Attachment 1 Financial Management Support SOW.pdf

ATTACHMENT 1

National Science Foundation

Accounting and Financial Management Support

Statement of Work

Statement of Work Accounting and Financial Management Services in Support of The Deputy Chief Financial Officer at the National Science Foundation

Background

The National Science Foundation (NSF) is one of the leading federal agencies to combine funding grants for research and development with education. NSF is tasked with keeping the United States at the leading edge of discovery in a wide range of scientific areas, from astronomy to geology to zoology. In addition to funding research in the traditional academic areas, the agency also supports "high risk, high pay off" ideas, novel collaborations and numerous pioneering projects that may seem like science fiction today. And in every case, NSF ensures that research is fully integrated with education so that today's revolutionary work will provide the building blocks to train tomorrow's top scientists and engineers.

With an annual budget of approximately $10 billion, NSF is the major source of federal backing for approximately 20 percent of all federally supported basic research conducted by America’s colleges and universities. NSF awards approximately 13,000 new awards per year with an average duration of three years.

The Division of Financial Management (DFM) supports the NSF mission by providing accurate, efficient and courteous financial management services to the internal and external NSF community and NSF clients. DFM is responsible for overall financial policy and financial management of NSF, including financial reporting, grantee business office relationships, and payments to awardees and vendors. DFM also supports the core financial system that integrates with a broad range of other NSF business systems and processes.

Purpose NSF seeks to obtain contractor support in the areas of accounting, financial management, and financial systems operations for the Division of Financial Management.

I. Scope of Work This Statement of Work (SOW) describes the requirements for numerous accounting and financial management support services that will be performed. Independently and not as an agent of the Government, the contractor shall provide the following minimum support services to DFM:

• Perform analyses of DFM financial and accounting processes, functions, and responsibilities;

• Provide various financial management functional and systems analyses, reviews, and reports:

• Develop recommendations for financial management processes, procedures, and policies;

• Analyze, review, and recommend concepts, strategies, and activities for addressing internal and external financial management initiatives;

• Perform data analyses, queries, and reports from the output of the financial system(s);

• Support NSF systems development life cycle process;

• Assess impact on NSF due to government-wide and agency-specific policies, guidance, standards, and initiatives, and provide recommendations for implementation; and

• Conduct analyses, reviews, and recommendations in accordance with various financial management guidance such as but not limited to Office of Management and Budget (OMB) Circulars, Treasury Financial Manual, Government Accountability Office (GAO), and Federal Accounting Standards Advisory Board

(FASAB)

• Provide acquisition support for next generation core financial system products and services;

• Support DFM’s Robotic Process Automation program

Contractor services shall be conducted in close coordination with Contracting Officer’s Representative (COR), which may involve the review of work products.

II. Tasks

Task A: Financial Operations and Reporting The contractor shall assist DFM in meeting financial management accounting and reporting requirements, for improving accounting and reporting information and processes, and sustaining NSF’s compliance with federal generally accepted accounting principles and other federal financial regulatory guidance. The contractor also shall be responsible for supporting DFM in NSF’s annual financial statement audit and internal control assessment processes. At a minimum, the contractor shall:

• Assist with preparation and support of all financial reports, accompanying footnotes, and all required supplementary information, including any applicable supplementary statements in accordance with OMB Circular A-136, “Financial Reporting Requirements”;

• Review, advise, and provide recommendations concerning accounting for and reporting presentations of the NSF internal and external Property, Plant and Equipment (PP&E), including Antarctic property. The contractor shall assist in the property valuations for financial statement reporting purposes. The contractor shall also prepare, compile and reconcile PP&E schedules and calculate depreciation provided from the various NSF internal and external sources to support reported valuations in the NSF financial statements;

• Assist with accounting operations activities, such as reconciliations, interagency agreements, intergovernmental payments and collections, donations, and accruals, as well as monthly, quarterly, and year-end closing analysis and transactions;

• Assist NSF with the support, maintenance, updating, enhancing, and troubleshooting of financial reporting and analysis databases, automations (including R, Python, and UiPath), and reports

• Assist NSF in the preparation of all reporting and supporting documentation requirements issued by Treasury Financial Management Services (FMS), OMB, Government Accountability office (GAO) General Services Administration (GSA), Office of Personnel Management (OPM), and Department of Labor (DOL), as well as all NSF related financial policies and any other government-wide reporting requirements;

• Support NSF management in activities, interactions, and documentation requirements related to internal and external reviews, audits, assessments, and the like;

• Support change management, reconciliation, system testing, conversion, training, and operating activities related to G-Invoicing

• Interpret, apply, and implement new financial management and systems standards, guidelines, and requirements

• Monitor accounting email boxes and respond to customer’s questions and issues, as well as maintain, update, and enhance DFM SharePoint sites; and

• Create, update, and maintain documentation of DFM’s processes and controls over financial reporting and other financial management areas.

Samples of NSF’s financial statements can be found at this link:

https://www.nsf.gov/publications/pub_summ.jsp?ods_key=nsf24002.

Task B: Financial Systems Support and Analysis The contractor shall support DFM with financial systems support and analysis throughout the Task Order period of performance. Financial systems and analysis support shall consist of the following minimum requirements:

• Subject matter expertise in the area of Information Technology (IT) audit, Financial Management Line of Business (FMLOB), and other e-Government initiatives as identified or applicable to NSF business function as well as in compliance areas such as Federal Financial Management Improvement Act (FFMIA) and Federal Managers Financial Integrity Act (FMFIA);

• Must have a thorough understanding of Oracle EBS 12.2 data model, to run ad-hoc queries as per user requests.

• Provide recommendations on requirements that will foster a seamless integration of NSF’s current and future Financial and Grant Management system(s), and other NSF business systems;

• Support DFM in the development, maintenance, and recommendations of data analyses, processes and requirements for NSF’s current and future Financial and Grant Management system(s), utilizing reports and querying tools in the ETL (extract, transform and load) process;

• Support DFM in design, maintenance and functionality of web page information including both internal and external public websites and links to other NSF supported internal and external sites. The link to DFM’s internet website is: http://nsf.gov/bfa/dfm/index.jsp.

• Monitor the DFM System Status and Inquiry email boxes and respond to customer’s financial system and business process questions and issues using tracking software Service Now to log user’s requests and disposition of requests.

The contractor shall also assist DFM in the development and delivery of templates, analyses, reports, and project management plans as needed to support financial management systems throughout their system development life cycle; In addition to the development and delivery of templates, analysis, reports, and plans as identified in the NSF Continuous Improvement Process (CIP). At a minimum, the contractor shall provide recommendations for:

• Mission Needs Statements;

• Risk Management Plans;

• Requirements documentation;

• Cost-Benefit Analysis;

• Alternative Analysis;

• Concept of Operations Documentation;

• Communication and Change Management Plans; and

• Other related processes as needs dictate http://nsf.gov/bfa/dfm/index.jsp

The delivery of templates, analysis, reports and plans will be used by NSF management in a variety of decision-making points throughout the life cycle of the financial management system(s). The contractor shall provide recommendations or analysis to support all listed areas. NSF will always retain the final decision on any area or aspect of the financial work performed under this Task Order.

Task C: Financial Systems Project and Tracking Log The contractor shall generate updates to the financial systems project timelines when an update and/or revisions are made at least once a month. The contractor shall also assist in monitoring and updating of requests for functional and technical assistance of DFM. The contractor shall track status of requests and generate performance metrics for management review. At a minimum, the contractor shall also:

• Ensure that all the ServiceNow tickets are tracked and responded to in a timely manner. [SLA Requirement SLA-03-01-02]

• Update the user guides and training materials to NSF’s core financial system, Treasury G-invoicing and Invoice Payment Platform systems and all supported and externally integrated systems as enhancements, revisions, and updates are made [SLA Requirement SLA-03-01-05];

• Develop IT project documents and artifacts including As Is and To Be flow charts; facilitate sessions to develop functional and technical system requirements; develop test scripts and test system functionality as needed; develop project schedules and templates and analyze schedule impacts; develop risk management plan and document risk mitigation strategies and develop risk registers. Support change management activities including develop change management and communication plans, train users on system functionality and business processes, develop training documents, videos and other training artifacts; [SLA Requirement SLA-03-01-05] ;

• Support financial systems operations to include set up of new vendors in an Oracle R 12.2 based financial system, retire old vendors as needed, set up new accounting string elements of the account code structure in the financial system; provide Tier 1 help desk support including research and trouble shoot users’ issues with the financial system involving vendor set up and banking information and user access to the financial system; support internal and external financial reporting including ad hoc queries, and dashboards. Maintain financial systems operating procedures; develop and maintain Robotic Process Automations. Support year-end processes to close out the agency’s financial records including develop dashboards, project schedules, task lists and year-end monitoring reports [SLA Requirement SLA-03-01-03] ;

• Support Data Conversion activities for G-invoicing and other internal and external government wide initiatives. Conversion activities include identifying and analyzing data sets that need clean up before mock conversion cycles; develop data clean up and conversion strategies and execute strategies as needed; develop data conversion metrics and reporting to provide management insights on the readiness of data to convert to the new G-invoicing system or any other target financial system applicable. Run mock conversion cycles until desired results are achieved before executing the final data conversion of financial data.

• Develop financial systems business case and alternative analysis, acquisition planning documents and artifacts for the next generation financial system; develop RFI and/or RFQ and support the development of evaluation criteria for vendor selection. Develop all Treasury Quality Service Management Office (QSMO) process documents and reporting requirements.

• Develop, maintain and troubleshoot Robotic Process Automations (RPA) processes using the UiPath Software. Develop all RPA artifacts supporting new automations, included but not limited to Process Design Documents, System Design Documents, RPA Risk Identification and Mitigation documents. Update and maintain all RPA artifacts for existing and new RPA’s in production;

• Support Data Act Compliance Reporting. Activities include understanding of government wide data act reporting requirements; analyze data and determine which data sets must be reported;

analyze and reconcile data to ensure accuracy and sufficiency of data to meet reporting requirements; utilize reporting tools such as Python and R. to automate the development of data act reports; [SLA Requirement SLA-03-01-04]

• Provide Independent Verification and Validation (IV&V) of a new COTS Oracle Federal Financial system. Activities include the review of design, build, configurations of the system; review of test scripts for completeness and test results for effectiveness of system functionality; review of cutover and implementation plan strategies;

• Support the annual financial statement audit by exporting and compiling financial data, financial assistance award data, travel, and other administrative data from the financial and business systems. [SLA Requirement SLA-03-01-06]

Task D: Financial Analytics The contractor shall be responsible for providing financial analytic assistance, research, presentation, and documentation for DFM management. At a minimum, the contractor shall also support DFM in providing:

• Assistance with identification, development, presentation, and execution of activities and supporting documentation related to management’s responses to audit and other requests, findings, and recommendations;

• Assistance with the development and maintenance of a tracking process for coordination of all financially related audits, as well as audit and other requests, responses, and corrective actions, within the responsibility of DFM;

• Assistance with the annual Chief Financial Officer (CFO) Act audit process by providing verification schedules and supporting detail for financial statements, notes, and crosswalk compilations;

• Assistance with conducting meetings with and presentations for auditors to support the financial statement compilation process and clarify balances within the financial statements, notes, or supplementary information provided to NSF auditors as needed;

• Assistance to DFM management with statistical and quality control analysis, processing, and reporting;

support including but is not limited to: cash reporting, grantee financial reporting, payments, debt collection, accounts receivables, accounts payable, donations accounting, intragovernmental activities, IRS 1099 TIN Matching analysis and review, property, plant and equipment, and financial reports preparation in support of internal controls reporting under OMB Circulars;

• Guidance and assistance on best practices related to management issues for which DFM has lead responsibility, such as financial management, financial systems, improper payments, and internal controls;

• Assistance to NSF with staying abreast of newly issued releases by Federal Financial Governing Offices such as OMB, Department of Treasury, Federal Accounting Standards Advisory Board (FASAB) and United States Government Accountability Office (GAO). This support shall also include preparing white papers of newly released or emerging financial issues and assistance in determining the financial impact on NSF;

• Assistance with drafting policies based on guidance issued by the Department of Treasury, OMB, FASAB and GAO;

• Assistance with drafting internal financial management policies and procedures, as well as maintaining updates to policies and procedures (including but not limited to areas in: accounting operations, financial systems, interagency agreements, PP&E, accounts payable, debt management, and cash reporting);

• Analyses on designated financial management issues and processes that focus on DFM financial operations, financial resources, customer service, compliance, and other areas.

Task E: Other Financial Services The contractor shall assist DFM with other financial management services that arise from the annual audit process, operational reviews, internal initiatives, continuous improvement efforts, and external requirements that may require business process evaluation, improvement, and re-engineering. T he contractor shall at a minimum:

• Produce white papers, decision memos, draft correspondence, and the like on financial management issues; ;[ SLA Requirement SLA-03-01-07]

• Interpret new or revised accounting and financial management requirements, guidance, standards, and initiatives, including relevance to and implementation at NSF;

• Support information and analytics regarding DFM’s financial management responsibilities;

• Support program management services, advice, assessments, reports, and tracking;

• Support DFM with technical expertise in financial and grant financial management operations, systems, and data;

• Support management interactions with regulatory and authoritative organizations, such as Treasury, the Office of Management and Budget, and the Federal Accounting Standards Advisory Board.

Task F: Travel Requirements The contractor may be required to perform financial and/or accounting services primarily focused on NSF’s property, plant, and equipment (PP&E) transactions, controls, inventories, and records. The contractor may be required to travel to the designated location of the PP&E and perform services from 3-5 days in length up to three (3) times per year. The contractor shall be reimbursed for all allowable travel expenses as identified in the Federal Travel Regulation (FTR).

III. Security Requirements While performing official duties, Contractors may have the need to access sensitive information or PII. Sensitive information includes financial and personal data, NSF obligations and funding information. Most of the sensitive information maintained by NSF falls within the Privacy Act systems of records, which places disclosure restrictions on NSF and provides access rights to individuals. Sensitive information may also exist in other types of records, such as databases, log files, email, and correspondence files. All Contractor personnel are responsible for recognizing sensitive information and avoiding inappropriate or accidental access, use, or disclosure in accordance with Privacy Act and NSF IT security and privacy policies (NSF Contract Clause 030, Section 5, Protection of Sensitive and Personally Identifiable Information [PII]). [SLA Requirement SLA-03-01-01]

IV. Reporting Requirements The contractor shall complete and submit monthly progress reports to the COR for the duration of the Task Order.

The contractor shall summarize the major activities, accomplishments and planned work per task during the reporting period and also provide information regarding significant findings and events, problems encountered, suggested solutions, staff utilization, and other relevant information. The contractor shall specify in the monthly reports the extent to which tasks are on schedule and shall submit the report within ten (10) calendar days after the end of each month.

The contractor shall also include expenditure reports within the monthly progress report. This report shall be an exhibit of expenditures segregated by individual and task, the total costs incurred to date, and the total remaining Task Order funding.

V. Transition Services The contractor shall detail and execute a transition process that ensures and involves the orderly transfer of management from an existing contractor to a newly awarded contractor and provide guidance for establishing expectations related to transition activities. The contractor shall develop and submit a Phase-Out Plan at least (45) days prior to the expiration of the Task Order’s period of performance. The plan shall include a detailed approach for ensuring a seamless and smooth transition to the successful contractor and describes the contractor’s approach to ensure services delivered and required under this Task Order are continued uninterrupted. The contractor shall provide the COR a project plan that includes a milestone schedule for accomplishing transition activities under this Task Order at least 45 days prior to expiration.

The tasks required for this action may include but are not limited to:

o Generate data and information transfer plan;

o Identify transition issues;

o Describe and document how data and information are transferred;

o Establish a transition management team, if appropriate;

o Make appropriate security arrangements, (if any);

o Transfer intellectual property, (if any); and o Participate in transition sessions with the government and incoming contractor to discuss outstanding issues, processes and lessons learned.

VI. Government Rights to Data and Information The contractor shall ensure that all technical records, reports, files, data, and information are made available to the

Contracting Officer (CO), Contracting Officer’s Representative (COR), and other authorized Government representatives during performance of this Task Order. The contractor shall also obtain CO approval prior to the publishing or disseminating of any information generated under this Task Order. NSF shall retain the rights to all data and information resulting from services provided under this Task Order.

VII. Deliverables Specific deliverables per Task will be identified by the COR and/or Task Monitors for the base period and each exercised option period and shall be submitted to NSF by mutually agreeable deadlines. It is important for the contractor to be aware that certain financial deliverables shall be subject to the deadlines driven internally at NSF, as well as deadlines mandated by Treasury and OMB.

Deliverables Schedule

Task Deliverable Due Date Submit Electronically To:

Task A: Financial Operations and Reporting

Task A Written Reports;

Supporting Analysis and Files

Mutual Agreement COR and/or other designated Government Official

Task B: Financial Systems Support and Analysis

Task B Written Reports;

Supporting Analysis and Files

Mutual Agreement COR and/or other designated Government Official

Task C: Financial Systems Project and Tracking Log

Financial Systems Technical and User Guides

No later than 30 calendar days after release of application into NSF’s production environment

COR and/or other designated Government Official

Task D: Financial Analytics Task D Written Reports;

Supporting Amalysis and Files

Mutual Agreement COR and/or other designated Government Official

Task E: Other Financial Services

Task E Written Reports;

Supporting Analysis and Files

Mutual Agreement COR and/or other designated Government Official

Progress Reporting Progress Report Monthly COR and/or other designated Government Official

Expenditure Reporting Expenditure Report Monthly COR and/or other designated Government Official

Service Level Agreement (SLA) requirements are presented in Attachment 2 to provide additional insight into task responsibilities and delivery timeframes. The SLA requirements are based on historical contractor assignments and due dates and may be subject to change at the Government's discretion.

VIII. Quality Control

The Contractor shall establish and maintain a Quality Control Plan throughout the Task Order period of performance.

The Contractor shall maintain a file of all scheduled and performed quality control inspections, inspection results, and the dates and details of corrective actions. The file shall be the property of the NSF and shall be made available at all times for inspection during regular working hours. The Contractor shall deliver the file to the Contracting Officer’s Representative within five (5) calendar days of Task Order expiration.