APPENDIX B Contract Writing Business Process Models.pdf

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Acquisition System – Next Generation (AS-NG) Contract Writing (CW) MVP – High-Level Business Process Models

DIT BAU Support Last Updated: 06/16/2023

Table of Contents

1. Requisition

2. Pre-Solicitation

3. Solicitation

4. Award

4.1 Award Creation

4.2 Award Data Validation

5. Award Administration

5.1 Admin Overview

5.2 Oversight Manager (OM) Appointment

5.3 Technical Monitor (TM) Appointment

5.4 Contractor Performance Evaluation (CPE)

5.5 Award Modification (Mod)

6. Award Closeout

Related Activity

APM / PGI = Acquisition Policy Manual / Procedures Guidance Information (After July 2023, the term APM / PGI will be replaced with Acquisition Procedures and Guidance Manual (APGM))

ASB = Acquisition Services Branch

BOA = Basic Ordering Agreement

BPA = Blanket Purchase Agreement

BSA = Business System Administrator

CMP = Contract Management Plan

CO = Contracting Officer

CPE = Contractor Performance Evaluation

CW = Contract Writing

DIT = Division of Information Technology

DOF = Division of Finance

JNCP = Justification for Non-Competitive Procurement

Mod = Modification

MVP = Minimum Viable Product

OM = Oversight Manager

OMWI = Office of Minority and Women Inclusions

NAICS = North American Industry Classification System

NDA = Non-Disclosure Agreement

NFE = New Financial Environment = Financial System

PEM = Price Evaluation Memorandum

Program Office = Divisions and Offices = Client = Business Division

RBOA = Receivership Basic Ordering Agreement

RFP = Request for Proposal

RFQ = Request for Quote

RFTOP = Request for Task Order Proposal

SAM = System for Award Management

SBA = Small Business Administration

SME = Subject Matter Expertise

SOO = Statement of Objectives

SOW = Statement of Work

TM = Technical Monitor Sub

Process

Notes:

The System for Award Management (SAM.gov) is an official U. S. Federal Contractor Registration website

There are various action types (also referred to as contract type) used by Solicitation and Award process models. Examples of Solicitation type include Q - Request for Quotation (RFQ); R - Request for Proposal (RFP); and Z - Request for Task Order Proposal (RFTOP). Examples for Award action type include A - Blanket Purchase Agreement (BPA); and C – Contract; G - Basic Ordering Agreement (includes Receivership BOA)

Case Management process is not detailed out. It is used to submit cases should users have issues or need assistance with the acquisition solution.

Ratification process is not detailed out. This process is used when a Contractor submits an invoice to the Contracting Officer for the unauthorized work along with supporting documentation and who instructed the Contractor to do the work.

Settlement agreement is created via Claim business process

Program Office actor represents Division/Office POC or Supervisor assigned to do the acquisition activities.

Contract Specialist supports CO on all acquisition activities except for (1) signing awards and modifications that has monetary value and (2) marking awards as closed out.

General notifications are sent once a task is assigned and reminder notifications are sent until the task is completed. Escalation notifications are sent to supervisors after a period of inaction.

Acronyms and Abbreviations

Manual Activity

Integration

The following non-CW MVP process models are to be developed later with the respective planning projects:

Early Acquisition Planning (EAP) Proposal Evaluation (PE) Admin – Claims Admin – OM Responsibilities Waiver

CW MVP Requisition Process Model

Sy st em A

SB

Su p er vi so r

C O

Last Updated: 06/16/2023

Start

Task order requisition

New procurement requisition

Pre-Solicitation

Award Modification

Related Activity Sub

Process

All other requisitions

Solicitation?

Solicitation

Yes

Award Creation

No

There can be more than one requisition for a single procurement and each has a unique number.

Currently, there is no association between the various requisition numbers for the same award

Description: An acquisition typically starts with a requisition. From there, a solicitation is created, then an award. Modifications (mod) to awards are often made via a requisition;

however, there are standalone mods which have no association with a requisition.

Generate requisition record (retain requisition number and all information received from financial system)

Assign requisition to ASB Supervisor based on the manager’s area of responsibility and send notification

A CO can cancel requisition at anytime with justification (e.g., mod or a solicitation is cancelled, etc.)

Receive notification, review requisition, and assign to CO

Notify CO of assigned requisition

Receive notification and review assigned requisition

Notify the person who submitted the requisition of CO assignment and request supporting documents

End

Receive approved requisition from financial system

Integration

Conduct proposal evaluation

Manual Activity

Requisitions are submitted in the financial system for new procurement (includes Task Order) and contract modification. It is then integrated with the acquisition solution

Monetary changes, add/delete line item, extend POP, change

OM, change SOW, update/revise clause, etc.

CW MVP Pre-Solicitation Process Model C

O Sy st em

Last Updated: 06/16/2023

Update requisition to mark requirements package as incomplete

Collaborate with Program

Office and create Source Selection Plan

Collaborate with Program Office and create Acquisition Plan (if over $1M and all RBOAs)

Create Source List

CO or ASB Supervisor may re-assign requisition to another CO

Package complete?

No

Collaborate with Program Office on requirements package

End

Finalize Source List (aka Solicitation List)

Collaborate with Program Office to finalize requirements package (including JNCP if applicable)

Update requisition to mark requirements package as complete

Conduct Source List review with Program

Office and OMWI

Yes

Manual ActivityRelated Activity

Upload final documents to contract file repository

Start

Record official start date for pre-solicitation phase (use requisition complete date)

Create Contract

Milestone Schedule, populate dates, and notify CO

Update Contract Milestone Schedule as applicable

Collaborate with Program Office and OMWI (if over $100K and all RBOAs) and use SAM to compile the source list

CO can cancel requisition with reasoning

Task Order Procurement?

There can be various Contract Milestone

Schedule types based on $ value (e.g., simplified, formal, etc.)

or purchase types (e.g., service, supply, etc.)

There are various business rules to automatically populate dates in Contract Milestone Schedule. Some examples include:

1. Requirements Package completed

2. Solicitation release

3. Questions due

4. Proposals due

5. Award signed and final, etc.

Solicitation via

SAM?

No

Yes

Yes

No

Source List: Provides the list of companies identified to receive a solicitation/award along with their business ethnicity and NAICS size standard

Review requirements package

Contract Milestone Schedule is not applicable for rotational task orders and non-competitive awards

System to notify Program Office of incomplete requirements package and send reminder/escalation notifications until requirements package is completed

Awardees in parent award will be used for solicitation

Vendors in SAM will be used for solicitation

Triggered by a new procurement or task order requisition

CW MVP Solicitation Process Model

C O

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Last Updated: 06/16/2023

End

Select list of documents to be associated with the solicitation (e.g., SOW, SOO, etc.)

Create a single solicitation document by consolidating all selected documents

(includes cover page)

Conduct solicitation document review and incorporate feedback

Review and finalize consolidated solicitation document

Collaborate with Legal for solicitation review

Collaborate with Program Office for solicitation review

Depending on dollar amount and complexity

Receive proposals and upload to contract file repository

A solicitation can be canceled before it is sent to Offerors

Conduct solicitation document review with peer and/or supervisor

(optional)

(If applicable) Amend and send solicitation document

If a solicitation needs to be canceled after it is sent to

Offerors, it is sent as an amendment

If a solicitation is via another agency’s vehicle, follow that agency’s process accordingly

Start

Select requisition and initiate solicitation

Finalize solicitation document

Send email to potential Offerors using the final solicitation list with the solicitation document attached

RFTOPRFP/RFQ

Link to parent award

A solicitation can be amended (e.g., extend proposal due date; add questions and answers;

cancel solicitation; etc.)

and sent to Offerors

BOA/RBOA/BPA is established via RFP/RFQ and then RFTOP is issued against those

Oral and email solicitation process to be specified later and it will follow RFTOP or RFP/RFQ process

Related Activity

Solicitation via SAM?

Post solicitation to SAM with instructions to submit proposal

(If applicable) Receive proposal questions and collaborate with Program

Office and Legal to compile answers

Yes

No

Manual Activity

Update Contract Milestone Schedule

Complete solicitation draft (e.g., due dates, provisions and clauses, etc.)

RFTOP?

Generate unique identification number

RFTOP?

Populate information from parent award

Populate information from requisition

Yes

No

Place the associated documents in a particular order (by section e.g., B-M) to be consolidated into a single document (PDF)

Send email to awardees in parent award with the solicitation document attached

Update Contract Milestone Schedule

Yes No

There are prescriptions to make certain provisions and clauses available based on the solicitation types, contract types, and editable vs non-editable.

Prescriptions should be easily viewed in the system but not included in the created solicitation/award document. Must be able to see what provisions and clauses have been edited, when it was edited, and who edited it. Also, the ability to add, remove, and sort provisions and clauses

RFP/RFTOP

solicitation uses

STANDARD FDIC

Form 3700/55 and follows the uniform contract format

RFP/RFTOP

solicitation amendment uses

STANDARD FDIC

Form 3700/56

CO may re-assign a solicitation to another

CO

Similar to the solicitation process, amendment is sent/posted and the Contract Milestone Schedule is updated

Re-order documents if applicable

Must follow solicitation numbering structure / nomenclature

CW MVP Award Creation Process Model

C O

Sy st em

Last Updated: 06/16/2023

Tailor and finalize award (e.g., update clauses, fill information, vendor selection, etc.)

CO may request for another CO to review award

CO may re-assign award to another CO

Create successful award letter

Mark award as final and track award signed date

Draft and send unsuccessful

Offeror letter if applicable

A draft award can be cancelled prior to award

Select award category

If solicitation goes through another agency, there may be extra steps during award

(e.g., for 8(a), send SBA a copy of the award)Check in SAM to ensure the recommended awardee is eligible for award

Awardee may request changes to the award document. CO will review and may involve Program Office and Legal as needed. CO makes edit before contractor signs

Start

Legal Review?

Collaborate with Legal to review award

OM

Appointment

Send fully executed award data (exclude BOA, RBOA, and BPA) to financial system

Send email to the Contractor and OM with fully executed award attached

Yes

End

No

BOAs, RBOAs, and BPAs are excluded from financial system integration since there are no expenditures

For protest/appeal, ASB Deputy Director may involve others to review response if necessary

Award Data Validation

Manual ActivityRelated Activity

Sub Process

Task Order award

Contract award

Link to parent award

BOA, RBOA, or BPA award

Initiate award from a solicitation or a requisition

Generate unique identification number

Request ASB Policy to establish new award category

Populate information from solicitation and associated amendments if any

Select list of documents to be associated with the award

(e.g., SOW, SOO, etc.)

Create a single award document by consolidating all selected documents (includes cover page)

Sign award document (via eSignature system)

Integration

Task Order?

Populate information from parent award

Yes

No

Update Contract Milestone Schedule

Provide debriefing if applicable

Manage protest and appeal if applicable

End

Upload fully executed award documents to contract file repository

Verify if OM has proper certification level

For GSA Schedule awards, the ASB policy is to use “contract” process with an “F” action type in award number

Competitive award?

TM

Appointment (if applicable)

Collaborate with DOF to setup vendor as awardee

Award initiated from a solicitation?

New award category?

No Yes

Yes

No

Is vendor available for selection as an awardee?

No Yes

Yes

No

Populate information from requisition

BOAs, RBOAs, and BPAs use Award Category. It is established by the ASB

Policy via Case Management process

Award uses

STANDARD FDIC

Form 3700/55 and follows the uniform contract format

Select vendor as awardee

Applicable award documents are sent to awardee for signature.

Awardee signs award and CO is notified. Then, CO signs the award

Vendor information is received via integration from financial system

Via Case Management Process

Must follow award numbering structure / nomenclature

CW MVP Award Data Validation Process Model

C O

Last Updated: 06/16/2023

Validate CO warrant level (CO must have proper warrant level, must meet the award amount threshold to sign award)

Start

Proper warrant level?

End

Validate OM information (OM name must be valid, OM must be certified, and OM certification not expired)

Validate award line items (# of line items in award must match line items in requisition)

Validate dollar amount in award (amount in the award must not exceed amount in requisition; it can be equal or less than the amount in requisition)

Identify CO who has proper warrant level and update award

Amount exceeded?

Collaborate with Program Office to identify OM with valid certification and update award

Approved waiver?

Proper certification?

Certification expired?

# of line items match?

Update line items in award to match with the requisition and collaborate with Program Office if applicable

No

Ensure all validations are complete

Yes

Resolve amount differences and update award (collaborate with

Program Office if applicable)

Yes

No

Valid OM?

Collaborate with Program Office to obtain valid OM name and update award

No

Yes

Collaborate with Program Office to submit waiver or to identify OM with proper certification level and update award

No

No Yes

YesNo

Yes

Related Activity

Validate OM profile information (OM must have a profile to access financial system)

Collaborate with Program Office and change the OM name in the award or notify OM to request access to financial system

Validate buyer (CO) profile information (CO must have a buyer profile to access financial system)

Collaborate with ASB and change CO name in the award or notify CO to request access to financial system

Valid profile?

Valid profile?

No

No

No

Yes

Yes

Yes

Each validation error must be displayed clearly

Soft or hard stop validations must be explored during solution design. A soft stop means acknowledge issue and continue.

A hard stop means acknowledge issue and resolve before continuing

The validation for BOA, RBOA, or BPA award line items must ensure it is limited to one (1) line item regardless of the number of line items on the requisition

The validation for BOA or BPA task orders must ensure the cumulative dollar amount of all task orders do not exceed the parent award ceiling

CW MVP Award Administration Overview Process Model

Last Updated: 06/16/2023

Start

(OPTIONAL) CO collaborates with Program Office to draft and complete CMP

(OPTIONAL) CO and OM conducts post-award conference with Contractor, Program Office, DIT, Security, etc. Agenda includes general information about award and what is to be expected over the course of the contract

Expenditure amount is received from financial system via integration

If a contract has a subcontractor, then the Subcontractor

Reporting System is used for verifying goals and pricing

(Out of Scope)

End

OM Appointment

CPE

(OPTIONAL)

TM Appointment

Award Modification

Claim

OM/TM

Responsibilities

Manual ActivityRelated Activity

Sub Process

CO uploads completed CMP to contract file repository

Based on award amount threshold and award type

CW MVP Award Administration – OM Appointment Process Model

C O

O M

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Last Updated: 06/16/2023

Receive OM appointment memo acknowledgement

Receive notification and acknowledge appointment memo responsibilities

Send notification to previous OM and Contractor of OM removal from the award

Send OM Appointment

Memo PDF to the Contractor

Start

Notify CO of

OM

appointment memo

Receive notification, review OM appointment memo, and add additional oversight responsibilities

(if necessary)

Notify OM of appointment memo

Receive signed mod to change

OM

New or change appointment?

New

End

Change

New

Verify/setup Contractor(s) email address to receive correspondence

Related Activity

Generate OM Appointment Memo PDF and save using standard naming nomenclature

Receive award is marked final

Use award mod data to create OM appointment memo (with default responsibilities)

Change

Retain the completed OM Appointment

Memo PDF

The following dates must be tracked by the system for reporting:

Appointment memo was sent to OM OM acknowledged the appointment memo Appointment memo was sent to Contractor OM was removed (part of change OM process)Use award data to create

OM appointment memo (with default responsibilities)

RFP/RFTOP

solicitation amendment uses

STANDARD FDIC

Form 3700/56

Reminder notifications are sent to OM to acknowledge appointment memo until it is completed

A zero-dollar requisition to change OM is processed via unilateral award modification

Uses STANDARD FDIC Form 3700/22

CW MVP Award Administration – TM Appointment Process Model

C O

O M

TM

Sy st e m

Last Updated: 06/16/2023

Review TM remove request

Select the TM(s) to be removed from the current list of appointed TM(s)

Send notification of TM(s) removal to

OM, Contractor, and previous TM(s)

Appoint TM Remove TM

Receive TM appointment memo acknowledgement

Receive notification and acknowledge appointment memo responsibilities

Send request to remove TM

StartStart

Send TM nomination request

Send TM Appointment Memo PDF to

Contractor and

OM

For replacing TM(s), follow Remove TM and then

Appoint TM process steps

More than 1 TM can be added/removed at the same time

Verify/setup Contractor(s) email address to receive correspondence

Related Activity

Review TM nomination request and verify if TM has the proper certification level

Notify TM of appointment memo

Generate TM Appointment

Memo PDF and save using standard naming nomenclature

Use award and/or modification data to create TM appointment memo

(with default responsibilities)

Add additional oversight responsibilities (if necessary) and complete memo

Retain the final TM

Appointment Memo PDF

End

Verify/setup Contractor(s) email address to receive correspondence

End

The following dates must be tracked by the system for reporting:

Appointment memo was sent to TM TM acknowledged appointment memo Appointment memo was sent to Contractor TM was removed (part of remove TM process)

Manual Activity

Reminder notifications are sent to TM to acknowledge appointment memo until It is completed

Uses STANDARD FDIC Form 3700/23

CW MVP Award Administration – Contractor Performance Evaluation (CPE) Process Model

C O

A

SB

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Last Updated: 06/16/2023

Select award and create interim CPE (award information is auto-populated)

Send notification to complete Contractor evaluation

Receive notification and review the completed ratings/ responses

Receive notification and review CPE

Satisfied with ratings?

Provide feedback with detailed message to update the CPE

Review and complete CPE Contractor satisfied with ratings?

Finalize CPE

Send copy of final CPE to Contractor and OM

Conduct CPE response review with OM

Revise

CPE?

Revise CPE, as agreed to by all parties

Send CPE for review with all supporting documentation

(from Contractor, CO, and OM)

Receive notification and review CPE and supporting documentation

Change the ratings?

Provide response to finalize the evaluation (no change to CPE)

Provide response with detailed message to update the CPE

Receive response and revise CPE in accordance with ASB Supervisor’s final decision

Send “denied rating change” message to Contractor

Start Create CPE based upon annual effective date or f inal expiration date and populate award information

Start

Send notification to the CO responsible for the award to complete annual or final CPE

Receive notification and review pre-populated CPE data

Collaborate with TM(s) to conduct evaluation (if applicable)

Complete CPE

Receive and review CPE response from Contractor

Review feedback and complete CPE update

End

Yes

No Yes

Yes

No

No

No

Yes

A

A

30 days elapsed and no response from Contractor

Reminder notifications are sent to OM until CPE is completed

After 20 days of CPE notice, notification is sent to CO to check for Contractor response

Task notification is sent to CO after 30 days of

CPE notice to complete evaluation

Manual ActivityRelated Activity

CPEs can be canceled by BSA with justification from CO

Send CPE to Contractor for review and response

Enter interim performance dates

Retain final CPE document

CPEs can be reassigned to another

CO

CPEs can be reassigned to another OM by CO

CPEs are located by award number and evaluation period

There can be multiple CPEs for an award

There is no CPE for parent awards

Verify/setup Contractor(s) email address to receive correspondence

Escalation notifications can be sent to the

OM's supervisor after a period of inaction

Uses STANDARD FDIC Form 3700/24.

Contractor has 30 days to respond. 30-day timer is set and task notification is sent to CO when it expires

Send notification to available COs if assigned CO is no longer available

Form 3700-24 is used outside of the system for evaluation. OM forwards the form to TM to enter information. Once completed by TM, it is finalized by OM. If multiple TMs, form is routed sequentially. The content is then entered into the CPE form by OM

CW MVP Award Administration – Modification (Mod) Process Model

C O

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Last Updated: 06/16/2023

Negotiate price and/or terms (if applicable)

Collaborate with Contractor to identify required changes

Review by Legal?

Complete documenting the modification (description of changes, attachments, etc.)

Select award and create modification

Standalone Modification

Link to requisition (if applicable)

Need Contractor proposal and negotiation?

No

Complete

PEM

process (if applicable)

Yes

Conduct mod review with Legal

Finalize mod document

Contractor signature?

Sign mod document (via internal signature tool)

Send mod data to financial system

Send signed copy of mod to Contractor and

OM

There are pre-mod activities and based on certain business rules, a

JNCP may be required (a joint effort between CO and Program Office)

If solicitation goes through another agency, there may be extra steps (e.g., for 8(a), send SBA a copy of the award mod)

Description: Award modifications can be unilateral or bilateral and it is determined by the acquisition policy documents. Unilateral modification does not require signature from Contractor; however, it is signed by the CO. Bilateral modification require signatures from Contractor and CO. Examples of award modification include: change in CO, change in contract clause, change in OM, change in contractor name or address, early contract termination, equitable adjustments, change in award value, ratification, etc.

Yes

No

End

Start

Manual ActivityRelated Activity

Conduct mod document review with peer and/or supervisor (optional)

Sign mod document (via eSignature system)

Collaborate with OM on supporting documents

Review requisition for requested changes

Modification from a

Requisition

Integration

Upload final mod documents to contract file repository

OM

Appointment

Change

OM?

Award mod uses

STANDARD FDIC

Form 3700/56

Update original award?

Generate unique identification number

(unexecuted mod)

Enter/select one or more mod purposes

Update original award

Yes

No

Validate mod data

Assign unique identification number (executed mod)

There may be multiple executed (completed) and unexecuted (draft) mods to an award. Unexecuted Mods are numbered "MOD#####" until they are signed. Executed Mods are numbered "P#####." This helps keep signed modifications in order based on the signed date

Yes

No

No

Yes

Sub Process

Bilateral mod and the document is sent to the Contractor for signature. Contractor signs mod document and CO is notified.

Then, CO (with appropriate warrant level) signs mod document

Attachments may include settlement agreement, novation agreement, etc.

Unilateral mod and it is signed by the CO with appropriate warrant level

Must follow award mod numbering structure / nomenclature

For example, mods with increase in award value

Must follow award mod numbering structure / nomenclature

(1) Original award must exist in the financial system; (2) award value cannot be less than the amount paid in financial system (use expenditure amount); and (3) must have a valid buyer (CO) and OM profile (use profile data from financial system)

CW MVP Award Closeout Process Model

C O

O M

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Last Updated: 06/16/2023

Closeout procedures start 180 days after contract expires (Exception: closeout can be started early based on some approvals)

Receive closeout notification

Receive notification and review completed OM closeout checklist

Generate Closeout Letter, populate award information, and notify

CO

Take steps to resolve open issues if necessary (may require collaboration with OM, Program Office, and

Legal)

Complete CO closeout checklist

Mark award as closed out Archive official contract fi le per retention policy

Purge contract file after the appropriate retention period

Read-only access to contract files after award closeout

Send award closeout data (exclude BOA, RBOA, and BPA) to financial system

Start

180 days after award expired?

Prepare closeout memorandum

Send notification to complete closeout

Review and complete OM closeout checklist

Send OM closeout checklist completed notification

Review and complete Closeout Letter

YesNo

Receive contract closeout notification

The parent contract (BOA/ RBOA/BPA) are closed like a contract but it does not integrate with financial system since there is no dollar value associated with those contracts

Currently, the retention period for contract file is seven years. There is no retention period for documents that does not result in contract

Notify OM to review closeout memorandum and to complete OM checklist

Send Closeout Letter to

Contractor

End 21 days elapsed and no response from Contractor

Manual ActivityRelated Activity

Receive and review closeout response from Contractor if applicable

Yes

Yes

Retain final closeout documents

Mark award data and documents as read-only

Integration

All items completed?

Resolve checklist items

No

Pending mods or appointment memos?

Send notification to CO responsible for the award of pending items

Yes

Parent

(BOA, RBOA,

or BPA) award?

All task orders associated with the parent award closed?

Yes

Pending CPEs, mods, or appointment memos?

YesNo

Send notification to CO responsible for the award of pending items

No

Yes

All items completed?

Resolve checklist items

OM and CO checklists completed?

Send notification to CO responsible for the award of pending items

Yes

No

No

No A

Ability to report on pending closeout along with reasons

No

A

System sends reminder notifications to OM until OM closeout checklist is completed

Includes OM & CO closeout checklists

CO to collaborate with responsible parties to resolve pending items

CO to collaborate with responsible parties to resolve pending items

CO to collaborate with responsible parties to resolve pending items