Appendix_A__Audit_Management_Software_Detailed_Requirements.xlsx
XLSX spreadsheet 31 KB Posted
- Attached to
- new, purchase Audit Documentation Software Federal contract opportunity
- Solicitation number
- 89603018Q0085
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89603018Q0085 0001 Appendix A Audit Management Software Detailed Requirements.xlsx
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Other files for this federal contract opportunity
| File | Type | Posted |
|---|---|---|
| Vendor_Questions_OE_a7_27_18.docx | DOCX document | |
| 89603018Q0085_0002_1.docx | DOCX document | |
| 89603018Q0085_0002.docx | DOCX document | |
| GPAT-Audit_Software.pdf | ||
| 89603018Q0085_0001.docx | DOCX document | |
| Attachment_B_Bid_Model.xlsx | XLSX spreadsheet | |
| 89603018Q0085_0001_1.docx | DOCX document | |
| Attachment_A_Statement_of_Work_Audit_Management_Software.docx | DOCX document | |
| 89603018Q0085_1.docx | DOCX document | |
| 89603018Q0085.docx | DOCX document |
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Technical Technical Requirements
| Mandatory Elements | ||||
| Category | Description | Requirement | Meets or Does Not Meet | Comment |
| Architectural Standards | The solution should offer an on-premises deployment option. | Mandatory | ||
| Architectural Standards | The solution shall support the TCP/IP communication protocol | Mandatory | ||
| Architectural Standards | The solution shall support Trusted Internet Connection (TIC) | Mandatory | ||
| Compliance | The solution shall meet the applicable accessibility standards of Section 508 of the Rehabilitation Act. | Mandatory | ||
| Sustainment/Support | The solution must be scalable | Mandatory | ||
| Sustainment/Support | The solution must be configurable by FERC | Mandatory | ||
| Sustainment/Support | The solution shall provide a centralized web-based interface for the administration of the solution. | Mandatory | ||
| Highly Desirable Elements | ||||
| Category | Description | Requirement | Fully Meets, Partially Meets, or Does Not Meet | Comment |
| Architectural Standards | The solution may offer a thick-client user interface in addition to the web-based interface | Highly Desirable | ||
| Architectural Standards | The solution must be compatible with Windows Server 2012 R2 running on a virtual machine environment | Highly Desirable | ||
| Architectural Standards | The solution must support Microsoft SQL Server version 2014 or 2016 | Highly Desirable | ||
| Architectural Standards | A web-based solution must be compatible with Internet Explorer 11 and Google Chrome version 62 or higher. | Highly Desirable | ||
| Architectural Standards | A thick-client solution with installation components on a user workstation must support Windows 7 and Windows 10 operating systems. | Highly Desirable | ||
| Architectural Standards | A cloud-based solution should be FEDRAMP authorized. | Highly Desirable | ||
| Compliance | The solution shall conform to the Privacy Act standards for the protection of Personally Identifiable Information which may be input or stored in the system. | Highly Desirable | ||
| Compliance | The solution shall comply with FIPS 140-2 for encryption. | Highly Desirable | ||
| Integration | The solution shall provide out of the box integration with Microsoft Office Products (Word, Excel, PowerPoint) | Highly Desirable | ||
| Integration | The solution shall provide out of the box integration with Microsoft Exchange (Outlook) | Highly Desirable | ||
| Integration | The solution must provide a means to interface with the WebTA application. | Highly Desirable | ||
| Performance | The solution shall display functional and traceable error messages that aid the user or solution administrator in the identification and response of issues. | Highly Desirable | ||
| Performance | The solution shall provide a means for an administrator to monitor system performance and optimize the solution in real time. | Highly Desirable | ||
| Performance | The solution shall support high availability. | Highly Desirable | ||
| Performance | The solution shall support load balancing. | Highly Desirable | ||
| Performance | The solution shall provide a means for an administrator to monitor system performance and optimize the solution in real time. | Highly Desirable | ||
| Performance | The solution shall have the capability to send email notifications to solution administrators. | Highly Desirable | ||
| System Access and Security | The solution shall support single-sign on via Active Directory or LDAP | Highly Desirable | ||
| System Access and Security | The solution shall enable a user to authenticate his or her identity to the solution using a government issued PIV. | Highly Desirable | ||
| System Access and Security | The solution shall support https and 128 bit SSL. | Highly Desirable | ||
| System Access and Security | The solution shall protect data in transit using transport layer security (TLS). | Highly Desirable | ||
| System Access and Security | The solution shall provide a means for establishing security rights and permissions at a granular level, for example by: audit, document, user, group, functionality and role. | Highly Desirable | ||
| System Access and Security | The solution shall support the use of strong passwords. | Highly Desirable | ||
| System Auditing | The solution shall log and track all user actions including but not limited to: document import, item creation and delete, document markups, document moves, image uploads, and deletion and metadata changes. | Highly Desirable | ||
| System Auditing | The solution shall provide the capability for users to query the audit log. | Highly Desirable |
Functional Functional Requirements
| Mandatory Elements | |||||
| Component | Function | Description | Requirement | Meets or Does Not Meet | Comment |
| Audit Process | General | The solution must provide the capability for users to complete all phases of the documentation and review processes for an audit. | Mandatory | ||
| Audit Process | General | The solution must provide the capability to capture user input information throughout an audit (including but not limited to findings and recommendations) | Mandatory | ||
| Audit Process | General | The solution shall provide the capability for users to develop an annual audit plan. | Mandatory | ||
| Audit Process | General | The solution shall provide the capability for users to create risk based assessments to be used in the development of the annual audit plan. | Mandatory | ||
| Audit Process | General | The solution shall provide the capability for users to perform risk assessments. | Mandatory | ||
| Audit Process | General | The solution shall provide the capability for multiple users to interact with the same audit project simultaneously. | Mandatory | ||
| Audit Process | Scheduling | The solution shall provide the capability for users to schedule audits. | Mandatory | ||
| Audit Process | Manage | The solution shall provide the capability for users to manage audits. | Mandatory | ||
| Audit Process | Resources | The solution shall provide the capability for users to assign resources. | Mandatory | ||
| Audit Process | Resources | The solution shall provide the capability for users to manage resources. | Mandatory | ||
| Audit Process | Resources | The solution shall provide the capability for users to assess resource conflicts. | Mandatory | ||
| Audit Process | Tracking - Progress | The solution shall provide the capability for users to capture and track audit progress. | Mandatory | ||
| Audit Process | Tracking - Issues | The solution shall provide the capability for users to capture and track issues by audit. | Mandatory | ||
| Audit Process | Tracking - Risks | The solution shall provide the capability for users to identify, capture and track risks for each audit. | Mandatory | ||
| Audit Process Workflow | Workflow | The solution shall provide the capability to apply business rules to a workflow to determine which users can perform certain functions. | Mandatory | ||
| Audit Process Workflow | Review Workflows | The solution should allow multiple levels of review, including quality control and second-level review. | Mandatory | ||
| Audit Process Workflow | Review Workflows | The solution should provide the capability to allow users to sign-off on each step of a workflow | Mandatory | ||
| Audit Process Workflow | Review Workflows | The solution should provide the capability to allow users to easily identify tasks ready for review. | Mandatory | ||
| Electronic Working Paper (EWP) | General | The solution must provide electronic working paper (EWP) capabilities. | Mandatory | ||
| Electronic Working Paper (EWP) | General | The solution must provide tickmark functionality. | Mandatory | ||
| Electronic Working Paper (EWP) | General | The solution must provide the capability to hyperlink. | Mandatory | ||
| Electronic Working Paper (EWP) | General | The solution must provide the capability to create bookmarks. | Mandatory | ||
| Electronic Working Paper (EWP) | General | The solution must provide cross-referencing capabilities across the solution including but not limited to: cross-referencing working papers to user notes and reports, hyperlinking to documents and files incorporated in AND external to the solution, hyperlinking to external websites, hyperlinking to intranet pages, and hyperlinking to bookmarks. | Mandatory | ||
| Electronic Working Paper (EWP) | General | The solution must provide the capability to insert and store comments or notes. | Mandatory | ||
| Electronic Working Paper (EWP) | General | The solution must provide the capability for users to sign-off or approve a document. | Mandatory | ||
| Document Collection | Microsoft Office Files | The solution shall provide the capability to upload files from all Microsoft Office applications and to store and maintain original formatting. | Mandatory | ||
| Document Collection | File viewing | The solution shall provide the capability for the user to access Microsoft Office and Adobe Acrobat documents contained within the solution and view such documents in their native formatting. | Mandatory | ||
| Document Collection | Images | The solution shall have the capability to import and store image files (including but not limited to scanned documents and digital pictures) and associate such files with audit projects. | Mandatory | ||
| Document Collection | Emails | The solution shall have the capability to import and store email files. | Mandatory | ||
| Document Management | Version Control | The solution shall provide document version control | Mandatory | ||
| Document Management | Search Reports | The solution shall generate reports detailing search results. | Mandatory | ||
| Mobile Access | Internet Accessibility | The solution shall support remote access, including telework, and shall allow users to access the database and conduct reviews via a web-enabled application. | Mandatory | ||
| Mobile Access | Offline Access | The solution must provide the capability to work offline and support synchronization when the user is online. | Mandatory | ||
| Mobile Access | Offline Access | The solution must provide the capability synchronize work performed offline when the user is next online. | Mandatory | ||
| Reporting | Reporting | The solution shall provide the capability for users to view reports on the status of projects. | Mandatory | ||
| Reporting | Reporting | The solution shall provide the capability for users to view reports detailing exceptions across audits. | Mandatory | ||
| Reporting | Reporting | The solution shall provide customizable statistical reports. | Mandatory | ||
| Reporting | Reporting | The solution shall provide reporting capabilities which allow users to run standard pre-defined reports on demand. | Mandatory | ||
| Reporting | Reporting | The solution shall provide ad-hoc reporting capabilities which allow users to create reports based on user-specified criteria. | Mandatory | ||
| Reporting | Reporting | The solution shall provide reporting capabilities which allow users to query and report on the audit logs. | Mandatory | ||
| Records Management | Records Management | The solution shall facilitate records management and retention. | Mandatory | ||
| Records Management | Records Management | The solution's records management solution shall enforce records management and retention policies | Mandatory | ||
| Records Management | Records Management | The solution's records management solution shall enforce archiving | Mandatory | ||
| Usability | User Interface | The learning curve for a user to become adept at using the solution should be low. | Mandatory | ||
| Usability | User Assistance | The Vendor shall provide access to instructional documentation (presentations, webinars, demos, user guides) | Mandatory |
| Highly Desirable Elements | |||||
| Component | Function | Description | Requirement | Fully Meets, Partially Meets, or Does Not Meet | Comment |
| Audit Process | General | The solution shall provide a collaborative workspace with record locking capability | Highly Desirable | ||
| Audit Process | Resources | The solution shall provide the capability for users to be notified of assignments. | Highly Desirable | ||
| Audit Process Workflow | Workflow | The solution shall provide the capability for users to create custom workflows. | Highly Desirable | ||
| Audit Process Workflow | Workflow | The solution shall provide the capability for users to create custom workflows to meet the differing needs of specific audits and accounting processes | Highly Desirable | ||
| Audit Process Workflow | Workflow | The solution shall provide templates for review workflows | Highly Desirable | ||
| Audit Process Workflow | Workflow | The solution shall provide workflow templates for standard review processes including first and second level reviews and quality control. | Highly Desirable | ||
| Audit Process Workflow | Workflow | The solution shall provide workflow templates for standard review processes that allow for multiple steps of a process to be worked and signed-off concurrently and in a non-sequential manner. | Highly Desirable | ||
| Audit Process Workflow | Workflow | The solution shall provide automated/configured notifications to track the status of workflows | Highly Desirable | ||
| Audit Process Workflow | Notifications | The software shall provide the capability to email notifications to users. | Highly Desirable | ||
| Audit Process Workflow | Notifications | The software shall provide the capability to generate and route workflow event-based user alerts. | Highly Desirable | ||
| Audit Process Workflow | Notifications | The software shall notify the user of upcoming audit date “x amount of days” prior to the planned date. | Highly Desirable | ||
| Electronic Working Paper (EWP) | General | The solution must provide the capability to annotate files and retain such annotations. | Highly Desirable | ||
| Electronic Working Paper (EWP) | General | The solution must provide the capability to create templates. | Highly Desirable | ||
| Document Collection | Import | The solution shall have the capability to import files obtained during an audit from entities being audited with minimum expenditure of time and resources. | Highly Desirable | ||
| Document Collection | Import | The solution shall provide the capability to upload files of various types, capture of information about each document, and associate them with audit projects in the solution. | Highly Desirable | ||
| Document Collection | Import | The solution shall have the capability to import multiple files simultaneously. | Highly Desirable | ||
| Document Collection | Native File Format | The solution shall have the capability to import and store files in their native file format. | Highly Desirable | ||
| Document Collection | Usage | The solution shall provide the capability for a user to utilize the annotation functionality of Adobe Acrobat and store such annotations in the solution. | Highly Desirable | ||
| Document Management | File Viewing | The solution should allow the viewing and at least limited manipulation of documents (for example sorting a spreadsheet) in a viewer without opening the file in its native application. | Highly Desirable | ||
| Document Management | Indexing | The solution should allow indexing of the data and have a modern search engine to facilitate searching | Highly Desirable | ||
| Document Management | Basic Searching | The solution should provide search features that are intuitive and allow the users to easily find content. | Highly Desirable | ||
| Document Management | Fielded Search | The solution shall provide the capability to search structured fields including document metadata. | Highly Desirable | ||
| Document Management | Full Text Search | The solution shall provide basic search functionality for full text document search including searches based on keywords, phrases, Boolean operators and wildcards. | Highly Desirable | ||
| Document Management | Full Text Search | The solution shall provide fuzzy search capabilities such that the solution will identify search terms that are variants of the user-designated search terms (e.g. misspelling). | Highly Desirable | ||
| Document Management | Search Results | The solution shall provide results in list format which is sortable by the user. | Highly Desirable | ||
| Document Management | Search Results | The search results listing pane shall be configurable with user defined display fields. | Highly Desirable | ||
| Usability | User Interface | The solution must provide a modern user interface utilizing the latest technologies that is acceptable for U.S. Federal Government Agencies to provide a common sense and simple experience for the end user. | Highly Desirable | ||
| Usability | User Interface | The solution should have an intuitive, logical, user interface for performing data entry throughout the entire review process and lifecycle of an audit. | Highly Desirable | ||
| Usability | User Interface | Use of the solution should not require a skill set over and beyond that required for general office administrative computer use. | Highly Desirable | ||
| Usability | User Assistance | The software shall provide the user the capability to access context-sensitive help topics from within the solution. | Highly Desirable | ||
| Usability | User Assistance | The Vendor should provide online help resources. | Highly Desirable |
Evaluation Criteria
| Vendor Evaluation Criteria | |
| Category | Criteria |
| Viability | Corporate/Organization Viability |
| Country of Origin (US 5, Non-US 1) | |
| Open Source/Proprietary (Open Source 3, Proprietary 3) | |
| Usage (Government adoption) | |
| Customer Base (Large = 5, Small = 1) | |
| Workforce Adoption | |
| Certification available | |
| Maturity of Product | |
| Continuity of Development (Frequency of Updates/patches) | |
| User Community (size, downloads, websites, blogs) | |
| Gartner Leader Ranking | |
| Costs (Lower costs = 5, Higher costs 1) | License Fees (Perpetual) |
| Support/Maintenance | |
| Training | |
| Hardware | |
| Third Party Tools Required | |
| Performance | Performance metrics for Windows certified platforms (based on recommended hardware/software configuration for multiple terabytes of data) |
| Provide number of federal agencies using COT showcasing strong federal presence | |
| Active federal user group/community for collaboration and dedicated federal manager | |
| Application tailored to government users and opportunity to have input into system enhancements | |
| Request for Demo + rules of engagement | Selection will be heavily influenced by the ability to demonstrate the system capabilities and functionalities |
| Use Case to demonstrate all modules |
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