ESBD_356196_1713886791198_FNS Handbook 901 v.2.4 (pg 1-100).pdf

RFO No. HHS0013138Procurement Library

Cecile Young, Executive Commissioner

Request for Offers (RFO) for

Electronic Benefit Transfer (EBT) Services RFO No. HHS0013138

Procurement Library, FNS Handbook 901

Version 2.4 January 2020

P1.1 How to Read this Handbook P1 Navigating this Handbook 1

P1. Navigating this Handbook

How to Read this Handbook This handbook has been designed to be easy to read and to be user-friendly. Throughout the handbook, you will notice several visual elements that operate as sign-posts to help you navigate the information. The handbook has been designed to be used both manually and electronically. Therefore, many of these features are hyperlinked.

The three main visual elements used are:

Chapter Introduction pages Cross-references Call-out boxes and icons

P1.1.1 Chapter Introductions

Each chapter in Handbook 901 begins with an introduction page. This page is designed as an overview for the chapter as a whole. It consists of three parts: Key Points, Chapter Contents, and Key Acronyms. The Key Points section will introduce you to the important concepts to look for while reading the chapter. They are phrased in the form of questions.

For example, if this Preface had a section of Key Points it would look like Figure 1.

Key Points

The information in this section allows you to answer the following questions:

What are the three parts of the chapter Introductions?

What are the three different types of references used?

What do the seven icons used with call-out boxes denote?

Figure 1: Example of Key Points

P1.1 How to Read this Handbook P1 Navigating this Handbook 2

Following the Key Points section is the Chapter Contents table. It is fully navigable and can be used to jump ahead to specific sections within the chapter. When viewing electronically, just Ctrl + Click on the heading in the table of contents to travel to the section you need.

If this Preface had a Chapter Contents table, it would look like Figure 2.

Following the Table of Contents is the Chapter Acronyms table. Chapter Acronyms is simply a list of the acronyms

Additional terms can be found in the glossary. A link to the glossary follows every Chapter Acronyms table.

Chapter Contents

P1.1 How to Read this Handbook

P1.1.1 Chapter Introductions

P1.1.2 References

P1.1.3 Call-Out Boxes and Icons

P1.1.4 SNAP and WIC Icons

P1.2 Navigation and the Table of Contents

Figure 2: Example of Chapter Contents

Figure 3: Example of Chapter Acronyms Table and Cross-Reference to Glossary

P1.1 How to Read this Handbook P1 Navigating this Handbook 3

P1.1.2 References

Three types of references are used in Handbook 901. These references direct you to additional information that may be helpful or shed extra light on a subject.

Cross-References Footnotes Endnotes

P1.1.2.1 Cross References and Hyperlinks

Cross-references to locations within HB901 will be found either in a Cross-Reference box or in the body of the narrative and are shown in bold, italic font as represented in Figure 4. Simply hover and Ctrl + Click the bold links to travel to sections within the chapter or to other places in the document, as well as to Tables and Figures. Links to content outside the document will be hyperlinks, and notated in the traditional blue underlined style.

P1.1.2.2 Footnotes

Footnotes contain supplemental information not vital to the main narrative but that is interesting or helpful. They are located at the bottom of pages and annotated in-line with symbols. *The traditional order of these symbols in English

* The novel, Ibid: A Life, by Mark Dunn is written entirely in footnotes.

Figure 4: Example of a Cross Reference Box

P1.1 How to Read this Handbook P1 Navigating this Handbook 4

P1.1.2.3 Endnotes

Endnotes are citations for sources and regulations. They are designed for you to navigate to the source, so each endnote includes a hyperlink to the original source material. Endnotes are found at the end of the chapter and are annotated with numbers. The superscript number that is in line with the narrative is called the Endnote Reference.1

Endnotes in this handbook are structured to provide the most important information first. In the example shown in Figure 5: Endnote Structure, the title is first, followed by the Regulation number, the author of the document (which in this case in The US Government), and finally the URL hyperlinked to the original source. The structure of the endnote will remain consistent; however, the elements will change depending on the source being cited.

In some cases there will be Version or Control Numbers instead of a Regulation number or a Section Name instead of a Title. Acronyms will be used instead of commonly used long phrases in order to simplify the endnote.

These are common acronyms used in the endnotes of HB901:

NIST: National Institute of Standards and Technology OMB: Office of Management and Budget CFR: Code of Federal Regulations

While these sources are readily available online, they will likely be changed or updated over time. If you find that a URL is out-of-date or no longer functioning, simply copy the title or regulation number into your preferred search engine to find its updated home on the web.

Figure 5: Endnote Structure

P1.1 How to Read this Handbook P1 Navigating this Handbook 5

P1.1.3 Call-Out Boxes and Icons

Information that requires special attention is shown in gold call-out boxes, like this one in Figure 6.

Callout boxes will also sometimes include hyperlinks to the source of the content. In addition to the text, each call-out box uses one of seven different icons to quickly denote what kind of information is in the box.

The icons are as follows:

General

Information Document Procedure Financial SNAP-specific information WIC-specific information

P1.1.4 SNAP and WIC Icons

You will notice that there are icons above denoting SNAP- and WIC-specific information. These icons are used in two different ways. When there is a larger amount of program-specific content, a SNAP or WIC icon will be used in conjunction with a SNAP or WIC heading. It will be contained within the body of the program-specific narrative, as shown in this paragraph with the WIC icon.

In cases of smaller amounts of program-specific information to showcase, the icon and content will appear in call-out boxes within the general topic narrative, as shown with the SNAP icon in Figure 7.

For purposes of this handbook, the following terms are used interchangeably: Information Systems (IS), Management Information Systems (MIS), and Automated Data Processing

(ADP).

Figure 6: Example of a Call-out Box

P1.2 Navigation and the Table of Contents

A1 Acronyms and Glossary of Terms

Navigation and the Table of Contents

The TOC is fully navigable and contains links to all the main content via a four-level heading structure. Also included are detailed contents of the Appendices, as well as tables of tables and figures, so that you can easily find exactly the content you need. When reading chapters, you can use the Bookmarks Pane in addition to the Chapter Contents to jump forward or backward within the chapter with just a click.

For SNAP EBT, after FNS approves the negotiated contract and prior to the State incurring any costs under the new contract, the State must submit the IAPD to FNS for review and approval, one copy each to the RO and SSO. Failure to complete this step will jeopardize FNS FFP.

Figure 7: Example of a SNAP-Specific Call-out Box

Figure 8: Using the Bookmarks Pane

A17.9 Protecting State Agency Ownership

A17 Ownership Rights 7

1 Note (typography), Wikipedia, https://en.wikipedia.org/wiki/Note_(typography)

Endnotes

Table of Contents 8

Table of Contents

P1. Navigating this Handbook

How to Read this Handbook

P1.1.1 Chapter Introductions

P1.1.2 References

P1.1.2.1 Cross References and Hyperlinks

P1.1.2.2 Footnotes

P1.1.2.3 Endnotes

P1.1.3 Call-Out Boxes and Icons

P1.1.4 SNAP and WIC Icons

Navigation and the Table of Contents

1.0 Getting Started with the Advance Planning Document (APD)

Process

1.1 Introduction

1.2 Introduction to FNS Programs

Supplemental Nutrition Assistance Program (SNAP)

Special Supplemental Nutrition Program for Women, Infants, and Children (WIC)

1.3 The Electronic Benefits Transfer (EBT)

1.4 Federal Funding

SNAP and FFP

WIC and FFP

1.5 Determining the Need for an APD

Thresholds

Table of Contents 9

1.5.1.1 Planning

1.5.1.2 Implementation

1.5.1.3 Maintenance and Operations

Cost Increases

1.5.2.1 SNAP Cost Increases

1.5.2.2 WIC Cost Increases

SNAP EBT Exceptions

WIC Exceptions

1.6 Introduction to the Advance Planning Document

1.7 Introduction to the APD Process

Planning Phase

Implementation Phase

APD Closure

Acquisition Document Approvals

1.8 Roles and Responsibilities

FNS

State Agency

Project Management

1.9 Stakeholders

Core Stakeholders - The Project Team

Key Stakeholder - FNS

Key Stakeholder - State Agencies

Other Key Stakeholders

1.9.4.1 Federal Stakeholders

1.9.4.2 Financial Institutions and EBT Processors

1.9.4.3 Retail Vendors

Table of Contents 10

1.9.4.4 Food Manufacturers and WIC

1.10 Governance - Legislation, Regulation, Policy (LRP)

SNAP LRP

WIC LRP

1.11 Moving forward with the Handbook 901

1.12 Getting Started Summary

2.0 Lifecycle Management

2.1 Lifecycle Management An Overview

2.2 Systems Development Lifecycle Management

Overview of Systems Development Phases

2.2.1.1 The Initiation Phase

The Development Phase

2.2.2.1 Implementation Phase

2.2.2.2 Maintenance & Operation Phase

2.2.2.3 Disposal Phase

Management of the SDLC Phases

System Development Lifecycle Methodologies

2.2.4.1 Waterfall

2.2.4.2 Agile 82

2.3 Project Management Lifecycle

Project Initiation Phase

Project Planning Phase

Project Execution Phase

Project Monitoring and Controlling Phase

Project Closure Phase

Table of Contents 11

2.4 Acquisition Lifecycle Management

Pre-Award Phase

Award Phase

Post-Award Phase

2.5 Data Lifecycle Management

Technical vs. Non-Technical Data

Data Lifecycle Management Phases

2.5.2.1 Acquire Phase

2.5.2.2 Store Phase

2.5.2.3 Use, Share, and Archive Phases

2.5.2.4 Destroy

2.6 Alignment of Lifecycles

Lifecycle Management (LCM) Interactions

Aligning SDLC and PMLC

Aligning ALC to SDLC

Aligning SDLC, ALC, and PMLC to DLC

Aligning SDLC and the APD Process

2.7 Lifecycle Management Summary

3.0 The Advance Planning Document Process

3.1 Overview of the Advance Planning Document

3.2 The APD Process

Introduction

3.2.1.1 The General APD Process

3.2.1.2 Relationship of APD Process to SDLC

Preparation & Submission

Table of Contents 12

3.2.2.1 Preparation

3.2.2.2 Submission

Review

3.2.3.1 APD Reviews in General

3.2.3.2 APD Evaluation in General

3.2.3.3 FNS APD Review Timeframes

Disposition

3.2.4.1 Approval Decision

3.2.4.2 Disapproval Decision

3.2.4.3 Provisional Approval in SNAP

Performing APD Activities

Relationship Between Procurements and the APD Process

APD Closure

Post-Implementation Reviews

Regional Office Fiscal Closure

3.3 APD Information Specific to Program or Project Type

Planning APD

3.3.1.1 Purpose of PAPD

3.3.1.2 Related SDLC Activities for PAPD

3.3.1.3 PAPD Documentation Requirements

3.3.1.4 Preparing the PAPD

3.3.1.5 Submitting the PAPD

3.3.1.6 Performing Planning Activities

3.3.1.7 WIC EBT Planning Activities

Implementation APD

3.3.2.1 Purpose of the IAPD

Table of Contents 13

3.3.2.2 Related SDLC Activities for IAPD

3.3.2.3 IAPD Documentation Requirements

3.3.2.4 SNAP EBT Required IAPD Documentation

3.3.2.5 WIC EBT Required IAPD Documentation

3.3.2.6 IAPD for Joint WIC IS and EBT Projects

3.3.2.7 Preparing the IAPD

3.3.2.8 Submitting the IAPD

3.3.2.9 Performing Implementation Activities

APD Update

3.3.3.1 Purpose of the APDU

3.3.3.2 Related SDLC Activities for APDU

3.3.3.3 APDU Documentation Requirements

3.3.3.4 Preparing the APDU

3.3.3.5 Submitting the APDU

3.3.3.6 Performing On-Going APD Activities

APDU As-Needed

3.3.4.1 Purpose of the APDU As-Needed

3.3.4.2 Related SDLC Activities for APDU As-Needed

3.3.4.3 APDU As-Needed Documentation Requirements

3.3.4.4 Preparing the APDU As-Needed

3.3.4.5 Submitting the APDU As-Needed

3.3.4.6 Performing As-Needed Activities

Emergency Acquisition Request

3.3.5.1 Purpose of the EAR

3.3.5.2 Related SDLC Activities for EARs

3.3.5.3 EAR Required Documentation

Table of Contents 14

3.3.5.4 Preparing the EAR

3.3.5.5 Submitting the EAR

3.3.5.6 Performing EAR Activities

3.4 Post-Implementation APDs

3.5 APD Components

Actual Expenditures to Date

Annual APD Update Revised Documents

3.5.2.1 Revised Budget

3.5.2.2 Revised Cost Allocation Plan

3.5.2.3 Revised Functional Requirements

3.5.2.4 Revised Project Management Plan and Resource Requirements

3.5.2.5 Revised Schedule of Activities, Milestones, and Deliverables

3.5.2.6 Revised Technical Approach

Alternatives Analysis

Capacity Plan or Study

Changes to the Approved APD

Change Management Plan (WIC EBT)

WIC EBT Clinic Management Plan

Contractor Performance

Conversion or Transition Plan

Cost Allocation Plan

Cost Analysis

Cost Benefit Analysis

Detailed Design Document

Disaster Recovery Plan

EBT Disaster Plan

Table of Contents 15

Executive Summary General Guidelines

Feasibility Study

Functional Requirements Document

General System Design

Pilot and Statewide Expansion Retailer Enablement Plan

Project Management Plan

Project Status

Proposed Budget

Quality Management Plan (WIC EBT)

Request for Waiver of Depreciation

Resource Requirements

Risk Management Plan (WIC EBT)

Schedule of Activities, Milestones, and Deliverables

Security Plan

State Agency / Contractor Assurances (WIC EBT)

Test Plan

Training Plan

Transmittal Letter

3.6 APD Process Summary

4.0 Procurement

4.1 Purpose and Goals

4.2 Procurement Process Summary

Primary Procurement Documents

Pre-Award Phase

4.2.2.1 Procurement Planning

Table of Contents 16

4.2.2.2 RFP Preparation

4.2.2.3 RFP Review and Approval

Award Phase

4.2.3.1 Evaluating Proposals

4.2.3.2 Source Selection

Post-Award Phase

4.2.4.1 Contract Approval

4.2.4.2 Managing Contracts

4.2.4.3 Contract Amendments

4.2.4.4 Contract Closeout

4.2.4.5 Disposition of Government Property

4.3 Procurement Reviews

Determining the Need for Review

Overview of the FNS Review Process

4.4 Regulations and Policies

4.5 Roles and Responsibilities

FNS

State Agency

4.6 Technical Procurement Planning

Performance Requirements

System Transfer Considerations

4.6.2.1 WIC State Agency Model (SAM) Exception

4.6.2.2 WIC Exception (non-SAM)

EBT Conversion or Transition Planning

SNAP EBT Conversion or Transition Planning

4.7 RFP and Contract Planning

Table of Contents 17

Preparing Criteria for Evaluating Proposals

4.7.1.1 Technical Evaluation Criteria

4.7.1.2 Proposed Cost Considerations

4.7.1.3 Previous Program Experience

Terms and Conditions

Incentives and Remedies

Quality Assurance Surveillance Plan (QASP)

Required Federal Assurances

Travel and Per Diem in Fixed Price Contracts

FNS Procurement Standards for State Agencies

4.7.7.1 Code of Conduct

4.7.7.2 Contracting with Small and Minority Firms, Women's Business Enterprises, and Labor Surplus Firms

4.7.7.3 Full and Open Competition

4.7.7.4 Geographic Preference Prohibition

4.7.7.5 State Agency Procurement Records and Information Systems

4.7.7.6 Ownership and Licensing

4.7.7.7 Intellectual Property Rights & Transferability

FNS Specific Procurement Requirements

Order of Precedence

Disputes

4.7.10.1 Alternative Dispute Resolution

Debarment and Suspensions

4.8 Procurement Methods

Competitive Procurements

4.8.1.1 Firm Fixed-Price Contracts

Table of Contents 18

4.8.1.2 Time and Materials Provisions in Contracts

4.8.1.3 Service Agreements

Non-Competitive Procurements

Cooperative Purchasing

4.8.3.1 U.S. General Services Administration (GSA)

4.8.3.2 National Association of State Procurement Officials (NASPO) ValuePoint

Contract Periods

Contractor Types and Roles

4.8.5.1 The Planning Contractor

4.8.5.2 Project Management Contractor

4.8.5.3 Planning and PM Contractor Considerations

4.8.5.4 Development and Implementation Support Contractor

4.8.5.5 Maintenance, Operations, and Enhancements Contractor Support

Conflicts of Interest

4.9 Procurement Documents

Request for Proposals

Contracts

RFP and Contract Components

4.9.3.1 RFP and Contract Format

4.9.3.2 Guidance for RFP and Contract Descriptions

4.10 Procurement Summary

5.0 System Planning

5.1 State Planning for Information Systems

System Planning and the APD Process

Recognizing the Need or Opportunity

Table of Contents 19

Acting on the Need or Opportunity

5.2 Needs Assessment

Business Analysis

Business Needs Assessment

Business Capability Definition

SNAP Program Waivers

The Business Case

From Business Case to APD

5.3 Feasibility Study

Requirements Analysis

5.3.1.1 Business Analysis

5.3.1.2 Business Needs Assessment

5.3.1.3 Systems Analysis

5.3.1.4 System Integrity Review Tool Analysis for SNAP

5.3.1.5 WIC Functional Requirements Document (FReD)

5.3.1.6 System Integrity Review Tool Analysis for WIC

5.3.1.7 FNS Requirements for WIC EBT Systems

5.3.1.8 Functional Requirements Document

Alternative Analysis

5.3.2.1 Minimum Alternatives

5.3.2.2 Other Alternative Considerations

5.3.2.3 WIC State Agency Model Systems (SAM) Alternatives

5.3.2.4 WIC EBT System Alternatives Analysis

5.3.2.5 Performing Alternatives Analysis

Cost Benefit Analysis

5.4 Technical Planning

Table of Contents 20

Data Conversion & Migration

Capacity Planning Study

Technical Approach

5.5 Considerations

FNS Priority for Transferability and/or Reusability

5.5.1.1 Technological Transferability and/or Reusability Considerations

5.5.1.2 Other Transfer Considerations

Technology and System Capabilities

5.5.2.1 Open Systems Architecture

5.5.2.2 System Adaptability

Interconnectivity and Legacy Systems

Implementing New Systems

5.5.4.1 Considerations for Build vs. Buy

5.5.4.2 Solution Options

5.5.4.3 Technology Choices

5.6 System Planning Summary

6.0 Test Planning

6.1 Introduction

Test Plan - A General Description

FNS Requirements for Testing

Required Testing Activities

The Complete and Final Test Plan

6.2 Software Test Lifecycle

6.3 Requirements Analysis Phase

Planning Requirements Testing

Table of Contents 21

Requirements Testability

Use Cases

Data Conversion and Migration

6.4 Test Planning Phase

Testing Approach

6.4.1.1 Entry / Exit Criteria

6.4.1.2 Pass / Fail Criteria

6.4.1.3 Test Suspension / Resumption Criteria

Issue and Defect Tracking

Resource Determination

6.4.3.1 Support Software

6.4.3.2 Test Environment / Staffing / Training Needs

Test Schedule Planning and Milestones

Test Risks/Issues

Test Constraints

Go/No-Go Decision Process

6.5 Test Case Development Phase

Items to be Tested

Test Cases

Test Scenarios / Test Conditions

Test Scripts

Test Data

Test Criteria

Expected Results

Error Handling

Test Procedures and Progression

Table of Contents 22

6.6 Environment Setup Phase

6.7 Test Execution Phase

The Systems Test

User Acceptance Test

Pilot

6.8 Test Cycle Closure Phase

6.9 Test Lifecycle Support

Roll Back Contingency Plan

Quality Assurance

Independent Verification & Validation

6.10 Beyond Rollout

6.11 Test Planning Summary

7.0 Project Management

7.1 Project Management

Managing IT Projects

Role of the Project Manager

7.2 Project Management Knowledge

7.3 Roles & Responsibilities

7.4 Project Management Plan

Requirements Management Plan

Communications Management Plan

Risk Management Plan

7.4.3.1 General APD Project Risks

7.4.3.2 Recurring APD Process Risks

7.4.3.3 Common IS Project Risks

Table of Contents 23

7.4.3.4 Risk Management and the SDLC

7.5 Monitoring and Control

State Agency Project Monitoring & Control

FNS Project Monitoring

7.6 Project Closure

7.7 Other Resources

7.8 Project Management Summary

8.0 Financial Management

8.1 APD Financial Preparations

General APD Funding Requests

Regulatory Guidance

Administrative Requirements

8.2 Allocable Costs

Necessary and Reasonable Costs

Direct and Indirect Costs

Allowable Costs

Unallowable Costs

Processing Cost Disallowances

Developmental Versus Operational Costs

8.3 Common Cost Items for IT Systems Projects

Compensation for Personnel Services (Staff Costs)

Outside Contractor Professional Services

Internal/State IT Professional Services

Documentation/Materials

Telecommunications

Table of Contents 24

Equipment and Other Capital Expenditures

8.4 Waivers of Depreciation

Software Costs

Hardware Costs

Site Preparation Costs

Interest

8.5 Cost Allocation

Division of Cost Allocation Services (CAS)

Cost Allocation Stakeholders

Cost Allocation Plan

Cost Allocation Methodologies

Indirect Cost Proposals

8.6 Cost Reviews and Audits

Office of Management and Budget (OMB) Responsibilities

Food and Nutrition Service (FNS) Review

General Budget Estimates

Operational Budget Estimating

Completing the Planning Advanced Planning Document Budget

Completing the Implementation Advance Planning Document Budget

Completing an APDU Budget

8.7 Expenditure Reporting

Revised Project Cost Estimate

Actual Costs to Date

Program and Budget Summary for SNAP APDs

WIC Developmental Costs

WIC- State Agency Management Information System Annual Cost Survey

Table of Contents 25

Annual APDU Expenditure Reporting

Regional Office Expenditure Review

8.8 Other Resources

8.9 Financial Management Summary

9.0 Systems Security

9.1 Introduction

Security Guidance

Systems Security Controls

IT Security Controls

9.2 Management Controls

IS Security Policy

Risk Management

9.2.2.1 Risk Assessment

9.2.2.2 Risk Analysis

9.2.2.3 Risk Mitigation

9.2.2.4 Cost Considerations

9.3 Operational Controls

Media Protection

Personnel Security

9.3.2.1 Separation of Duties

9.3.2.2 Security Awareness, Training, and Education

Physical Security

Contingency Plans

9.3.4.1 Business Continuity Plan

9.3.4.2 Disaster Recovery Plan

Table of Contents 26

9.3.4.3 Occupant Emergency Plan

9.3.4.4 Security Incident Response Plan

9.3.4.5 Recovery Teams

Configuration Management

9.4 Technical Controls

Identification and Authentication

9.4.1.1 Identification

9.4.1.2 Authentication

Logical Access Control

9.4.2.1 Logical Access Control Software

9.4.2.2 Operating System Security

Network Security

Firewalls

Routers and Switches

Virus Protection Controls

Penetration Testing

Audit

Internet and Web Security

9.4.9.1 Basic Internet Security Issues

9.4.9.2 Web Server Security

9.4.9.3 Web Browser Security

9.4.9.4 Mobile Device Security

9.5 Privacy Controls

Authority and Purpose

Accountability, Audit, and Risk Management

Data Minimization and Retention

Table of Contents 27

Individual Participation and Redress

Transparency

Use Limitation

9.6 EBT - Specific Controls

EBT Cards

Encryption

POS Terminal and ATM Security

EBT Security Standards

9.7 Security Reviews and Reporting

Security Plans

FNS Security Plan Reviews

9.8 Security Summary

A1. Acronyms and Glossary of Terms

A1.1 Acronyms

A1.2 Glossary of Terms

A2. Regulations

A3. Regional Office Information

A4. System Type and Acquisition Selection Tool

A4.1 Introduction

A4.2 Using this Tool

A4.3 References

A4.4 System Type Selection

A4.4.1 Taking Stock

Table of Contents 28

A4.4.2 System Ownership

A4.4.3 Resources

A4.4.4 Customization

A4.4.5 Risk

A4.4.6 Data

A4.4.7 Standards

A4.4.8 Decision Matrix

A4.4.9 Types of Systems

A4.5 Becoming a Cloud Provider

A4.5.1 Cloud Broker

A4.6 Cloud Deployment Selection

A4.6.1 Public Cloud

A4.6.2 Private Cloud

A4.6.3 Hybrid Cloud

A4.6.4 Community Cloud

A4.6.5 Bridging Resource Gaps with Cloud

A4.6.6 Cloud Security Control Level

A4.6.7 Purchasing SaaS

A4.6.8 Purchasing PaaS

A4.6.9 Purchasing IaaS

A4.7 Purchasing COTS

A4.8 Upgrade Current System

A4.9 Transfer an Existing System

A4.10 Custom Built System

A5. Feasibility Study Worksheet

Table of Contents 29

A6. Cost Benefit Analysis Worksheet

A6.1 Costs

A6.2 Benefits

A7. Sample Transmittal Letter

A7.1 Transmittal Letter Template

A7.2 Sample Transmittal Letter

A8. Sample Budgets

A8.1 Sample PAPD Budget

A8.2 Sample IAPD Budget

A8.2.1 Year One

A8.2.2 Year Two

A8.2.3 Year Three

A8.2.4 Year Four and Grand Total

A8.3 Total Summary Budget

A8.4 WIC EBT/MIS Funding Sources Table

A9. State Sole Source Exception Request

A10. Request for Proposal Template

A10.1 Introduction

A10.1.1 How to Use this Template

A10.1.2 RFP and Contract Organization

A10.2 Template Contents

A10.2.1 Part I The Schedule

A10.2.1.1 Section A Solicitation/contract form

Table of Contents 30

A10.2.1.2 Section B Supplies or services and prices/costs

A10.2.1.3 Section C Description/specifications/SOW

A10.2.1.4 Section D Packaging and marking

A10.2.1.5 Section E Inspection and acceptance

A10.2.1.6 Section F Deliveries or performance

A10.2.1.7 Section G Contract administration data

A10.2.1.8 Section H Special contract requirements

A10.2.2 Part II Contract Clauses

A10.2.2.1 Section I Contract clauses

A10.2.3 Part III List of Documents, Exhibits, and Other Attachments

A10.2.3.1 Section J List of attachments

A10.2.4 Part IV Representations and Instructions

A10.2.4.1 Section K Representations, certifications, and other statements of offerors or respondents

A10.2.4.2 Section L Instructions, conditions, and notices to offerors or respondents 570

A10.2.4.3 Section M Evaluation factors for award

A10.3 Alternative RFP and Contract Formats

A10.3.1 RFP and Contract Format Alternative - Example One

A10.3.2 RFP and Contract Format Alternative - Example Two

A11. Federal Procurement Clauses

A11.1 Equal Employment Opportunity

A11.2 Clean Air and Federal Water Pollution Control Act

A11.3 Anti-Lobbying Act

A11.4 Americans with Disabilities Act

A11.5 Drug-Free Workplace Statement

Table of Contents 31

A11.6 Royalty Free Rights to Use Software or Documentation Developed ... 589

A11.7 Debarment and Suspension

A12. RFP and Contract Review Checklist

A12.1 General Review Items

A12.2 Part 1 - The Schedule

A12.2.1 Section A - Solicitation/Contract Form

A12.2.2 Section B - Supplies or Services and Prices/Costs

A12.2.3 Section C - Description/Specifications/Work Statement

A12.2.4 Section D - Packaging and Marking

A12.2.5 Section E - Review and Acceptance

A12.2.6 Section F - Deliveries or Performance

A12.2.7 Section G - Contract Administration Data

A12.2.8 Section H - Special Contract Requirements

A12.3 Part 2 - Contract Clauses

A12.3.1 Section I - Contract Clauses

A12.4 Part 3 - List of Documents, Exhibits, and Other Attachments

A12.4.1 Section J - List of Attachments

A12.5 Part 4 - Representations and Instructions

A12.5.1 Section K - Representations

A12.5.2 Section L - Instructions, Conditions, and Notices to Offerors or Respondents .. 608

A12.5.3 Section M - Evaluation Factors for Award

A13. Sample Status Report

A13.1 Status Report Checklist

A13.2 Cover Page

Table of Contents 32

A13.3 Document Information

A13.4 Executive Summary

A13.5 Status Overview

A13.6 Work Accomplished

A13.6.1 Work Completed for Last Reporting Period

A13.7 Deliverables in Progress

A13.8 Planned Activities

A13.8.1 Work Planned for Next Reporting Period

A13.9 What is Going Well?

A13.10 Key Issues with Resolution Strategy

A13.11 Project Deliverable Status

A13.12 Open Risks

A13.13 Problem Areas/Risk Mitigation

A13.14 Project Budget and Actual Expenditures

A13.15 Contractor Performance Update

A13.16 Updated Project Schedule of Milestones and Deliverables

A14. Security Plan Checklist

A14.1 Security Plan Checklist Overview

A14.2 System Identification

A14.3 Sensitivity of Information Handled

A14.4 Management Controls

A14.5 Operational Controls

A14.6 Technical Controls

Table of Contents 33

A14.7 Privacy Controls

A14.8 EBT Controls

A15. Final Test Plan Template

A15.1 Introduction

A15.1.1 Summary of Final Test Plan Contents

A15.1.2 How to Use This Template

A15.2 Template for Test Plan Contents

A15.2.1 Scope and Purpose

A15.2.2 Timeline/Milestones

A15.2.3 Test Schedule

A15.2.4 Testing Resources

A15.2.4.1 Staffing with Roles and Responsibilities

A15.2.4.2 Test Environment

A15.2.4.3 Support Software

A15.2.5 Test Approach

A15.2.5.1 Entry / Exit Criteria

A15.2.5.2 Pass / Fail Criteria

A15.2.5.3 Test Suspension / Resumption Criteria

A15.2.5.4 Test Criteria

A15.2.6 Test Cases

A15.2.7 Test Scenarios / Test Conditions

A15.2.8 Items to be Tested

A15.2.8.1 Data Conversion

A15.2.8.2 System Security

A15.2.8.3 Stress/Load Testing

Table of Contents 34

A15.2.9 Issue/Defect Tracking and Prioritization

A15.2.9.1 Defect Resolution Process

A15.2.9.2 Regression Testing Process

A15.2.9.3 Evaluation of Test Progression

A15.2.10 Risk Management

A15.3 Additional Final Test Plan Contents

A15.3.1 UAT Test Deliverables

A15.3.2 Go/No-Go Determination Process

A15.3.3 Roll Back Contingency Plan

A16. Go/No-Go Decision Check List

A17. Ownership Rights

A17.1 Policy Requirements

A17.2 Understanding the Policy

A17.2.1 Purpose

A17.2.2 Supporting the Policy in Acquisitions

A17.2.3 Software Ownership

A17.2.4 Licensing Principles

A17.2.5 -Made-for-

A17.2.6 Assistance Provided by State Employee

A17.2.7 Public Domain Status

A17.2.8 Transferring Software

A17.3 Applying the Policy - Contractual Provisions

A17.3.1 Ownership and Licensing

A17.3.2 Example Contract Clauses

A17.4 Example Clauses for Supporting Transferability

Table of Contents 35

A17.4.1 Modular Open Systems Approach (MOSA)

A17.5 Inappropriate Intellectual Property Clauses

A17.5.1 Limiting State Ownership

A17.5.2 Use of the Software or resulting work

A17.6 Best Practices

A17.6.1 Maintaining authority to hold copyright

A17.6.2 States Capitalizing on Intellectual Property

A17.6.3 Vendor Profiting from Deliverables

A17.7 Use of Privately Developed Software

A17.8 Acceptance of Free Software

A17.9 Protecting State Agency Ownership

Table of Tables 36

Table of Tables

Table 1: PAPD Document Submission Thresholds Table 2: IAPD Document Submission Thresholds Table 3: Maintenance and Operations Decision Table Examples Table 4: Project Costs and Required Documentation in WIC Table 5: APD Types and Purpose Table 6: Examples of Data for DMLC Table 7: APD Federal Review Sample Timetable Table 8: Closure Documentation Requirements Table 9: PAPD Documentation Requirements Table 10: IAPD Documentation Requirements Table 11: ADPU Documentation Requirements Table 12: APDU Document Submission Thresholds Table 13: APDU As-Needed Documentation Requirements Table 14: EAR Required Documentation Table 15: Executive Summary Guidelines Table 16: COMPETITIVE RFP and Contract Document Submission Thresholds Table 17: NON-COMPETITIVE - Procurement Contract Document Submission Thresholds Table 18: State Agency Roles and Responsibilities Table 19: Sample SNAP EBT Time Frame Table 20: Basic Contract Provisions and Federal Assurances Table 21: Pros and Cons of Contractor Options Table 22: Conflict of Interest Examples Table 23: Feasibility Study Guidelines Table 24: Minimum Alternatives Table 25: Alternative Platforms/Capacity Enhancement Table 26: Labor Alternatives Table 27: Alternatives for Acquiring Services Table 28: Gap Analysis Table 29: CBA Guidelines

Table of Tables 37

Table 30: Use Case Methodology Inputs Table 31: Example Defect Severity Codes Table 32: Example of Test Staffing and Training Table Table 33: Example of a Test Case Table Listing Table 34: Example Test Scenario and Test Conditions Table Table 35: Gold Copy Database Characteristics Table 36: Gold Copy Database Capabilities Table 37: QA Interface with the Test Lifecycle Table 38: IV&V Typical Task Models Table 39: Risk Management in Support of SDLC Phases Table 40: Internet Project Management Resources Table 41: Literary Project Management Resources Table 42: Regulations and Policy Governing Financial Management Table 43: SNAP and WIC Timeline for Appeals Table 44: Additional APD Resources Table 45: Security Related Policies and Guidance Table 46: IT Security Controls by Category Table 47: Policy Levels and Descriptions Table 48: Risk Mitigation Options Table 49: Separation of Duties Table 50: Five Common Cyber Threats Table 51: Internet Security Issues Checklist Table 52: Contents of the Systems Security Plan Table 53: Regulations Table 54: Key Terms and References Table 55: System Type Selection Based on Security to Responsibility Table 56: Decision Matrix Table 57: Uniform Contract Format Table 58: Example of Test Schedule Table 59: Example of Test Staffing and Training Table Table 60: Example of Support Software Description Table 61: Example of Systems Test /UAT Sample and Tolerance Data

Table of Tables 38

Table 62: Example of Test Cases and Objectives Table 63: Example of Test Scenarios and Test Conditions Table 64: Example of Items to be Tested for UAT Table 65: Example of Data Conversion Elements Table 66: Example of Defect Identification and Analysis Table 67: Example of Defect Tracking Form Field Definition Table 68: Example of Defect Status Description Table 69: Example of Defect Severity and Priority Definitions Table 70: Example of Test Progression