EFS SIR Sections A-M_Draft.pdf

SIR No. DTFAWA-17-R-00017 (Enterprise Financial Services)

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TABLE OF CONTENTS

Section A – Standard Form 33

Section B – Supplies or Services and Price/Costs

B.1 Brief Description of Supplies or Services

B.2 Contract Type – Indefinite Delivery/Indefinite Quantity

B.2.1 Task Order Types

B.2.2 Ceiling Value

B.2.3 Guaranteed Minimum

B.3 Overview of Pricing Schedules

B.3.1 Contract Line Item Numbers (CLIN) Summary

B.3.2 Pricing Terms

Section C- Statement of Work

C.1 General

C.1.1 Objective

C.1.2 Background

C.1.3 Environment

C.2 Scope

C.3 Requirements

C.3.1 IT Accessibility

C.3.2 IT Security Standards

C.3.3 Enterprise Performance Management System (EPMS) Solutions Delivery Life Cycle (SDLC)

C.4 Work Areas

C.4.1 Work Area 1 - Policies and Processes

C.4.2 Work Area 2 - Internal Controls

C.4.3 Work Area 3 - Program and Project Management

C.4.4 Work Area 4 - Day-to-Day Operations

C.4.5 Work Area 5 – Systems

C.4.6 Work Area 6 – Training

C.4.7 Work Area 7 – Strategic Planning, Investment Analysis and Program Evaluation

C.4.8 Work Area 8 – Risk Management

C.4.9 Work Area 9 – Other Financial, Budget, and Management Related Activities

C.5 Contract and Task Order Management

C.5.1 General

C.5.2 Transition In

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C.5.3 Transition Out

Section D - Packaging, Marking and Shipping

D.1 Requirements

D.1.1 Physical Deliverables

D.1.2 Electronic Deliverables

Section E – Inspection and Acceptance

E.1 AMS Clauses

E.1.1 Clauses Incorporated by Reference

E.2 General

Section F – Deliveries or Performance

F.1 AMS Clauses

F.1.1 Clauses Incorporated by Reference

F.1.2 Clauses Incorporated in Full Text

F.2 Period of Performance

F.2.1 Base Ordering Period

F.2.2 Option to Extend Services

F.2.3 Task Order Periods of Performance

F.3 Place of Performance

F.4 Deliverables

F.4.1 General

F.4.2 Contract Deliverables

Section G – Contract Administration Data

G.1 AMS Clauses

G.1.1 Clauses Incorporated by Reference

G.2 Points of Contact

G.3 Contracting Officer’s Authority

G.4 Correspondence

G.5 Electronic Communications

G.5.1 General

G.5.2 Knowledge Services Network (KSN)

G.6 Ordering Procedures

G.6.1 General

G.6.2 Selection of Contractor

G.6.3 Waiver of Protest/Dispute Rights for Task Order Awards

G.7 Invoicing/Payments

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G.7.1 General

G.7.2 Additional Requirements

G.8 Travel

G.8.1 General

G.8.2 Additional Requirements

Section H – Special Contract Requirements

H.1 AMS Clauses

H.1.1 Clauses Incorporated in Full Text

H.2 Interpretation of Contract

H.3 Non-Personal Services and Inherently Governmental Functions Prohibited

H.4 Personnel Requirements and Work Hours

H.4.1 Definition

H.4.2 Qualifications of Personnel

H.4.3 Observance of Legal Holidays

H.4.4 Work Hours

H.4.5 Overtime

H.4.6 Termination of Employees

H.5 Notification of Debarment and Suspension

H.6 Dissemination of Contract Information

H.7 Definition of Days

H.8 Post Award Conference/Kick-Off Meeting

H.9 Additional Flow Down Clauses

Section I Contract Clauses

I.1 Clauses Incorporated by Reference

I.2 Clauses Incorporated in Full Text

I.2.1 3.1.7-6 Disclosure of Certain Employee Relationships (July 2009)

I.2.2 3.2.2.3-37 Notification of Ownership Changes (July 2004)

I.2.3 3.2.4-16 Ordering (October 2011)

I.2.4 3.2.4-17 Order Limitations (October 1996)

I.2.5 3.2.4-20 Indefinite Quantity (July 1996)

I.2.6 3.2.4-34 Option to Extend Services (October 2014)

I.2.7 3.2.5-15 ATTORNEY-CLIENT PRIVILEGE (January 2016)

I.2.8 3.3.1-33 System for Award Management (October 2016)

I.2.9 3.3.1-36 Availability of Funds - Option Periods under a Continuing Resolution (April 2008)

I.2.10 3.3.1-37 Limitation on Government's Obligation (October 2011)

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I.2.11 3.6.2-14 Employment Reports on Veterans (January 2011)

I.2.12 3.6.2-29 Statement of Equivalent Rates for Federal Hires (April 1996)

I.2.13 3.6.2-34 Service Contract Act - Place of Performance Unknown (April 1996)

I.2.14 3.6.2-40 Nondisplacement of Qualified Workers (April 2009)

I.2.15 3.6.2-41 Employment Eligibility Verification (September 2009)

I.2.16 3.10.1-27 Changes - Increases to Contract Ceiling (April 2013)

I.2.17 3.14-1 Security Requirements - Classified Contracts (July 2002)

I.2.18 3.14-2 Contractor Personnel Suitability Requirements (July 2016)

I.2.19 3.14-4 Access to FAA Systems and Government Issued-Property (November 2016)

Section J – List of Attachments

Section K – Representations and Certifications

K.1 Provisions Incorporated by Reference

K.2 Provisions in Full Text

K.2.1 3.2.2.3-2 Minimum Offer Acceptance Period (July 2004)

K.2.2 3.2.2.3-10 Type of Business Organization (July 2004)

K.2.3 3.2.2.3-35 Annual Representations and Certifications (July 2004)

K.2.4 3.2.2.3-70 Taxpayer Identification (July 2004)

K.2.5 3.2.2.3-81 Prohibition Against Contracting with Inverted Domestic Corporations-Representation (October 2015)

K.2.6 3.2.2.7-7 Certification Regarding Responsibility Matters (October 2016)

K.2.7 3.3.1-35 Certification of Registration in System for Award Management (August 2012)

K.2.8 3.5-14 Representation of Limited Rights Data and Restricted Computer Software (January 2010)

K.2.9 3.6.2-5 Certification of Nonsegregated Facilities (March 2009)

K.2.10 3.6.2-6 Previous Contracts and Compliance Reports (May 1997)

K.2.11 3.6.2-8 Affirmative Action Compliance (April 1996)

K.2.12 3.6.3-5 Estimate of Percentage of Recycled Content for Designated Items to be Used in the Performance of the Contract (October 2016)

K.2.13 3.6.4-19 Prohibition Contracting with Entities Engaging in Certain Activities or Transactions Related to Iran- Representation and Certifications (April 2013)

K.2.14 3.13-4 Contractor Identification Number - Data Universal Numbering System (DUNS) Number (August 2012)

Section L – Instructions and Notices to Offerors

L.1 AMS Provisions Incorporated by Reference

L.2 AMS Provisions in Full Text

L.2.1 3.2.2.3-20 Electronic Offers (July 2004)

L.2.2 3.2.2.3-22 Period for Acceptance of Offer (October 2014)

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L.2.3 3.2.4-1 Type of Contract (April 1996)

L.2.4 3.6.1-17 North American Industry Classification System (NAICS) Code (January 2016)

L.2.5 3.9.1-3 Protest (October 2011)

L.3 Date, Time, and Method of Submission

L.3.1 Date and Time

L.3.2 Submission Via Knowledge Service Network (KSN)

L.4 SIR Questions, Concerns, and Clarifications ...................................................... Error! Bookmark not defined.

L.5 Expenses Related to Offeror Submissions

L.6 Notification of Award and Debriefing of Unsuccessful Offerors

L.7 Number of Awards

L.8 Contractor Responsibility

L.9 Communications with Offerors

L.10 Non-Governmental Evaluators and Advisors

L.11 General Proposal Instructions

L.11.1 Volumes and Page Limits

L.11.2 Other Formatting Instructions

L.11.3 Definition of “Offeror”

L.12 Volume I – Relevant Experience

L.12.1 Volume I, Section 1 - Relevant Experience Matrix

L.12.2 Volume I, Section 2 - Relevant Experience Narrative

L.13 Volume II – Technical Capability

L.13.1 Volume II, Section 1, Sub-Section A - Staffing, Management, and Quality Control Narrative

L.13.2 Volume II, Section 1, Sub-Section B - Solution Delivery Team Matrix

L.13.3 Volume II, Section 1, Sub-Section C – Risk Matrix

L.13.4 Volume II, Section 2 – Technical Approach Narrative

L.13.5 Volume II, Section 3 – Responses to Sample Problem

L.14 Volume III – Price

L.14.1 Volume III, Section 1, Sub-Section A - Exceptions, Deviations, and Assumptions

L.14.2 Volume III, Section 1, Sub-Section B - Contract Documents and Associated Information

L.14.3 Volume III, Section 2 - Price Proposal

L.15 Volume IV – Past Performance

L.15.1 Volume IV, Section 1– List of Past Performance References

L.15.2 Volume IV, Section 2 – Past Performance Questionnaires

L.16 Volume V – Compliance

L.16.1 Volume V, Section 1 – Subcontracting

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L.16.2 Volume V, Section 2 –Conflicts of Interest

Section M – Evaluation Factors for Award

M.1 AMS Provisions Incorporated by Reference

M.2 General Information

M.2.1 Notices to Offerors

M.2.2 Evaluation Process

M.3 Evaluation Methodology

M.3.1 Best Value/Trade Off

M.3.2 Relative Importance of Factors

M.4 Basis of Award

M.4.1 Relevant Experience

M.4.2 Technical Capability

M.5 Price Evaluation

M.5.1 General

M.5.2 Adequate Price Competition

M.5.3 Price Reasonableness

M.6 Past Performance

M.6.1 Description

M.6.2 Rating

M.7 Compliance

M.7.1 Subcontracting

M.7.2 Conflict of Interest

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SECTION A – STANDARD FORM 33

Reserved

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SECTION B – SUPPLIES OR SERVICES AND PRICE/COSTS

B.1 BRIEF DESCRIPTION OF SUPPLIES OR SERVICES

The Enterprise Financial Services (EFS) portfolio of contracts includes a broad range of financial, budget and management support services. Specific work areas are set forth in Section C.

B.2 CONTRACT TYPE – INDEFINITE DELIVERY/INDEFINITE QUANTITY

This contract is one of TBD at Award Indefinite Delivery/Indefinite Quantity (ID/IQ) contracts in the EFS portfolio.

B.2.1 TASK ORDER TYPES

At the discretion of the Contracting Officer, the FAA may issue Time-and-Materials, Labor-Hour, Firm Fixed Price or hybrid task orders. Each Request for Task Order Proposal (RFTOP) issued under this contract will identify the Government's determination of task order type.

B.2.2 CEILING VALUE

There are multiple ID/IQ contracts contained within the EFS portfolio. Each individual EFS contract is only guaranteed the minimum provided in Section B.2.3 and the combined value of task orders issued against all EFS contracts cannot exceed the cumulative portfolio ceiling of $210,000,000.

B.2.3 GUARANTEED MINIMUM

The guaranteed minimum obligation for each ID/IQ contract in the EFS portfolio is $10,000.

B.3 OVERVIEW OF PRICING SCHEDULES

B.3.1 CONTRACT LINE ITEM NUMBERS (CLIN) SUMMARY

CLIN numbers for the five-year (60 month) order period are as follows.

CLIN Description 0001 Base Period Labor, Other Direct Costs (ODCs), and Travel 0001A Labor 0001B ODCs 0001C Travel

B.3.1.1 CLIN 0001A - LABOR

The labor schedule below contains fully burdened hourly rates for both Government-site and Contractor-site performance. Descriptions of and requirements for each labor category in the labor schedule are included in Attachment J003

CLIN 0001A - LABOR

Year 1 Fully

Burdened Labor Rates

Year 2 Fully Burdened Labor

Rates

Year 3 Fully Burdened Labor

Rates

Year 4 Fully Burdened Labor

Rates

Year 5 Fully Burdened Labor

Rates

Labor Category

Level

CLIN

FAA Site

Contractor Site

FAA Site

Contractor Site

FAA Site

Contractor Site

FAA Site

Contractor Site

FAA Site

Contractor Site

Accountant I 0001A1

Accountant II 0001A2

Accountant III 0001A3

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CLIN 0001A - LABOR

Year 1 Fully

Burdened Labor Rates

Year 2 Fully Burdened Labor

Rates

Year 3 Fully Burdened Labor

Rates

Year 4 Fully Burdened Labor

Rates

Year 5 Fully Burdened Labor

Rates

Labor Category

Site

FAA Site

Contractor Site

FAA Site

Contractor Site

FAA Site

Contractor Site

FAA Site

Contractor Site

Accountant IV 0001A4

Accountant V 0001A5

Accounting Technician I 0001A6

Accounting Technician II 0001A7

Accounting Technician III 0001A8

Administrative Assistant I 0001A9

Administrative Assistant II 0001A10

Administrative Assistant III 0001A11

Auditor I 0001A12

Auditor II 0001A13

Auditor III 0001A14

Auditor IV 0001A15

Auditor V 0001A16

Budget Analyst I 0001A17

Budget Analyst II 0001A18

Budget Analyst III 0001A19

Budget Analyst IV 0001A20

Budget Analyst V 0001A21

Business Requirements Analyst I 0001A22

Business Requirements Analyst II 0001A23

Business Requirements Analyst III 0001A24

Consultant I 0001A25

Consultant II 0001A26

Consultant III 0001A27

Consultant IV 0001A28

Consultant V 0001A29

Cost Analyst / Cost Estimator I 0001A30

Cost Analyst / Cost Estimator II 0001A31

Cost Analyst / Cost Estimator III 0001A32

Financial Analyst I 0001A33

Financial Analyst II 0001A34

Financial Analyst III 0001A35

Financial Analyst IV 0001A36

Financial Analyst V 0001A37

Graphics/ Documentation Specialist I 0001A38

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Burdened Labor Rates

Year 2 Fully Burdened Labor

Rates

Year 3 Fully Burdened Labor

Rates

Year 4 Fully Burdened Labor

Rates

Year 5 Fully Burdened Labor

Rates

Labor Category

Site

FAA Site

Contractor Site

FAA Site

Contractor Site

FAA Site

Contractor Site

FAA Site

Contractor Site

Graphics/ Documentation Specialist II 0001A39

Graphics/ Documentation Specialist III 0001A40

Graphics/ Documentation Specialist IV 0001A41

Help Desk Technician I 0001A42

Help Desk Technician II 0001A43

Help Desk Technician III 0001A44

Human Capital Strategist I 0001A45

Human Capital Strategist II 0001A46

Human Capital Strategist III 0001A47

Math / Statistician I 0001A48

Math / Statistician II 0001A49

Math / Statistician III 0001A50

Policy Analyst I 0001A51

Policy Analyst II 0001A52

Policy Analyst III 0001A53

Policy Analyst IV 0001A54

Program Analyst I 0001A55

Program Analyst II 0001A56

Program Analyst III 0001A57

Program Analyst IV 0001A58

Program Analyst V 0001A59

Program Manager I 0001A60

Program Manager II 0001A61

Program Manager III 0001A62

Program Manager IV 0001A63

Program Manager V 0001A64

Project Leader/Task Leader I 0001A65

Project Leader/Task Leader II 0001A66

Project Leader/Task Leader III 0001A67

Subject Matter Expert I 0001A68

Subject Matter Expert II 0001A69

Subject Matter Expert III 0001A70

Systems Auditor I 0001A71

Systems Auditor II 0001A72

Systems Auditor III 0001A73

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Burdened Labor Rates

Year 2 Fully Burdened Labor

Rates

Year 3 Fully Burdened Labor

Rates

Year 4 Fully Burdened Labor

Rates

Year 5 Fully Burdened Labor

Rates

Labor Category

Site

FAA Site

Contractor Site

FAA Site

Contractor Site

FAA Site

Contractor Site

FAA Site

Contractor Site

Systems Auditor IV 0001A74

Systems Auditor V 0001A75

Technical Editor / Writer I 0001A76

Technical Editor / Writer II 0001A77

Technical Editor / Writer III 0001A78

Technical Editor / Writer IV 0001A79

Technical Editor / Writer V 0001A80

Training Developer I 0001A81

Training Developer II 0001A82

Training Developer III 0001A83

Web Designer I 0001A84

Web Designer II 0001A85

Web Designer III 0001A86

Web Designer IV 0001A87

Web Designer V 0001A88

B.3.1.2 CLIN 0001B - OTHER DIRECT COSTS (ODCS) AND 0001C - TRAVEL

The ODC and Travel schedule below contain the Not-to-Exceed (NTE) amounts inclusive of any applicable rates for all five years of the base period.

CLIN Description Year 1 Year 2 Year 3 Year 4 Year 5 Total 0001B ODCs $68,537.17 $77,305.81 $86,298.59 $95,649.76 $105,466.74 $433,258.07 0001C Travel $220,562.72 $249,776.25 $278,273.45 $307,115.34 $335,618.00 $1,391,345.77

ODCs include:

1. Materials purchased specifically for performance of work under the EFS contracts that are not part of the Contractor’s burden rates. (e.g. software licenses specific to work performed under EFS)

2. Incidental services directly related to and necessary for the performance of work under the EFS contracts.

(e.g. computer hosting services)

B.3.2 PRICING TERMS

B.3.2.1 LABOR

1. The fully burdened hourly rates in the labor schedule in B.3.1.1 include wages, indirect costs, fringe benefits, overhead, general and administrative cost, and profit.

2. The rates in the labor schedule in B.3.1.1 are ceiling rates and will apply to all direct labor hours regardless of whether the labor hour is performed by the Contractor or by one of its subcontractors.

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3. The Contractor may elect to propose resources at hourly rates less than the ceiling rates on a task order by task order basis.

4. The rates in the labor schedule may only increase pursuant to the requirements of the Service Contract Act (SCA)/Fair Labor Standards Act (FLSA).

B.3.2.2 ODCS AND TRAVEL

1. Where Other Direct Costs (ODC's) and Travel are required to fulfill individual Task Order requirements, the FAA will reimburse them at cost. Except as provided in number 3, below, the Contractor may not apply any indirect or other burdens, including without limitation profit and G&A, on ODCs and Travel.

2. FAA will only reimburse the Contractor for ODCs and Travel proposed and approved in accordance with Sections G.6 and G.8, below.

3. The Contractor may apply a Materials Handling Fee of [TBD per Contractor’s proposal] percent to ODCs.

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SECTION C- STATEMENT OF WORK

C.1 GENERAL

C.1.1 OBJECTIVE

The purpose of the EFS portfolio is to ensure that FAA and the U.S. Department of Transportation (DOT) have access to the resources necessary to carry out financial, budget and management operations and ensure the efficacy of those operations. Having a portfolio of contracts that integrate planning, operations, and performance management will speed access to required services and provide access to best-in-class resources at low cost.

C.1.2 BACKGROUND

The FAA is a regulatory entity within the DOT whose mission is to provide the safest, most efficient aerospace system in the world. As an agency, FAA is continuously striving to reach the next level of safety, efficiency, environmental responsibility and global leadership in aviation.

Like all federal agencies, FAA receives budget authority through authorizing statues and appropriations. FAA must act in the interests of its stakeholders, which include the American public and others who use American airspace, in using that budget authority to support its mission. Multiple checks and balances exist to ensure that federal agencies use the public funds in an effective, transparent, and prudent manner. Ensuring timely and responsive mission support in the face of those checks and balances is a challenge that all federal agencies face.

The Financial Integrated Support (FIS) Program is part of FAA’s effort to implement holistic solutions to the challenges of federal financial management. The Enterprise Financial Services (EFS) contracts are a part of that program, and support FAA’s need to systematically plan, implement, and monitor the efficacy of its management budget and financial operations.

C.1.3 ENVIRONMENT

C.1.3.1 CURRENT BUSINESS ENVIRONMENT

The Office of Financial Services (ABA) is responsible for managing FAA’s budget, overseeing appropriations, and developing workforce plans. ABA leads the agency in providing responsible solutions and management oversight to ensure financial accountability and operations efficiency. However, stewardship of FAA’s financial resources is a partnership between ABA and FAA Program Offices. ABA is responsible for integrating timely and accurate cost and financial information into the agency's business processes. Corporate and Line-of-Business (LOB) offices must rely on that information to make data-based decisions.

In the Federal environment, a combination of regulation, policy, case law, and business practice drive finance and budget operations. An interrelated web of laws, rules, DOT policy, and internal policies govern how FAA requests money, spends money, tracks those expenditures, and ensure that those expenditures are in the public interest.

The authorities listed below are critical pieces of the web. However, the EFS Contractors are responsible for ensuring compliance with all applicable regulations and policy.

C.1.3.1.1 BUDGET AND FINANCIAL OPERATIONS

The legal framework for FAA’s budget and financial operations can be found in the Budget and Accounting Act of 1921, the Government Performance and Results Act (GRPA) of 1993, the GRPA Modernization Act of 2010, and other related legislation in Title 31, United States Code Chapter 11 (The Budget and Fiscal Budget and Program Information). OMB Circular A-11 (Preparation, Submission and Execution of the Budget), which is updated annually, implements these laws.

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C.1.3.1.2 INTERNAL CONTROLS

FAA is subject to the requirements set forth in the Office of Management and Budget (OMB) Circular A-123 and the Federal Managers Financial Integrity Act of 1982 (FMFIA). OMB Circular A-123 requires that every executive agency establish, assess, correct, and report on its internal controls. This mandate is meant to ensure accountability and to improve the effectiveness of federal programs and operations. FMFIA requires that every executive agency establish internal accounting and administrative controls in accordance with the standards prescribed by the Comptroller General. The Act also requires an annual assessment and report on controls related to financial management systems.

FAA is also subject to the Improper Payment Elimination and Recovery Act (IPERA). IPERA seeks to reduce improper payments, which are defined as payments to the wrong entity, in the wrong amount and/or for the wrong reason. IPERA requires that agencies conduct risk assessments, identify high-occurrence programs, and measure improper payments in those programs. Agencies must also conduct recovery audits to recover improperly dispersed funds, and may use the recovered funds for a variety of purposes.

C.1.3.1.3 MANAGEMENT CONTROLS

In addition to budget and financial controls, FAA must comply with legislative and regulatory requirements related to other types of management controls. One emerging area of management controls is Federal Information Technology Acquisition Reform Act (FITARA), incorporated into Article VIII of the National Defense Authorization Act (NDAA) for Fiscal Year 2015 (Pub. L. No 113-291). The stated objectives of FITARA include: (1) Establishing management practices that align information technology (IT) resources with agency missions, goals, programmatic priorities, and statutory requirements; and (2) Establishing IT management controls.

The Capital Planning and Investment Control (CPIC) process is a long-established management control in the federal IT environment. OMB Circular A-130, which implements the Clinger Cohen Act 40 U.S.C. §11101 et seq lays out the framework for the CPIC process. CPIC is a three-part process and requires agencies - including FAA - to select, control and evaluate IT investments. Creating and maintaining Capital Asset Plans (OMB Exhibit 300s) for all major investments is a critical element of the CPIC process. A mature CPIC process increases an agency’s capability to achieve mission, aligns proposed initiatives with IT strategic goals, supports Enterprise Architecture efforts, measures performance benefits against dollars invested and potential risks, and creates a protocol for setting IT priorities and aligning IT resources based on those priorities.

C.1.3.2 CURRENT TECHNICAL ENVIRONMENT

FAA uses a variety of FAA-specific budget and finance related applications. These applications range from business analytics software to data repositories to custom developed systems. Some are stand-alone systems whereas others interface with other critical systems. Beyond FAA-specific systems, FAA uses a variety of government-wide systems. As technologies evolve, systems and applications are added to and removed from the technical environment.

C.1.3.2.1 PRISM

PRISM is a comprehensive procurement management system. This commercial off-the-shelf (COTS) automated purchasing system is integrated with DELPHI, DOT's financial system.

Some of the main PRISM functions include, without limitation, the following:

• Creating Purchase Requisitions.

• Receiving / Accepting Goods and Services.

• Verifying Funds & Approving Commitments.

• Creating & Approving Contract Awards.

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• Running Reports.

C.1.3.2.2 DELPHI

DELPHI is a web-based financial management system based on Oracle Federal Financials that replaced the previous system, DAFIS. DELPHI is integrated with the new acquisition/ procurement system (PRISM) and is the backbone of the FAA financial system. It supports the agency's business objectives, reduces program exposure to various sources of risk, automates, streamlines, and standardizes financial processes, and provides accurate financial results.

The FAA uses the following modules within the Oracle financial system:

• Accounts Payable

• Accounts Receivable

• Budget Execution

• Fund Control Module

• Fixed Assets

• General Ledger

• Project Accounting

• Purchasing

C.1.3.2.3 OTHER SYSTEMS

Other systems in the technical environment include, but are not limited to:

• REGIS

• CASTLE

• GovTrip

• SAPS

• PURE

• CWP

• SPIRE

• RADS

C.2 SCOPE

The scope of this contract includes the complete range of services - as described in the work areas below -necessary for the FAA to support its financial, budget, and management related activities. Specific exclusions (e.g.

software development services or custom configuration of COTS software products) are noted within work areas.

This is an agency-wide contract, and services in support of any FAA Office are in scope of this contract.

Additionally, any office within DOT, including other modes of DOT, may order work within the scope of this contract to support their own financial, budget, and management related activities.

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C.3 REQUIREMENTS

C.3.1 IT ACCESSIBILITY

Section 508 of the Rehabilitation Act of 1973 (29 U.S.C. 794d), as amended by the Workforce Investment Act of 1998, requires that all electronic and information technology (EIT) products and services developed, acquired, maintained, or used under this contract comply with the “Electronic and Information Technology Accessibility Provisions” set forth by the Architectural and Transportation Barriers Compliance Board (also referred to as the “Access Board”) in 36 CFR part 1194.

Information about Section 508 is available at http://www.section508.gov/. This contract incorporates the following standards:

• 1194.22 – Web based intranet and internet information and applications.

• 1194.31 – Functional performance criteria.

• 1194.41 – Information, documentation, and support.

The Contractor must ensure that all EIT delivered under this contract meets the applicable accessibility standards at 36 CFR 1194, unless an agency exception to this requirement exists. 36 CFR 1194 implements Section 508 of the Rehabilitation Act of 1973, as amended, and is viewable at http://www.access-board.gov.

C.3.2 IT SECURITY STANDARDS

The Contractor must ensure compliance with all applicable IT security standards. These include, but are not limited to:

• Federal Information Security Management Act (FISMA) http://www.whitehouse.gov/sites/default/files/omb/memoranda/m03-19.pdf

• National Institute of Standards and Technology (NIST) SP800-53 http://csrc.nist.gov/publications/nistpubs/800-53-Rev3/sp800-53-rev3-final_updated-errata_05-01- 2010.pdf

• National Institute of Standards and Technology (NIST) SP800-37 http://csrc.nist.gov/publications/nistpubs/800-37-rev1/sp800-37-rev1-final.pdf

C.3.3 ENTERPRISE PERFORMANCE MANAGEMENT SYSTEM (EPMS) SOLUTIONS DELIVERY LIFE CYCLE

(SDLC)

The SDLC provides a structured approach to managing IT programs/projects beginning with establishing the justification for initiating a systems development or maintenance effort and concluding with system disposition. It establishes a logical order of events for conducting system development that is controlled, measured, documented, and ultimately improved. The SDLC emphasizes decision processes that influence system cost and usefulness. These decisions must be based on full consideration of business processes, functional and security requirements, as well as, economic and technical feasibility in order to produce an effective system.

C.4 WORK AREAS

C.4.1 WORK AREA 1 - POLICIES AND PROCESSES

As tasked, the Contractor must support FAA personnel in creating and maintaining finance and budget-related policies and standard operating procedures (SOPs). The objective of this work area is to ensure that FAA Program Offices’ finance and budget-related policies, procedures and business processes are current, accessible and align with Government, DOT, and FAA standards, are consistent with industry best practices, and support mission performance. This includes but is not limited to:

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C.4.1.1 IDENTIFYING THE NEED FOR POLICIES AND STANDARD OPERATING PROCEDURES (SOPS) As tasked, the Contractor must support FAA in identifying the need for policies and SOPs. Specific activities include, without limitation:

C.4.1.1.1 PERFORMING PROCESS ASSESSMENTS

As tasked, the Contractor must perform process assessments. This may involve gathering data from a variety of sources using a variety of methodologies. These methodologies could include stakeholder interviews and reviews of existing documentation. This work area includes the development of artifacts (e.g. reports and briefings) necessary to communicate findings.

C.4.1.1.2 IDENTIFYING AND DOCUMENTING PROCESS GAPS

As tasked, the Contractor must identify and document process gaps by defining the “as is” and “to be” states and developing related artifacts (e.g. reports, briefings, process maps). In order to do this, the Contractor may be tasked with benchmarking existing business processes against outside standards. Specific activities in this work area could include, without limitation, the following:

• Researching statutory requirements.

• Reviewing industry standards and best practices.

• Surveying other program offices and agencies.

C.4.1.2 DRAFTING POLICY DOCUMENTS/SOPS

As tasked, the Contractor must draft policy documents and SOPs. Specific activities in this work area include, without limitation, the following:

• Obtaining FAA approval of the “to be” state.

• Drafting policy documents/SOPs designed to attain the “to be” state. The Contractor must ensure that policy documents/SOPs are written in accordance with applicable FAA templates and standards.

• Coordinating reviews and supporting FAA personnel in obtaining requisite approvals, and disseminating or posting the approved documents.

C.4.1.3 PLANNING FOR IMPLEMENTATION OF POLICY DOCUMENTS/SOPS

As tasked, the Contractor must support the FAA in planning for the implementation of policy documents/SOPs.

This includes creating and implementing training plans and creating and implementing communication plans. This work area includes the development of artifacts (e.g. training materials, newsletters, wikis, and web pages) necessary to implement the plans. The complexity of the implementation process will vary with the scope and visibility of the policy documents/SOPs.

C.4.1.4 MANAGING POLICY DOCUMENTS

As tasked, the Contractor must support FAA in managing policy documents. This includes developing taxonomies, repositories (e.g. KSN sites) and document management plans. This work area also includes activities related to version control and archiving of documents.

C.4.1.5 CONDUCTING PERIODIC REVIEWS OF POLICY DOCUMENTS

As tasked, the Contractor must conduct periodic reviews and updates of policy documents to ensure consistency with actual work practices, regulatory changes, and IT system updates. This work area includes the development of artifacts (e.g. reports and briefings) necessary to communicate findings.

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C.4.2 WORK AREA 2 - INTERNAL CONTROLS

As tasked, the Contractor must perform support activities related to internal controls. This work area includes the type of support services necessary to ensure robust management controls, effective and efficient financial operations, reliable financial reports and statements, and compliance with applicable laws and guidance. The objective of this task area is to ensure that FAA receives an “unqualified” opinion on its financial statements and that no auditing entity identifies any material weaknesses in those statements. This includes but is not limited to:

C.4.2.1 ASSESSING EXISTING INTERNAL CONTROLS

As tasked, the Contractor must support FAA in assessing its existing internal controls. This includes, without limitation:

C.4.2.1.1 PLANNING FOR TESTING

As tasked, the Contractor must support the FAA in determining what controls to test. FAA may also require the Contractor to develop test plans and design sampling techniques that allow for meaningful analysis. Other activities within scope of this work area include supporting FAA personnel in gathering relevant data from components (Program Office) and reviewing component submissions to ensure completeness.

C.4.2.1.2 TESTING AND ANALYSIS

As tasked, the Contractor must compare the data gathered to existing controls and analyze the data to identify deficiencies. Upon completion of testing, the Contractor must draft reports and create presentations on the findings.

C.4.2.2 REMEDIATING OPEN DEFICIENCIES

As tasked, the Contractor must support FAA in addressing deficiencies identified during the audit process. Specific activities in this work area include, without limitation, the following:

• Providing expert guidance on best practices.

• Developing corrective action plans.

• Implementing corrective action plans.

• Monitoring compliance with corrective action plans.

• Drafting standard operating procedures and policies (see Section C.3.1)

• Developing reports.

C.4.3 WORK AREA 3 - PROGRAM AND PROJECT MANAGEMENT

As tasked, the Contractor must support FAA in managing programs and projects that pertain to management, financial and budget operations. The objective of this work area is to ensure that FAA’s programs and projects are managed in a cohesive manner, consistent with PMI or FAC-C standards, federal law and OMB guidance, and with FAA processes and toolsets, to obtain high-quality outputs on schedule and within budget. This includes but is not limited to:

C.4.3.1 MANAGING PROGRAMS

As tasked the Contractor must assist FAA personnel in performing program management functions. A program is a portfolio of related projects and ongoing operations. Program management functions include, without limitation, the following activities:

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C.4.3.1.1 GOVERNANCE

As tasked, the Contractor must support program governance activities. Program governance activities allow for consistency in practices across projects and the creation of a framework for continuous improvement of ongoing operations. These activities also allow the FAA and DOT components to ensure that program funds disbursed to other entities are used in accordance with federal law and OMB guidance. Specific activities include, without limitation, the following:

• Identifying stakeholders.

• Establishing practices for stakeholder engagement. This could include scheduling and supporting meetings, and developing charters and delegations of authority.

• Establishing work processes across the program (e.g. risk management processes, reporting processes, financial management processes) and developing the artifacts (e.g. plans, schedules, SOPs) necessary to support those work processes.

• Establishing performance metrics and methods of tracking those metrics. This could include auditing recipients of program funds to ensure compliance with federal law and OMB guidance (e.g. plan audits, conduct audits, report on findings).

C.4.3.1.2 PLANNING

As tasked, the Contractor must support program planning activities. Program planning activities allow for an integrated visualization of key program deliverables and outputs and for managing dependencies between projects. Specific activities in this include, without limitation, the following:

• Developing and maintaining program plans.

• Developing and maintaining program schedules.

• Developing and maintaining benefits dependency networks.

• Developing and maintain program budgets.

C.4.3.1.3 EXECUTION

As tasked, the Contractor must support program execution activities. This includes tracking progress, creating progress reports, coordinating the review/approval of work packages, and updating risk and financial management documentation.

C.4.3.2 MANAGING PROJECTS

As tasked, the Contractor must assist FAA personnel in performing project management functions throughout the project lifecycle. A project is a planned set of interrelated tasks and activities designed to achieve a particular outcome. The type and number of project management activities and artifacts vary with the complexity, dollar value and visibility of the project. Managing projects includes, without limitation, the following activities:

C.4.3.2.1 INITIATING PROJECTS

As tasked, the Contractor must perform project initiation functions. Project initiation is the process of defining and obtaining authorization for a project. Specific activities include, without limitation, the following:

• Identifying stakeholders, facilitating meetings with stakeholders, and creating a stakeholder management strategy.

• Drafting business cases and feasibility studies.

• Drafting the project charter.

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C.4.3.2.2 PLANNING PROJECTS

As tasked, the Contractor must perform project planning functions. Specific activities include, without limitation, the following:

• Developing the project management plan, including all supporting plans (e.g. risk management plan, communication management plan, requirements management plan, quality management plan etc.).

• Developing the risk register.

• Developing the work breakdown structure (WBS) and integrated master schedule.

C.4.3.2.3 EXECUTING PROJECTS

As tasked, the Contractor must support FAA personnel in project execution functions. Specific activities include, without limitation, the following:

• Conducting status meetings and generating project reports.

• Coordinating the inspection and acceptance of project deliverables.

• Performing quality assurance activities in accordance with the quality management plan.

• Updating the project schedule and management plans.

C.4.3.2.4 MONITORING AND CONTROLLING PROJECTS

As tasked, the Contractor must perform project monitoring and control throughout the project lifecycle. Project management and control includes collecting data and measuring that data against established metrics to ensure that the project activities are within scope, on time, and on budget. This includes the generation of artifacts (e.g.

data, reports, scorecards, presentations) necessary to measure and report on project performance.

C.4.3.2.5 CLOSING PROJECTS

As tasked, the Contractor must support FAA personnel in performing project closeout functions. Closing a project requires transfer of the project outputs and/or system operation to the requiring organization. It also requires the generation of an archive of project documents and data and documenting lessons learned. This includes the generation of artifacts (e.g. reports, run books, data bases and/or file hierarchies, presentations) necessary to document project closure.

C.4.4 WORK AREA 4 - DAY-TO-DAY OPERATIONS

C.4.4.1 BUDGET OPERATIONS

As tasked, the Contractor must provide support services to FAA’s Office of Budget and Programs and FAA program offices throughout the budget formulation and execution processes. This includes the type of activities necessary to ensure timely submissions in accordance with applicable laws and guidance (i.e. OMB Circular A-11). This work area includes but is not limited to the following functions:

C.4.4.1.1 BUDGET PLANNING AND FORMULATION

As tasked, the Contractor must support the entire annual budget formulation cycle and ongoing budget planning activities.

C.4.4.1.1.1 ANNUAL BUDGET FORMULATION

As tasked, the Contractor must perform activities in support of the annual budget formulation process, including, without limitation:

• Supporting the Office of Budget and Programs in developing planning targets.

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• Populating budget tools and models such as spreadsheets.

• Developing budget proposals including baseline and alternative proposals. This includes generating estimates, drafting the proposals, and supporting documentation (e.g. impact statements, analysis documents, briefing papers, justifications).

• Preparing “white sheets” for Facilities and Equipment (F&E) and Research, Engineering, and Development (RE&D) projects.

• Updating budget narratives and budget exhibits (OMB Exhibit 53 – Information Technology and E- Government, OMB Exhibit 54 – Rental Payments for Space and Land, OMB Exhibit 300 – Planning, Budgeting, Acquisition, and Management of Capital Assets).

• Creating rebuttals to budget figures suggested by OMB and Congress. This includes revising documents, performing analysis, and drafting justification documents.

C.4.4.1.1.2 ONGOING BUDGET PLANNING ACTIVITIES

As tasked, the Contractor must support ongoing budget planning activities, including, without limitation:

• Formulating draft Spend Plans for organizational elements.

• Developing obligation plans by project or functional element based upon the corresponding Spend Plan(s).

• Responding to budget inquiries.

• Participating in or conducting budget meetings including Capital Investment Team (CIT) reviews.

• Maintaining a budget history for prior years and tracking the base level of funding for all programs and projects.

• Generating and inputting data into FAA financial management processes and tools including, but not limited to Resource Planning Documents (RPDs), the Corporate Work Plan (CWP), the DELPHI Funds Control Module, and the ATO-F Financial Management System (FMS).

• Consulting on budget tools and models, e.g.:

o Researching and recommending tools.

o Supporting the implementation of tools.

o Developing special budget controls

C.4.4.1.2 BUDGET EXECUTION

As tasked, the Contractor must perform budget execution functions for single and multiyear-programming. Specific activities include, without limitation, the following:

• Developing allowances and entering allowances into FAA financial systems.

• Estimating and tracking outlays using OMB systems and FAA financial systems.

• Preparing monthly Status of Funds memorandum. This includes generating supporting analyses and reports (e.g. the SF 133, Report on Budget Execution and Budgetary Resources) and entering these analyses and reports into the appropriate systems of record.

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• Conducting monthly reconciliation between program offices’ record systems and the official financial system of record for FAA (Delphi) and analyzing those finding. If the reconciliation reveals errors or discrepancies, the Contractor must support FAA personnel in taking actions ensure that the official record, Delphi, is correct.

• Drafting scorecard reports, including but not limited to the Performance and Accountability Report (PAR).

This includes the generation and collection of data necessary to support the reports.

• Preparing policies and SOPs related to budgetary matters (see Section C.3.1).

• Developing allotment and apportionment estimates and re-apportionment estimates. This includes the generation and collection of data necessary to support the estimates.

C.4.4.1.3 REIMBURSABLE AGREEMENTS

As tasked, the Contractor must support activities related to the formation, execution and administration of reimbursable agreements. Specific activities include, without limitation, the following:

• Supporting budget execution activities related to reimbursable agreements (see section C.3.1.4.2)

• Researching and drafting guidance on reimbursable agreements

• Developing and delivering training on systems and processes related to reimbursable agreements (see Section C.3.6)

• Generating, collecting, analyzing, reconciling and reporting data on projects funded via reimbursable agreements

C.4.4.2 FINANCIAL AND ACCOUNTING OPERATIONS

As tasked, the Contractor must support FAA’s day-to-day financial and accounting operations. The objective is to ensure that payments and financial obligations are recorded and satisfied timely and that FAA program offices have accurate financial data to use in managing programs and operations efficiently and cost effectively. Specific activities include, without limitation, the following:

• Providing summary reports and ad hoc updates on funding allocations, obligations, expenditures, funds remaining, and projected shortfalls/surpluses for each functional area, Detailed Obligation Plan (DOP), and Service Area (as applicable).

• Designing, testing and implementing queries for financial databases for management reporting purposes.

• Recording obligations and disbursements for financial agreements (e.g. contracts, grants, reimbursable agreements).

• Tracking quarterly spend plans, developing estimate-to-complete (ETC) projections, forecasting the required funding profiles, and supporting the end of Fiscal Year closeout for FAA programs.

• Tracking expenditures by DOP to the level of Work Breakdown Structure (WBS) elements.

• Monitoring, tracking, and reconciling all funds received and expensed to the level of individual FAA accounting codes.

• Preparing financial statements and reports.

• Supporting the invoice payment process, which includes:

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o Extracting, analyzing, and summarizing data from DELPHI and vendor invoices as necessary.

o Reconciling DELPHI payment data relative to the FAA invoice certifications and the original funds transfer memoranda.

C.4.4.3 HUMAN CAPITAL MANAGEMENT

As tasked, the Contractor must support FAA in its human capital management efforts. The objective is to align staffing levels and workforce competencies with FAA’s mission and operational mandates by using evidence-based workforce development and performance management strategies. This includes, without limitation, the following:

C.4.4.3.1 WORKFORCE ANALYSIS AND MANAGEMENT

As tasked, the Contractor must assess current FAA staffing levels and analyze the impact of legislative mandates and workforce trends on FAA. Workforce analysis and modeling augments FAA’s ability to avoid human resources surpluses and shortages and ensures efficient staffing. Specific activities in include, without limitation, the following:

• Developing and updating workload analysis and projection tools or staffing models.

• Forecasting human resource needs and developing business cases and workforce plans accordingly.

• Supporting the development and implementation of business analysis tools that will enable FAA to manage schedules and staffing levels for efficiency.

• Recommending strategies to close resource gaps.

• Developing and supporting the implementation of succession plans.

C.4.4.3.2 COMPETENCY ANALYSIS AND MANAGEMENT

As tasked, the Contractor must assess current FAA workforce competencies and analyze the impact of external events (e.g. new legislation, new technologies and processes) on FAA. Competency analysis augments FAA’s ability to ensure that its workforce has the competencies to satisfy mission requirements. Specific activities include, without limitation, the following:

• Developing competency area descriptions.

• Modeling existing competencies.

• Performing gap analyses.

• Recommending strategies to close competency gaps.

• Performing training needs assessments.

• Conducting workforce impact assessments.

C.4.4.3.3 PERFORMANCE MANAGEMENT

As tasked, the Contractor must support FAA’s performance management activities. Specific activities include, without limitation, the following:

• Creating and updating employee performance evaluation materials.

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• Developing and updating position descriptions.

• Researching, developing, and implementing performance management methodologies based on best practice and evidence based outcomes.

• Researching and recommending tools to automate performance management.

• Supporting the implementation of tools to automate performance management.

C.4.5 WORK AREA 5 – SYSTEMS

As tasked, the Contractor must support FAA systems related to finance and budget activities. This work area is not intended to allow for full lifecycle development of production systems or the purchase of software licenses for FAA end users. It does include the “human side” support necessary to define system requirements, ensure that systems (as deployed) meet those requirements, and ensure that users can access and work in the systems. It also includes prototyping related to financial reporting and other financial system functions. Specific tasks within this work area include but are not limited to the following:

C.4.5.1 DEFINING REQUIREMENTS AND TESTING SOLUTIONS

As tasked, the Contractor will support the FAA in identifying the need for new functionality and defining requirements for new functionality for FAA systems related to budget and finance activities. Specific activities include, without limitation, the following:

• Conducting gap and/or shortfall analysis.

• Performing Analysis of Alternative (AoA) and reporting on findings.

• Drafting system Concept of Operations (CONOPs) documents.

• Decomposing CONOPs requirements into functional and performance requirements.

• Participating in User Acceptance Testing of IT systems related to finance and budget activities (Note: The Contractor cannot accept any deliverables but can contribute to reports and in test sessions).

C.4.5.2 SUPPORTING USERS

C.4.5.2.1 SYSTEM ADMINISTRATION SUPPORT

As tasked, the Contractor must act as the System Administrator for financial and budget related IT Systems.

Specific activities include, without limitation, the following:

• Creating, configuring, modifying, deleting and managing user accounts and permissions.

• Creating, configuring, modifying, deleting and managing distribution lists and printing queues.

C.4.5.2.2 CREATE AND MAINTAIN KNOWLEDGE BASES

As tasked, the Contractor must create, support, and maintain “knowledge bases” for budget and finance related IT Systems. Specific tasks include, without limitation, the following:

• Creating and updating documentation, such as scripts and how-to wikis.

• Developing and maintaining SOPs (in accordance with Section C.3.1).

• Developing and maintaining job aids for system work-arounds.

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C.4.5.2.3 TIERS 0/1 AND 2 HELPDESK SUPPORT

As tasked, the Contractor must provide helpdesk support for budget and finance related systems. This support is limited to Tiers 0/1 and 2. It does not include Tier 3 support (analyzing source code or configuration data) or Tier 4 support (changes to source code or custom configurations). Tier 3 and Tier 4 support tickets will be catalogued and escalated to the Operations and Maintenance (O&M) contractor. Helpdesk support ensures that system users can perform their tasks with a minimum of interruption. Each task order that includes helpdesk support activities will specify applicable priority levels, request priority levels, and response metrics. Specific activities related to helpdesk support include, without limitation, the following:

C.4.5.2.3.1 TIERS 0/1 SUPPORT

As tasked the Contractor must provide Tier 0 and Tier 1 support. This includes troubleshooting methods such as verifying physical layer issues, resolving username and password problems, verification of proper software set up, and assistance with navigating around application menus. Specific tasks include, without limitation, the following:

• Creating and maintaining wikis and “FAQ” pages so that end users…