iTRAK Task Order 1 Final.pdf

NATIONAL SCIENCE FOUNDATION

TASK ORDER 1:

Financial System Implementation and Integration Services

Table of Contents

1.0 Task Order 1 Implementation and Integration Services

2.0 Required Products & Services

2.1 Implementation Services

2.2 Integration to NSF Systems

2.3 Integration to Federal Systems

2.4 Hosting Services during implementation and integration

2.5 Project Management

2.6 Organizational Change Management & Training

2.7 Software Licenses

3.0 Performance Metrics

4.0 System Acceptance

1.0 Task Order 1 Implementation and Integration Services

Task Order 1 is to provide services to support the National Science Foundation (NSF) in implementing a commercial off-the-shelf (COTS) Core Financial management system and key interfaces in a hosted environment within an 18-month implementation schedule. NSF seeks to establish a hybrid of a Time and Materials and Firm Fixed Priced Task Order for providing implementation and integration services.

2.0 Required Products & Services

The items listed below shall be supplied and performed in accordance with this Task Order and with the terms and conditions of the contract. The Contractor must furnish the following:

1. Implementation services

2. Integration services

3. Hosting services during integration and deployment

4. Project Management

5. Organizational Change Management & Training

6. Software Licenses

The iTRAK project timeline calls for the implementation effort to begin April 1, 2012 and for the new financial system to achieve full operational capability in a hosted environment by

October 1, 2013. NSF prefers to go-live at the beginning of the fiscal year. Full operational capability is defined as the iTRAK Core Financial system becoming NSF’s financial system of record, with all FSIO and NSF requirements; batch and on-line financial transactions executed at the hosted location, all NSF interfaces fully functional and all reports should be configured, working and accessible by users on October 1, 2013.

NSF does not intend to customize the COTS financial management solution and instead will adopt business processes to realize the full benefits of the best practices and efficiencies built into the COTS software. NSF unique requirements will be addressed with configuration and not customization. Specific requirements are detailed in Attachment B: iTRAK Business

Requirements, Attachment C: Interface Requirements, and Attachment E: Service Level

Agreement Technical Requirements.

2.1 Implementation Services

The Contractor’s proposed implementation approach and schedule shall demonstrate the interdependencies of all activities. The Contractor shall provide all necessary services for the successful implementation of a COTS Core Financial management system that is compliant with

Federal Financial System requirements and meets all guidelines identified in OMB Memo 10-26, OMB Circulars A-11, A-123, A-127, A-130, and A-134. The following implementation services objectives have been identified:

System Configuration - The Contractor shall configure the system software incorporating the requirements provided in Attachment B: iTRAK Business Requirements, Attachment

C: Interface Requirements. The Contractor's solution shall meet all Federal Financial

System requirements, NSF specific requirements, and OMB Memo 10-26. The

Contractor shall conduct a requirements fit/gap analysis to identify gaps between software functionality and NSF requirements. Conduct Conference Room Pilot(s) to demonstrate that the end-to-end business processes are functioning as required.

Data Migration and Conversion – The Contractor shall perform activities required to successfully convert and migrate data from its current locations and formats to a new physical location(s) and format(s) defined by the iTRAK solution prior to deployment.

These activities shall include at a minimum developing and executing a plan for data migration, conversion, and cutover from the legacy system. NSF plans to convert open documents, open balances, and supporting master data.

Testing – The Contractor shall perform incremental testing for the new system including unit tests for all components to ensure proper functionality as well as provide testing activities using NSF financial data prior to going live. Testing activities shall include but are not limited to:

o Unit Testing o Integration/End-to-End Testing o System Performance Testing (Load Testing) o Data Conversion and Migration Testing o Regression Testing o User Acceptance Testing (UAT) o Backup and Restore Testing o Disaster Recovery Testing

The system tests shall encompass a year's worth of financial transactions. The Contractor shall conduct the system tests with testing tools that can simulate data entry and posting of the defined set of transactions to allow full testing of iTRAK, including annual closing and bringing forward the General Ledger beginning balances prior to going live. The

Contractor shall ensure the system tests shall include the following components: online entry of transactions; online, real-time interfaces; batch loading of interfaces; production of standard reports; annual closing; and bringing forward the General Ledger beginning balances. The Contractor shall compare the results from the system tests to both expected results and to actual results in the legacy financial system. The Contractor shall be expected to conduct specific testing and establish processes prior to the go live date.

Accounting Code Structure - The Contractor shall assist NSF in developing a new accounting code structure and chart of accounts that is compliant with federal guidance for financial management including Treasury and OMB mandates. The Contractor shall assist in mapping the new chart of accounts to the legacy chart of accounts.

Financial Reports – The Contractor shall provide all financial reports as specified in the reporting requirements in Attachment B: iTRAK Business Requirements.

System Deployment / Release Management – The Contractor shall perform deployment activities and migration support.

http://www.webopedia.com/TERM/D/data.html

Critical functionality to be provided in the Core Financials component to be implemented is provided in the tables below.

Core Financials Functionality

Functionality Description Detailed

Requirements

General Ledger General Ledger Account Definition, Transaction Definition, General

Ledger Updating and Editing, Upward/Downward Spending

Adjustment, General Ledger Analysis and Reconciliation, Accounting

Period Maintenance and Closing, Financial Reporting

Located in Attachment

B: iTRAK Business

Requirements.

Funds

Management

Financial, Operating, and Spending Plan Development, Budget

Authority, Funds Distribution, Funds Control

Located in Attachment

B: iTRAK Business

Requirements.

Payment

Management

Payee Information Request, Accounts Payable, Payment Request, Disbursing, Payment Follow-Up Located in Attachment

B: iTRAK Business

Requirements.

Receivable

Management

Customer Information Maintenance, Receivables and Billing, Debt

Management, Collections and Offsets Located in Attachment

B: iTRAK Business

Requirements.

Cost

Management

Cost Setup and Accumulation, Cost Distribution, Cost Reporting Located in Attachment

B: iTRAK Business

Requirements.

Reimbursable

Management

Reimbursable Customer and Payee Maintenance; Establishment of

Reimbursable Agreement; Billing, Collections, and Payments under

Reimbursable Agreements

Located in Attachment

B: iTRAK Business

Requirements.

Funds Balance with Treasury

(FBwT)

Treasury Information Maintenance, Payment Information, FBwT

Reconciliation and Reporting, or future replacement

Located in Attachment

B: iTRAK Business

Requirements.

Federally

Mandated

Reporting

FACTS I, FACTS II, principal financial statements, SF224, Statement of Budgetary Resources

Located in Attachment

B: iTRAK Business

Requirements.

Operational

Reporting

Daily reporting (e.g., such as funds availability reports, aging reports, activity reports) from the preceding modules

Located in Attachment

B: iTRAK Business

Requirements.

Technical

Capability

Accounting Period Maintenance and Closing Sub-function, User

Interfaces, Interoperability, Workflow/Messaging, Document

Management, Internet Access, Security, Operations, Ad-hoc Query, Documentation, System Performance, System

Authorization/Authentication

Located in Attachment

B: iTRAK Business

Requirements.

System

Management

Accounting Classification, Document and Transaction Control, Document Referencing and Modification, System-Generated

Transactions, Audit Trails, Reconciliation reports, Data feeds to and from other applications and Data Warehouse.

Located in Attachment

B: iTRAK Business

Requirements.

Implementation services deliverables include but are not limited to those listed in the table below.

Implementation Services Deliverables Due Date

Requirements Fit Gap Analysis As identified in the project schedule.

Conference Room Pilots As identified in the project schedule.

Software Configuration documentation As identified in the project schedule.

Functional and Technical Design Specification documentation

As identified in the project schedule.

Requirements Change Control Plan As identified in the project schedule.

Integration Plan As identified in the project schedule.

Data Migration/Conversion Plan As identified in the project schedule.

Data Migration Results As identified in the project schedule.

Test Plan As identified in the project schedule.

Test Readiness Reports As identified in the project schedule.

Test Scripts As identified in the project schedule.

Test Exception Reports As identified in the project schedule.

Certification & Accreditation Package Documents As identified in the project schedule.

Go-Live Checklist and Cutover Plan As identified in the project schedule.

Commercial off-the-shelf (COTS) Core Financial management system and key interfaces

October 1, 2013

Financial Reports generated from the new financial system

October 1, 2013

2.2 Integration to NSF Systems

The Contractor shall provide all necessary services for the successful integration of the COTS

Core Financial management system with NSF systems. The following NSF system integration services objectives have been identified:

NSF System Interface Development - The Contractor shall develop interfaces, test, and support interfaces to internal NSF systems. The Contractor shall develop functional and technical design specification documents for interfaces.

NSF is in the process of changing the FAS interfaces to operate on “Open Standards” such as Web Services and Data Services. This transition is planned to be completed in time for the iTRAK implementation. NSF system interfaces are provided in the tables

Key Interfaces

NSF-Specific

Interfaces

Description Detailed Requirements

Awards Initiates obligations, de-obligations, Continuing Grant

Increment (CGI) mass commitments, and de-commitment of

CGIs in the financial system. De-commits when obligation is created.

Located in Attachment

C: Interface

Requirements eJacket Initiates automatic mass obligation of multiple continuing grant increments (CGIs), sends commitments, and completes unliquidated funds balance checks in the financial system upon approval of the annual report. Runs funding inquires

Located in Attachment

C: Interface

Requirements

Graduate

Research

Fellowship

Program system

(GRFP)

Fellowship applicants, reference writers, fellows, and university officials can manage fellowship activities and exchange information online

Located in Attachment

C: Interface

Requirements

Guest

Travel/Pay

System

Initiates travel obligations and payment requests for non-NSF employees, specifically panellists.

Located in Attachment

C: Interface

Requirements

Training System Initiates commitments, de-commitments, internal transfers, amendments, and obligations for external training purposes.

Located in Attachment

C: Interface

Requirements

Institution

Database

Stores profile information on vendor and grantees including address, payment information, and research location.

Located in Attachment

C: Interface

Requirements

Payment

Processing

Grantee access portal through which payment requests are submitted and grant balances are displayed.

Located in Attachment

C: Interface

Requirements

Data Warehouse Stores current and historic financial data providing end user reporting for financial and operational information across the enterprise.

Located in Attachment

C: Interface

Requirements

Integration with NSF systems deliverables include but are not limited to those listed in the table

Integration with NSF Systems Deliverables Due Date

Functional and Technical Design Specification documentation

As identified in the project schedule.

System interface documentation As identified in the project schedule.

Fully functioning interfaces with NSF systems October 13, 2013

2.3 Integration to Federal Systems

The Contractor shall provide all necessary services for the successful integration of the COTS

Core Financial management system with Federal systems. The following Federal system integration services objectives have been identified:

Federal System Interface Development - The Contractor shall develop interfaces, test, and support interfaces to Federal systems. The Contractor shall develop functional and technical design specification documents for interfaces.

Federal system interfaces are provided in the tables below.

Standard Federal

Interfaces

Description Detailed

Requirements eTravel Interfaces with FedTraveler system hosted by HP. Tracks travel related requests, approvals, and expenses; which initiate obligations, de-obligations, and reimbursements in the financial system. De-commits when obligation is created.

Located in

Attachment C:

Interface

Requirements

Central

Contractor

Registration

(CCR)

Primary registrant database for vendors doing business with the Federal

Government. Downloads data from CCR.Gov and updates Vendor &

Grantee information at NSF.

Located in

Attachment C:

Interface

Requirements

Federal Personnel

Payroll System

(FPPS)

Payroll transactions from payroll service provider. Located in

Attachment C:

Interface

Requirements

Bank Information

Validation

Service

Updates bank information in the financial system. Located in

Attachment C:

Interface

Requirements

Purchase Card Procurement card transactions downloaded into a file and uploaded to the General Ledger.

Located in

Attachment C:

Interface

Treasury Integration with Treasury to provide the following data extracts:

FACTS I

FACTS II

SF-224

GFRS Statements

SF-133

Intra-governmental Transaction Support List

Disbursement Support Listing

IFCS

IRAS

GTAS (January 2013)

IPAC

GOALS II/IAS RFC Agency Link

SPS

PAM

IPP

GWA

Located in

Attachment C:

Interface

Integration with Federal systems deliverables include but are not limited to those listed in the table below.

Integration with Federal Systems Deliverables Due Date

Functional and Technical Design Specification documentation

As identified in the project schedule.

System interface documentation As identified in the project schedule.

Fully functioning interfaces with Federal systems October 13, 2013

2.4 Hosting Services during implementation and integration

The Contractor shall provide hosting services during integration and deployment to support solution development, configuration, integration, data migration, testing, and staging. The hosting solution shall be in compliance with OMB guidelines and includes all services necessary to deliver the proposed approach from project initiation through system cut-over.

The following hosting services objectives have been identified:

Hardware and software - The Contractor shall provide hardware, software, and services for development; environments for configuration, integration, staging, data migration and conversion, all testing and training. All hardware and software shall be hosted in the

Contractor’s facility.

Security Management - The Contractor shall establish and maintain application security and access controls for all development, test, and conversion environments. Perform password resets; maintain access request files.

Hosting services during implementation deliverables include but are not limited to those listed in the table below.

Hosting Services During Implementation

Deliverables

Due Date

Patch and Upgrade Schedule As identified in the project schedule.

Implementation environments (development, conversion, testing, training)

As identified in the project schedule.

2.5 Project Management

The Contractor shall provide comprehensive and effective life cycle project management services and shall employ a management approach that is consistent with NSF's system development methodology, the Continuous Improvement Program (CIP) and project management best practices, notably those specified by the Project Management Institute (PMI).

Details on CIP can be found in Attachment D: Division of Information Systems (DIS) Systems

Development Lifecycle. The Contractor shall provide detailed information on the project management structure, resources and support methodology.

The Contractor’s project management support services, tools and processes shall include, but are not limited to:

Schedule Management – The development, management, and control of project schedules.

Scope Management - The managmenet and control of the work that needs to be accomplished to deliver the financial management solution.

Risk Management – The planning, identification, analysis, responses, monitoring and control of project risks.

Project Financial Management - Management of implementation project budget, control of costs, and monitoring Earned Value metrics using NSF's Earned Value Management

System. See contract EVM clause.

Document Management – The timely and appropriate generation, collection, distribution, storage, retrieval and disposition of project information.

Requirements Management – Management, traceability and documentation of system requirements.

Software Change Management – The standardization of methods and procedures for efficient and prompt handling of all software and hardware changes, changes to the project schedule, scope and budget; and support of the iTRAK Change Control Board

(CCB).

Configuration Management – Configuration management activities, change request support, baseline creation, and governance.

Quality Control – The support of business outcomes, operational metrics, and quality management.

Cutover Management – The activities associated with transitioning into the production environment hosted by the Shared Service Provider (SSP) including facilities, hardware, software, data, and support transition from the legacy financial system to the new financial system.

CIP Documentation Support - Support reviews required by the NSF's system development methodology, the Continuous Improvement Program (CIP) by providing data and information to complete the required artifiact for each CIP phase identified in

Attachment D: Division of Information Systems (DIS) Systems Development Lifecycle.

Provide gate review support, briefings, and presentations for key stakeholder meetings.

Weekly Status Meetings - The Contractor shall conduct weekly status meetings at the

NSF location with the Contracting Officer’s Technical Representative (COTR), NSF

Project Management, and Project Management Team. These meetings will include a review of project metrics, project schedule, risks, issues, and recommended mitigation.

Ad hoc Meetings - The Contractor shall be available on site at the NSF location within two (2) hours of notification of an ad hoc meeting request. The Contractor shall be available for ad hoc conference calls within thirty (30) minutes of request.

Weekly Status Reports - The Contractor shall provide a weekly status report to the NSF

Project Management team including: status of all on-going activities, issues and risks and associated mitigation or remediation recommendations, as well as upcoming activities for the next week. Additionally, any major meetings shall be noted, and the Contractor shall provide a weekly update to the master project schedule to the COTR and Project

Manager.

Monthly Technical Status Reports - The Contractor shall provide a monthly status report to the NSF Project Management team including: status of all on-going activities including percent complete, issues and risks and associated mitigation or remediation recommendations, upcoming activities for the next month, an assessment of technical progress, schedule status, and performance metric data. Additionally, any major meetings shall be noted.

Monthly Financial Status Reports - - The Contractor shall provide a monthly financial status report. The report should include, at a minimum, the effort performed during that period and should outline the labor hours used (by labor category) and costs incurred

(current period and cumulative), funding remaining, and EVM metrics.

Project management deliverables include but are not limited to those listed in the table below.

Project Management Deliverables Due Date

Project Kick-Off Meeting Within seven (7) calendar days of contract award.

Project Schedule Within fourteen (14) calendar days of contract award.

WBS Dictionary As identified in the project schedule.

Integrated Baseline Review As identified in the project schedule.

Quality Control Plan As identified in the project schedule.

Team Resource Plan As identified in the project schedule.

Weekly Status Reports Every Tuesday

Monthly Technical Status Reports Within thirty (30) calendar days of month end.

Monthly Financial Status Reports to include EVM metrics

Within thirty (30) calendar days of month end.

Monthly Invoices Within thirty (30) calendar days of month end.

Configuration Management Plan As identified in the project schedule.

Requirements Fit Gap Analysis As identified in the project schedule.

Conference Room Pilots As identified in the project schedule.

Project briefings and presentations As identified in the project schedule.

Risk Management Plan As identified in the project schedule.

Document Management Plan As identified in the project schedule.

Gate Review Reports and Artifacts As identified in the project schedule.

CIP Documentation As identified in the project schedule.

Status Meetings As identified in the project schedule.

2.6 Organizational Change Management & Training

Organizational change management is a critical function in ensuring the acceptance and adoption of the new iTRAK financial system by NSF stakeholders. NSF requires transformation that aligns the business processes with the COTS solution. The Contractor shall be an active participant in the identification of transformational and organizational change issues (e.g., stakeholder transition, communications, and training) and in developing strategies for mitigating the impact and facilitating the adoption of new and reengineered business processes and supporting services.

The Contractor’s organizational change services, tools and processes shall include, but are not limited to:

Communications - The Contractor shall identify new and existing NSF communication mediums and forums that clearly communicate the anticipated changes; work collaboratively with the NSF iTRAK Project Management Office (PMO) to manage expectations and inform internal and external stakeholders about the benefits of adopting the system.

Organizational change - The Contractor shall develop and execute an organizational change management plan. Identify and assess organizational resistance; develop tailored strategies and plans to help guide specific stakeholder groups through the deployment and post deployment transition; and promote the benefits of the transformed business process.

Training - The Contractor shall develop a system training plan, training materials, and deliver the system training to NSF users. The Contractor’s approach shall take into consideration the number and type (transactional and reporting) of NSF users. Training delivery shall reflect multiple delivery approaches to include web-based and instructor led classroom training. The training schedule shall be tied to the iTRAK testing and deployment schedule and include pre-deployment and post deployment training. Training shall include performance based and cognitive training methods. The computer training room at NSF headquarters will be made available for iTRAK training activities. The

Contractor shall include an onsite learning lab environment to provide users in-person assistance during and post go-live.

Below is information showing approximate user types for training purposes. Changes may be required when business processes are aligned to the iTRAK system.

User Type Description Estimated

Number of

Users

Transactional - Heavy Daily users, analytical reports, data queries, invoices, approving and paying, entering receivables, ad hoc data integration capabilities.

Transactional -

Moderate

Weekly users, analytical reports, data queries, invoices, approving and paying, entering receivables, ad hoc data integration capabilities.

Transactional - Light Periodic data entry of requisitions, approvals, report running and receiving activities.

Estimated Total Number of Users 561

Organizational change management and training deliverables include but are not limited to those listed in the table below.

Organizational Change Management and

Training Deliverables

Due Date

Communications Plan As identified in the project schedule.

Organizational Change Management Plan As identified in the project schedule.

Training Plan As identified in the project schedule.

Training Materials (instructor led training, training modules, operating procedures, computer based training, job aides)

As identified in the project schedule.

User manuals As identified in the project schedule.

2.7 Software Licenses

The Contractor shall provide an enterprise COTS license solution, all warranties, terms and conditions. The estimated number of NSF users is 561. The Contractor shall include the methodology and pricing for adding licenses in the future if needed.

Software license deliverables include but are not limited to those listed in the table below.

Software License Deliverables Due Date

Software Licenses As identified in the project schedule.

3.0 Performance Metrics

The performance metrics for this Task Order are listed in the table below.

Performance Objective

(desired outcomes)

Standard

(Unit of measure)

Performance Threshold

(This is the maximum error rate.)

Method of

Surveillance

1. Schedule Performance Index (SPI) = 1

SPI value + or - 10% variance from baseline of 1.

100% Inspection by

COTR and NSF PMO for timeliness.

2. Cost Performance Index (CPI) = 1 CPI value + or - 10% variance from baseline of 1.

100% Inspection by

COTR and NSF PMO for accuracy.

3. Deliverables are accurate, complete, compliant with requirements, and project schedule.

Number of revisions after deliverable is finalized

When corrections are requested, the updated document shall include all client identified corrections with no more than one revision.

100% Inspection by

COTR and Project

Office for substance and accuracy.

4. Full operational capability in a hosted environment by October 1, 2013. Full operational capability is defined as the iTRAK Core Financial system becoming

NSF’s financial system of record, with all financial transactions, batch or on-line, being done at the hosted location and all interfaces functioning.

Number of days late

3 calendar day deviation from standard set in baseline project schedule.

100% Inspection by

COTR and Project

Office for timeliness.

5. All standard FSIO requirements are deployed by October 1, 2013.

Percentage of standard FSIO requirements deployed

100% of standard FSIO requirements are deployed.

100% Inspection by

COTR and Project

Office for timeliness

6. All NSF specific mandatory requirements are deployed by October 1, 2013.

Percentage of

NSF specific mandatory requirements deployed

95% of NSF specific mandatory requirements are deployed.

100% Inspection by

COTR and Project

Office for timeliness

7. 100% Balance reconciliation of data in iTRAK system and legacy financial system.

Reconciliation of balance with legacy system

0% variance between balance in iTRAK and balance in legacy financial system.

100% Inspection by

COTR and Project

Office for accuracy.

8. All identified users will be trained by

October 1, 2013.

Number of identified users trained

90% of identified transactional users trained by implementation go-live.

100% Inspection by

COTR and Project

Office for timeliness

9. All reports shall be configured, working and accessible by users on October 1, 2013.

Percentage of reports available at deployment.

95% of reports are deployed.

100% Inspection by

COTR and Project

Office for timeliness.

4.0 System Acceptance

The system shall be accepted with no severity 1 & 2 issues. Negligible Severity 3 issues (below

2% of total system transactions) and severity 4 &5 (below 5%).

Explanation on each severity level:

Severity 1 - Catastrophic defect that causes total failure of the software or unrecoverable data loss. There is no work around. In general, a severity 1 defect would prevent the product from being released. Example: defects that cause the system to crash, corrupt data files, or completely disrupt service.

Severity 2 - Defect results in severely impaired functionality. A work around may exist but its use is unsatisfactory. In general, you would not release the product with such a defect. Examples:

with certain steps, we may generate a Windows error/message that you can click Ok on and continue with whatever you were doing with no harmful effects.

Severity 3 - Defect causes failure of non-critical aspects of the system. There is a reasonably satisfactory work around. The product may be released if the defect is documented, but the existence of the defect may cause customer dissatisfaction. Example: a non Client Financial

Report is not recognizing an option correctly, but if a filter is set, the report can be generated with the proper output.

Severity 4 - Defect of minor significance. A work around exists or, if not, the impairment is slight. Generally, the product could be released and most customers would be unaware of the defect's existence or only slightly dissatisfied. Example: A button or button set is slightly off center on a data screen, or the problem is purely cosmetic and not easily recognizable.

Severity 5 - Enhancement request or design issue. These should probably be coded as

Suggestions or brought to the Design Team by the originating person’s DT representative.