comply with all applicable Federal, State, and/or local safety rules and regulations in the performance of their duties.

1.15.6 The contractor shall report all near misses to the CO and COR within 24 hours of the occurrence. These near-miss reports, identifying the nature of the hazard and the corrective actions which have been implemented to prevent a reoccurrence in the future, may be generic, with no mention of individual employees involved in the incident. Near-miss reports are used as an information tool and are distributed regionally.

1.15.7 The contractor is required to establish a Safety Plan/Program which includes, in addition to other requirements, a monthly safety meeting for all employees (with the exception of office staff). The contractor's Safety Plan shall be documented and available for the CO and COR to review at any time.

1.16. Environmental Requirements

1.16.1 The contractor shall comply with all applicable Federal, State, and local environmental laws and regulations, and current Western policies and procedures.

1.16.2 The contractor shall dispose of or recycle hazardous, universal, and non-hazardous waste material in accordance with all applicable Federal, State and local laws, regulations and ordinances, and current policies and procedures identified by Western. Wastes shall be reduced by recycling, reusing, or reprocessing to the maximum extent practicable.

1.16.3 Hazardous, Universal, and Non-Hazardous Wastes. The contractor shall manage hazardous, universal, and non-hazardous wastes in accordance with all applicable State, Federal, and local regulations, and existing policies and procedures identified by Western.

1.16.4 Contractor’s Liability for Regulated Material Incidents. The contractor is solely liable for all expenses related to spills, mishandling, or incidents of regulated material (such as, but not limited to petroleum products and pesticides) attributable to its employees’ actions or the actions of its subcontractors. This includes all response, investigation, cleanup, disposal, permitting, reporting, and requirements from applicable environmental regulation agencies.

1.17. Quality Control and Quality Assurance

1.17.1 The contractor is responsible for quality control and shall utilize its own internal quality control processes in the performance of this contract. The contractor shall develop and maintain a Quality Control Plan (QCP) to ensure all services are performed in accordance with the Government’s performance standards outlined in the Performance Requirements Summary (PRS) section of this PWS.

1.17.2 Performance Standards. See Exhibit 1. The PRS is a listing of significant performance objectives with associated performance standards that will be monitored and inspected by Government personnel. Each performance objective represents a critical function as identified by the Government at the time of contract award. The performance standard represents the minimum acceptable level of contractor performance. The performance objectives and standards represent only the critical components of this contract, and do not excuse the contractor from performance of other responsibilities identified in the PWS. All services described in this PWS are subject to inspection/surveillance by the Government.

1.17.3 Government Surveillance of Contractor Performance. In order to supplement the contractor’s

QCP, Western personnel will verify contractor compliance with essential performance requirements. The Government may use various methods to perform surveillance of contractor performance, including customer input, random sampling, periodic inspection, contractor reporting, etc.

1.17.4 Contract Discrepancy Report (CDR). A CDR (PWS Exhibit 2) will be initiated by the CO or

COR if, at any time during the performance, the results of Western’s surveillance show the number of observations of unacceptable performance during the period exceeds the threshold specified in the PRS, and the CO/COR determines that the unacceptable performance was not caused by the Government. Instructions for completing the CDR are as follows:

1.17.4.1 The COR completes Blocks 1 through 6 and sends the form to the CO. Block 6 must include the PRS number corresponding to the discrepancy, the threshold of that PRS item, the number of discrepancies documented, and the PWS paragraph reference describing the Government’s expectations for that PRS item.

1.17.4.2 The CO evaluates the CDR, and if appropriate, signs it and sends it to the contractor with a cover letter requesting a response within a specified number of days.

1.17.4.3 The contractor must complete Blocks 7 through 10 and return the CDR to the CO within the specified time period on the cover letter.

1.17.4.4 Upon receipt of the contractor’s response, the CO, in consultation with the COR, will evaluate the contractor’s response and take appropriate action. The CO will document the evaluation in Block 11 and action taken in Block 12.

1.17.4.5 In most cases, the preferred action is re-performance by the contractor at no additional cost to the Government. If deduction from payment is the appropriate action, the COR and CO will calculate the payment deduction based on the performance period in which the discrepancy occurred. The deduction is taken from the contractor’s payment as close as possible to the month in which the discrepancy occurred, but not necessarily the same month. The Government should not withhold payment of an invoice while calculating the deduction.

1.17.4.6 The COR will complete Blocks 13a and 13b. The CO signs the CDR in Block 13c.

These signatures indicate concurrence with the actions taken.

1.17.4.7 In the event the CO determines that issuance of a CDR is not appropriate; the CO shall document the contract file indicating why such action is not appropriate.

1.18. PWS Exhibits

The exhibits listed below are attached to and incorporated into this PWS.

Exhibit 1: Quality Assurance Surveillance Plan (QASP). The purpose of the QASP is to communicate the Government’s quality expectations and the process to evaluate the contractor’s performance.

Exhibit 2: Contract Discrepancy Report (CDR)

2. SCOPE OF WORK

Western CRSP and RMR are seeking a contractor that meets the following criteria:

Has extensive knowledge of the SPP RTO and an in-depth understanding of how the SPP RTO works.

Has knowledge of hydro plants that operate with environmental constraints, pump storage, and run of the river conditions.

Completed three successful energy market gap assessments.

Completed at least two projects assisting a utility with similar size as WAPA in joining the SPP RTO.

Contractor shall provide qualified, trained, skilled personnel that have experience with SPP RTO market implementation to provide the following:

2.1. SPP RTO Gap Analysis:

2.1.1 CRSP and RMR require a qualified contractor to evaluate CRSP’s and RMR’s current business practices, resources, tools, and operations compared to operating in the SPP RTO and identify needs, changes, and costs.

2.1.2 CRSP and RMR require a qualified contractor to evaluate CRSP’s and RMR’s current business practices, resources, tools, and operations and address the needs of successfully operating in the future state arena.

2.1.3 CRSP and RMR require a qualified contractor to evaluate market strategies that may provide benefit to operating directly in the RTO market.

2.1.4 CRSP and RMR require a qualified contractor to evaluate their full network model and identify what modifications are required to operate in the SPP RTO market. The qualified contractor will use this information to help create a plan to implement modifications, remediate issues, and assist CRSP and RMR staff in completing modifications.

2.1.5 CRSP and RMR require a qualified contractor to create a training strategy and plan that includes:

Overall training strategy and plan. Describes the approach to developing, delivering, and tracking all necessary training to ensure successful execution of the market implementation project and readiness ahead of market activation.

2.2. SPP RTO Software Requirements:

2.2.1 CRSP and RMR require a qualified contractor to define high-level solution architecture that identifies the key systems and processes which are necessary to perform all core SPP RTO market functions (identify systems, data sources and the responsibilities between different

CRSP and RMR teams. Identify internal interfaces and those external to the market, file transfers, etc.

2.2.2 CRSP and RMR require a qualified contractor to define technical architecture. Assess the viability and robustness of the technical architecture as proposed by WAPA and vendors.

Define whether software is hosted in the cloud or on premises. Disaster recovery plan as required and integration/interface plan and design review.

2.2.3 CRSP and RMR require a qualified contractor to define business and system requirements.

2.2.4 CRSP and RMR require a qualified contractor to evaluate software solutions.

2.2.5 CRSP and RMR require a qualified contractor to evaluate technical components, requirements, and timely delivery of new software contracts associated with implementation of the RTO market.

2.3. Contractor will produce a detailed written report that identifies findings, comparisons, and costs for scenarios listed above.

The contractor will leverage past experience to advise, guide, and assist Western in identifying activities that increase-effectiveness and efficiency as well as risks or challenges that can be averted or mitigated.

Functional areas to be evaluated by the contractor include but are not limited to the following:

Contracts

IT

Marketing Metering Operations Settlements Transmission

EXHIBIT 1

1. Quality Assurance Surveillance Plan (QASP)

The Performance Requirements Summary (PRS) is a listing of the significant performance objectives with associated performance standards that will be monitored and inspected by the Government. The performance standard represents the minimum acceptable level of contractor performance. The performance objectives and standards represent only the critical components of this contract and do not excuse the contractor from performance of other responsibilities identified in the PWS.

The PRS indicates the services of the contractor that the Government will evaluate to report the contractor meets standards of performance. The purpose of the PRS is to identify the levels of performance required to warrant full payment. The absence of any contract requirement from the PRS shall not detract from its enforceability or limit the rights or remedies of the Government under any other provision of the contract, to include the "Inspection of Services" clause in determining the quality of contractor performance. Other tasks identified in the PWS but not identified as a PRS may be added for surveillance at any time as determined by the CO.

A Contract Discrepancy Report (CDR) is prepared by the COR when the contractor exceeds the Allowable Acceptable Quality Level. The COR shall submit the CDR, along with supporting documentation, to the CO. Upon the CO’s validation of the CDR, the CO will approve the document and send it to the contractor for their action.

Once all conditions of the CDR are met, the CO will file as an official record to document contract Performance. If the contractor is required to repeat the required performance or action correctly the CDR will remain open until the services have been determined complete. If the services cannot be re-performed or completed, then a monetary deduction will be taken based on the position assigned to the task and estimated number of hours to complete the task.

PRS ITEM NO. REQUIRED STANDARD SURVEILLANCE ACCEPTABLE

1) 1.1 /2 Scope of

Work Contractor shall provide support services specified within the PWS.

Contractor shall perform the required work specified in the PWS and in accordance with (IAW) approved principals of WAPA's Program and IAW principles, applicable Federal, State and/or local laws, rules, ordinances, and regulations to the satisfaction of WAPA- CRSP and RMR.

100% Contractor is not allowed any deviation

Government Inspection, Complaints

No more than Two CDRS’s per year.

2) 1.14 Security Requirements

Contractor employees shall wear at all times an identification badge provided by CRSP and RMR Security.

100% Contractor is not allowed any deviation

Government Inspection, Complaints

No more than Two CDRS’s per year.

EXHIBIT 1 (Continued)

3) 1.14 Physical Security Requirements

Contractor is responsible for safeguarding all Government issued equipment and materials.

Contractor will be responsible for any lost or stolen equipment and will be required to reimburse the Federal Government for replacement of equipment and material.

100% Contractor is not allowed any deviation

Government Inspection, Complaints

No more than Two CDRS’s per year.

4) 1.5.5.D Handling of Government information

Contractor is required to handle personal and confidential information (Official Use Only).

Contractor will train employees regarding the Governmental regulations required to adhere to this practice.

100% Contractor is not allowed any deviation

Government Inspection, Complaints

No more than Two CDRS’s per year.

5) Invoices All supporting documentation shall be included in the invoice package per the contract and accurately reflect contract allowable compensation.

100% Contractor is not allowed any deviation

Government Inspection

No more than Two CDRS issued for exceeding 5 Errors per year.

One CDR Per Year.

EXHIBIT 2

Contract Discrepancy Report Contract No. 1. Report No. for this Discrepancy:

Contractor’s Name:

2. From: (Name of Contracting Officer representative)

Dates

3. Prepared:

4. Returned by Contractor:

5. Action Complete:

6. Discrepancy or Problem: (Describe in detail; include reference to PWS directive; attach continuation sheet, if necessary):

Signature of CO:

7. To: (Contracting Officer)

8. From: (Contractor)

9. Contractor Response as to Cause, Corrective Action and Actions to Prevent Recurrence (Attach Continuation Sheet if Necessary)

10. Signature of Contractor Representative:

Date:

11. Government Evaluation:

12. Government Actions:

13. Close Out Name Title Signature Date

(13a) Contractor Notified

(13b) COR

(13c) CO