FIAR Spt TO 0002 SBR PWS 8 Mar 12.docx

Solicitation No. FA4890-10-R-0001 AF FIAR Support Task Order 0001 – SBR Audit Readiness & Sustainment PWS Solicitation No. FA4890-12-R-0006

PERFORMANCE WORK STATEMENT

FOR

AIR FORCE

FINANCIAL IMPROVEMENT & AUDIT READINESS (FIAR)

SUPPORT

TASK ORDER 0002

STATEMENT OF BUDGETARY RESOURCES (SBR)

(CURRENT) AUDIT READINESS (ASSERTION & SUSTAINMENT)

Contract No. FA4890-12-D-000X-0002

TABLE OF CONTENTS

APPENDICES

TABLES

1.0 BACKGROUND.

1.1 Mission. The Financial Improvement and Audit Readiness (FIAR) requirement is owned by the Assistant Secretary of the Air Force, Directorate of Financial Management (SAF/FM), and managed by Air Combat Command (ACC) Acquisition Management and Integration Center (AMIC). SAF/FM has the responsibility for providing the financial management and analytical services necessary for the effective and efficient use of AF resources, to include more than 650,000 military and civilian personnel and a budget of more than $160 billion. SAF/FM serves as the commander's trusted advisor by providing high-quality support to decision makers on budgetary, financial, cost and economic issues while continuously improving the quality, efficiency and customer-focus of AF financial services and operations. SAF/FMP is responsible at the executive level for ensuring the Air Force complies with legislative and executive financial management mandates leading to the effective and efficient use of Air Force resources.

1.2 Scope.

1.2.1 SAF/FM developed the AF Financial Improvement Plan (FIP) to assist financial managers in their decision-making processes by providing relevant and reliable financial information. A major objective of this plan is to achieve an unqualified or “clean” audit opinion for each AF financial statement. In response to the FIP, each AF organization is responsible for identifying measureable steps to ensure that each financial End to End business process is auditable, resulting in resolution of all major accounting and reporting deficiencies, and determination of dates when approved areas will be ready for validation and audit by independent external auditors.

1.2.2 The FIP process requires developed assertion packages that fully describe “audit trail” information for each assessable unit/statement and provide compliance information for each primary and feeder system involved in the development of these financial statements and are in compliance with Office of Secretary of Defense (Comptroller) (OUSD (C)) guidance. This information is compiled and incorporated into each management assertion package and maintained as part of an ongoing sustainment effort.

1.3 Reference. Air Combat Command (ACC) Performance Work Statement (PWS) for the AF FIAR Support contract.

2.0 TASK ORDER REQUIREMENTS.

2.1 Objectives. The objective of this task order is to provide Advisory and Assistance (A&AS) support to:

· Achieve audit readiness for the 13 currently identified assessable units with developed FIPs under the Statement of Budgetary Resources (SBR) in time to achieve SBR assertion by 15 March 2014;

· Achieve overarching, consolidated audit readiness for SBR by 31 March 2014;

· Sustain the 13 assessable units and overall SBR in an audit ready state through 30 September 2014;

· Accomplish all of the above including Special Programs portion of the efforts.

2.2 Performance Schedule. The Contractor shall perform the tasks detailed in this task order from 23 July 2012 (or award date) to 30 September 2014.

2.3 Performance Locations. Ongoing performance under this contract will be required at:

· National Capital Region (NCR)

· Wright Patterson Air Force Base (AFB), OH

· Air Force Accounting and Finance Office (AFAFO), Denver, CO

· Defense Finance and Accounting Service (DFAS)-Columbus, OH

2.4 Travel. Travel may be required as detailed in ID/IQ PWS Section A, paragraph 1.2.7.

2.5 Key Positions. Any positions proposed as key for this task as part of the Indefinite Delivery/Indefinite Quantity (ID/IQ) proposal will be considered binding key positions for the life of this task order.

2.6 Kick-Off Meeting. The Contractor shall attend a kick-off meeting in the NCR, within 10 days of contract award, as part of the scheduled ID/IQ Kick-Off meeting, with the members of the Government Program Management Office (PMO), the Contacting Officer Representative(s) (COR), SAF/FMP leadership, and other officials as designated by the Government. See Table 2 – Contract Deliverables for details.

2.7 General Audit Readiness and Sustainment Requirements. For both assertion (pre-OUSD(C) approval) and sustainment (post OUSD(C) approval), the Contractor shall:

2.7.1 Utilize AF Acceleration Plan to determine stage of assertion/sustainment required. Then, reference applicable FIP to determine progress toward completion.

2.7.2 Provide evidence that all Key Control Objectives (KCO) are met IAW FIPs, FIAR Guidance and AF Acceleration Plan.

2.7.2.1 Perform the Discovery, Corrective Action, Evaluation and Assertion Phases identified in FIAR Guidance for each FIP (Assertion Phase not required for Sustainment). Each FIP will be in various Phases of progress at performance start (see PWS Appendix B, Table 5 - Mandatory Supplemental Documentation). The Contractor shall provide audit liaison support for the Validation and Audit Phases identified in FIAR Guidance and each FIP. The Government will track the status of assertion packages to/from OUSD(C) and DoD Inspector General (DoDIG).

2.7.2.2 The Government has identified Deal Breakers within each FIP that have historically resulted in material weaknesses or misstatements. Assertion package documentation and processes shall specifically address the Deal Breakers; however, separate Deal Breaker documentation is not required.

2.7.3 Provide dedicated support for each Air Force MAJCOM to serve as lead/liaison to gather and disseminate required data to and from the field for direct support of Statement of Budgetary Resources (SBR) and Existence and Completeness (E&C) for Mission Critical Assets audit readiness requirements. These Contractor personnel shall provide support at or near each AF MAJCOM HQ location.

2.7.4 Recommend, obtain, and analyze ad hoc queries, miscellaneous reports or documentation to applicable COR/Team Lead to capture data to support development and sustainment of assertion packages. Recommend actions based on analysis.

2.7.5 Validate obligations to ensure Beginning Balances are accurate. Beginning Balances are comprised of the ending balance of an account from the prior year that must be brought forward to depict an accumulative balance within the current period.

2.7.6 Review Journal Voucher (JV) transactions (currently a total of approximately 10,000 Air Force JVs in various stages of validation), validate appropriateness, and recommend corrective action for unsupportable JV transactions, as well as recommendations to ensure only valid use of JVs across the AF.

Table 1 – JV Historical Data

Note: These are total JVs performed by DFAS on behalf of the AF each fiscal year. At the start of each year, as JVs are validated, follow-on action is not required for those JVs; therefore, the totals do not represent the workload throughout the year.

2.7.7 Maintain consistent format and organization of all assertion and sustainment documentation across all assertion packages.

2.7.7.1 Assertion and sustainment documentation include system and process flow documentation, risk analysis, control analysis, internal control testing, and evaluation of testing, and Corrective Action Plan (CAP) including documentation of manual workarounds and compensating controls involved in the development of these packages.

2.7.7.2 All documents shall be in editable and searchable versions of Microsoft Office, Microsoft Project, Microsoft Visio 2007 or 2010, Portable Document Format (PDF) using Acrobat Adobe 8.0 or 9.0 (or the latest Government versions).

2.7.7.3 Upload all documentation applicable to an assessable unit or statement to the COR-designated location upon Government acceptance.

2.7.8 FIP Management.

2.7.8.1 FIP Management requires use of Microsoft Project.

2.7.8.2 Update FIPs with actual start and completion dates and status of each line item.

2.7.8.3 Once Contractor management review is complete and the Contractor has updated a deliverable (work product) based on Government POC and Contractor management reviews, the Contractor shall provide the final deliverable (work product) to the applicable COR for acceptance and validation that deliverables are 100% complete.

2.7.8.4 Upon completion of all work products in an assertion package, the Contractor shall present the executive summary/statement of assertion to the applicable COR for acceptance and validation that 100% complete.

2.7.9 Assist in any oral or written presentation required in the review and approval process for each assertion package (see AF FIAR Support ID/IQ PWS paragraph 1.2 and subparagraphs).

2.7.10 Attain and sustain audit readiness once an audit ready state is achieved.

2.7.11 Update assertion packages for any systems changes to include current ‘as is’ and ‘to be’ environments per FIAR Guidance.

2.7.12 Where deficiencies (see subparagraphs) exist, the Contractor shall recommend executable corrective actions to meet assertion milestones. In those cases where executable corrective action is not deemed possible, notify the Functional Owner/COR of any actions that may delay/preclude assertion, with recommended resource/timeline requirements. Deficiencies may take the form of, but are not limited to:

2.7.12.1 Material weakness or misstatement;

2.7.12.2 Transactions that are not captured under one of the assessable units;

2.7.12.3 Unidentified assessable units.

2.7.12.4 Lack of required data or lack of access to required data to support efforts.

2.7.13 Comply with Federal Improvement Systems Controls Audit Manual (FISCAM) requirements (see AF FIAR Support ID/IQ PWS Section E, Appendix B, Table 7 - Mandatory Supplemental Documentation).

2.7.14 Contracting Officer Representative (COR). The COR for this portion of the effort is located in the SAF/FMPS office in the NCR.

2.8 Assertion Packages.

2.8.1 Individual Assessable Units.

2.8.1.1 The Contractor shall achieve audit readiness for assertion and sustain an audit ready state (per progress indicated in FIPs) of each assessable unit. Current documentation reflects 13 assessable units, each of which has a developed FIP (in order of assertion completion date):

· Appropriations Received

· Funds Balance with Treasury

· Funds Distribution

· Civilian Pay

· Major Defense Acquisition Programs (MDAP)

· Reimbursable Authority

· Military Pay

· Contracts (Vendor Pay)

· MILSTRIPS

· Contracts (MOCAS)

· Net Outlays

· Reimbursable Work Orders

· Financial Statement Compilation/Reporting

2.8.1.2 There are three (3) additional assessable units, currently without developed FIPs:

· Travel (TDY)

· Travel (PCS-Civilian)

· Travel (PCS-Military) These FIPs will follow the same methodologies as existing FIPs. Once FIPs are developed (Government anticipates completion prior to ID/IQ award) for these assessable units (and any others identified in the course of contract performance for which FIPs are not yet developed), the Government will issue a separate task order(s) for new assessable units.

2.8.1.3 There may be areas not covered within previous assessable unit package documentation; therefore, the Contractor shall identify these areas to the Government and recommend solutions for incorporation. For example, the Government has identified Beginning Balances, which will become part of the SBR assertion effort. However, the Government has not yet determined how to appropriately incorporate this area. When an approach is determined, the Government and Contractor will work together to determine whether the work can be incorporated into this task order or if a separate task order will be required.

2.8.1.4 Contracting Officer Representative (COR). The COR for this portion of the effort is located in the SAF/FMPA office in the NCR.

2.8.2 Overarching Consolidated Statement of Budgetary Resources (SBR). The Contractor shall achieve audit readiness for assertion and sustain an audit ready state for an overarching, consolidated SBR assertion. Audit readiness shall be complete by 31 March 2014. The COR for this portion of the effort is located in the SAF/FMPA office in the NCR.

2.8.3 Special Programs. The Contractor shall also complete a parallel yet separate audit readiness for assertion and sustain an audit ready state for Special Programs for each of the assessable units identified in PWS paragraphs 2.6.1 and for the for the overarching, consolidated SBR assertion package addressed in PWS paragraph 2.6.2 and subparagraphs.

2.8.3.1 Special Programs Clearance Requirements. This portion of the SBR audit readiness effort requires Top Secret/Sensitive Compartmented Information (TS/SCI) clearance and the Contractor shall adhere to the Joint Air Force-Army-Navy (JAFAN) security manuals to ensure compliance for all personnel working this parallel effort. This work will occur at Government-designated facilities that meet the TS/SCI and JAFAN in the NCR.

2.8.3.2 Contracting Officer Representative (COR). The COR for this portion of the effort is located in the SAF/FMB office in the NCR.

2.9 Sustainment.

2.9.1 The Contractor shall update assertion packages identified in this PWS to maintain audit readiness.

2.9.1.1 Complete by 31 March of each year, effective 30 September of previous FY, to maintain audit readiness, for duration of contract.

2.9.1.2 OUSD(C) approval not required.

2.9.2 The Contractor shall perform risk and/or materiality based sustainment testing for each assessable unit.

2.9.3 COR located in SAF/FMPA office at Wright Patterson Air Force Base, OH.

3.0 OTHER APPLICABLE DATA. The Contractor shall abide by all parameters set forth in Air Force FIAR Support ID/IQ Contract, as follows:

3.1 Travel. Section A, paragraph 2.7.4 and subparagraphs.

3.2 Administrative Considerations. Section A, paragraph 2.8 and subparagraphs unless otherwise specified in this task order.

3.3 Environmental, Safety and Health. Section B, paragraphs 3.0 and 4.0.

3.4 Security.

3.4.1 Section B, paragraphs 5.0, 5.1, 5.2, 5.3, 5.5, 5.6 and 5.7 and subparagraphs (ID/IQ 5.4 applies at the ID/IQ level).

3.4.2 Section A, paragraph 2.3.3 if a subcontractor is contracted to perform the work on a task order requirement.

3.5 Government Furnished Items. Section D, paragraphs 10.0 and 11.0 and subparagraphs. In addition to the Supplemental Documentation listed in the ID/IQ contract, section E, Appendix B (as referenced in Section D, paragraph 11.1.2), this task order is subject to the additional documentation listed in this PWS at Appendix B, Table 5 – Mandatory Supplemental Documentation, page 12.

4.0 PERFORMANCE EVALUATION. The Contractor shall abide by all parameters set forth in Air Force FIAR Support ID/IQ Contract Section C, paragraph 7.0 and subparagraphs.

4.1 Deliverables.

4.1.1 The Government has unlimited and unrestricted data rights to all deliverables related to this contract.

4.1.2 If a deliverable due date falls on a weekend or holiday, the Contractor shall submit the deliverable on the last work day prior to the due date.

4.1.3 The Contractor shall develop and provide thorough and detailed deliverables that shall be in editable and searchable versions of Microsoft Office 2007 or 2010, PDF using Acrobat Adobe 8.0 or 9.0 (or the latest Government versions). Deliverable requirements are as follows:

Table 2 – Contract Deliverables

Due Date: As specified in each FIP Details: As part of each Test Plan deliverable, the Contractor shall populate “Population and Sample Size” and “Test Results” rows of Test Plan with confidence and assurance levels required to achieve a minimally acceptable level of confidence/assurance (see AF FIAR Support ID/IQ PWS paragraph 6.2.1.1 and sub-bullets).

Due Date: Attend within 10 calendar days of contract award Details: Government PMO responsible for setting up meeting.

Due Date/Details:

· Verbal and electronic notification to the COR within three (3) hours of identification.

· Written recommendations and corrective actions required to meet FIP and AF Acceleration Plan milestones/timelines within eight (8) hours of identification.

Due Date: Every 24 hours (during Government work days as defined in AF FIAR Support ID/IQ PWS paragraph 2.7)

4.1.4 Meeting the contract performance schedule is critical to the success of this requirement. Thus the contractor shall notify in writing the applicable COR, Quality Assurance Manager (QAM), and CO at any point during contract performance if they believe the Government has not provided requested information in a reasonable amount of time or if the information provided does not meet accuracy or completeness needs for continued successful performance. Appropriate Government personnel will then work to resolve the situation and final resolution and dispensation will be documented for the record by the CO.

4.2 Services Summary. This Services Summary identifies critical success factors for the contract. The Services Summary:

4.2.1 Lists performance objectives for the required service that the government will surveil. The government reserves the right to surveil all services called for in this PWS to determine whether the performance objectives and goals were met. The absence of any contract requirement from the Services Summary shall not detract from its enforceability nor limit the rights or remedies of the Government under any other provision of the contract.

4.2.2 States the performance objective, standard, and threshold (accept/reject point) for each critical success factor.

4.2.3 Will be used as the baseline to develop a Quality Assurance Surveillance Plan (QASP). The QASP will identify the audit methods/procedures the Government will use to evaluate the contractor's performance.

Table 3 – Services Summary

certifications and experience as identified in Management Plan Performance is acceptable when:

a) Qualified key personnel are on the job at contract start, unless previously negotiated by the CO.

b) Vacancies are filled with qualified key personnel within 14 days of vacancy, unless approved in writing or otherwise directed in advance by the CO

AND

c) There is no mission impact due to position vacancies or unqualified personnel.

delivered on or before FIP due date No major nonconformance is allowed

a) 100% of major FIP work product deliverables (bolded items) are updated within 24 hours(during Government work days as defined in AF FIAR Support ID/IQ PWS paragraph 2.7), AND

b) 90% of lower level line items are updated within 24 hours(during Government work days as defined in AF FIAR Support ID/IQ PWS paragraph 2.7); remaining 10% within next 24 hours (48 hours total during Government work days as defined in AF FIAR Support ID/IQ PWS paragraph 2.7)

Deliverables Management

Develop and submit all required deliverables

Performance is acceptable when:

a) 100% of deliverable requirements are met and received on time AND

b) Critical information is accurate.

Initial Contract Performance Review (see AFI 63-101)

APPENDICES

APPENDIX A ACRONYMS

· AF Acceleration Plan, pages 70-76

· FIAR Guidance, Appendix F

Table 4 – Contract Acronyms

APPENDIB B MANDATORY SUPPLEMENTAL DOCUMENTATION

Table 5 – Mandatory Supplemental Documentation Financial Improvement Plans – includes status of assertions

Appropriations Received (in sustainment)

Funds Balance with Treasury (in sustainment)

See all Mandatory Supplemental Documentation listed in the AF FIAR Support ID/IQ PWS

AF FIAR Support SBR PWS Current as of 8 Mar 12 image2.emf

Hire to Retire Civ Pay FIP 01.26.12 Grid Data

Project Details: Hire to Retire Civilian Pay

ID WBS Task Name Start Finish Baseline Start Baseline Finish % Complete Task Predecessors KCO Weakness Control Objective Test Status Primary FS Assertions Secondary FS Assertions FIAR Milestone A-123, Appendix A Other Milestone Type Responsible Person FIE Process L0 Process L1 Lead Org Support Org Resource Names LoE to Complete LoE Committed Task Notes Text 17 Text 18 Text 19 Text 20 Text 21 Text 22 Text 23 Text 24 Text 25 Text 26 Text 27 Text 28 Text 29 Text 30

1 1 Evaluation and Discovery 12/1/2010 3/30/2012 NA NA 88% No

2 1.1 Statement to Process Analysis 12/1/2010 11/2/2011 NA NA 96% No

3 1.1.1 Initial Process and System Drill Down Analysis (1.1.1) 12/1/2010 11/2/2011 NA NA 100% No

4 1.1.1.1 Determine Initial Process and System Drill Down Analysis (1.1.1) requirements and record in FIP or work plan 12/1/2010 11/2/2011 NA NA 100% No SAF/FMPA DFAS Jesse Traylor Government Lead

5 1.1.1.2 Establish design of Initial Process and System Drill Down Analysis (1.1.1) 12/1/2010 11/2/2011 NA NA 100% No SAF/FMPA PAYNE; AUDRA (CONTRACTOR) Denise Doran

6 1.1.1.3 Compile and review existing work products that may contribute to the creation of the Initial Process and System Drill Down Analysis (1.1.1) 12/1/2010 11/2/2011 NA NA 100% No SAF/FMPA Jesse Traylor Government Lead

7 1.1.1.4 Establish, solicit and coordinate additional input that will contribute to the creation of the Initial Process and System Drill Down Analysis (1.1.1) 12/1/2010 11/2/2011 NA NA 100% No SAF/FMPA DFAS Jesse Traylor Government Lead

8 1.1.1.5 Execute Initial Process and System Drill Down Analysis (1.1.1) draft 12/1/2010 11/2/2011 NA NA 100% 7FF,6FF,4FF,5FF No SAF/FMPA DFAS Jesse Traylor Government Lead

9 1.1.1.6 Review Initial Process and System Drill Down Analysis (1.1.1) draft with relevant points of contact 10/27/2011 11/2/2011 NA NA 100% 8FF No SAF/FMPA DFAS Jesse Traylor Government Lead

10 1.1.1.7 Review Initial Process and System Drill Down Analysis (1.1.1) draft with FIP Program Management Office 10/31/2011 11/2/2011 NA NA 100% 8FF No SAF/FMPA PAYNE; AUDRA (CONTRACTOR) Denise Doran

11 1.1.1.8 Update Initial Process and System Drill Down Analysis (1.1.1) based on PoC and PMO feedback 10/27/2011 11/2/2011 NA NA 100% 9FF,10FF No SAF/FMPA Jesse Traylor Denise Doran

12 1.1.2 Quantitative Drill Down Level 1 (1.1.2a) 12/1/2010 11/2/2011 NA NA 94% No

13 1.1.2.1 Determine Initial Quantitative Drill Down Level 1 (1.1.2a) requirements and record in FIP or work plan 12/1/2010 11/2/2011 NA NA 100% No SAF/FMPA DFAS Jesse Traylor Government Lead

14 1.1.2.2 Establish design of Initial Quantitative Drill Down Level 1 (1.1.2a) 12/1/2010 11/2/2011 NA NA 100% No SAF/FMPA PAYNE; AUDRA (CONTRACTOR) Denise Doran

15 1.1.2.3 Compile and review existing work products that may contribute to the creation of the Initial Quantitative Drill Down Level 1 (1.1.2a) 12/1/2010 11/2/2011 NA NA 100% No SAF/FMPA Jesse Traylor Government Lead

16 1.1.2.4 Establish, solicit and coordinate additional input that will contribute to the creation of the Initial Quantitative Drill Down Level 1 (1.1.2a) 12/1/2010 11/2/2011 NA NA 100% No SAF/FMPA DFAS Jesse Traylor Government Lead

17 1.1.2.5 Execute Initial Quantitative Drill Down Level 1 (1.1.2a) draft 12/1/2010 11/2/2011 NA NA 75% 16FF,14FF,13FF,15FF No SAF/FMPA DFAS Jesse Traylor Government Lead

18 1.1.2.6 Review Initial Quantitative Drill Down Level 1 (1.1.2a) draft with relevant points of contact 10/27/2011 11/2/2011 NA NA 0% 17FF No SAF/FMPA DFAS Jesse Traylor Government Lead

19 1.1.2.7 Review Initial Quantitative Drill Down Level 1 (1.1.2a) draft with FIP Program Management Office 10/31/2011 11/2/2011 NA NA 0% 17FF No SAF/FMPA PAYNE; AUDRA (CONTRACTOR) Denise Doran

20 1.1.2.8 Update Initial Quantitative Drill Down Level 1 (1.1.2a) based on PoC and PMO feedback 10/27/2011 11/2/2011 NA NA 0% 18FF,19FF No SAF/FMPA Jesse Traylor Denise Doran

21 1.1.3 Quantitative Drill Down Level 2 (1.1.2b) 12/1/2010 11/2/2011 NA NA 94% No

22 1.1.3.1 Determine Initial Quantitative Drill Down Level 2 (1.1.2b) requirements and record in FIP or work plan 12/1/2010 11/2/2011 NA NA 100% No SAF/FMPA DFAS Jesse Traylor Government Lead

23 1.1.3.2 Establish design of Initial Quantitative Drill Down Level 2 (1.1.2b) 12/1/2010 11/2/2011 NA NA 100% No SAF/FMPA PAYNE; AUDRA (CONTRACTOR) Denise Doran

24 1.1.3.3 Compile and review existing work products that may contribute to the creation of the Initial Quantitative Drill Down Level 2 (1.1.2b) 12/1/2010 11/2/2011 NA NA 100% No SAF/FMPA Jesse Traylor Government Lead

25 1.1.3.4 Establish, solicit and coordinate additional input that will contribute to the creation of the Initial Quantitative Drill Down Level 2 (1.1.2b) 12/1/2010 11/2/2011 NA NA 100% No SAF/FMPA DFAS Jesse Traylor Government Lead

26 1.1.3.5 Execute Initial Quantitative Drill Down Level 2 (1.1.2b) draft 12/1/2010 11/2/2011 NA NA 75% 23FF,25FF,22FF,24FF No SAF/FMPA DFAS Jesse Traylor Government Lead

27 1.1.3.6 Review Initial Quantitative Drill Down Level 2 (1.1.2b) draft with relevant points of contact 10/27/2011 11/2/2011 NA NA 0% 26FF No SAF/FMPA DFAS Jesse Traylor Government Lead

28 1.1.3.7 Review Initial Quantitative Drill Down Level 2 (1.1.2b) draft with Program Management Office 10/31/2011 11/2/2011 NA NA 0% 26FF No SAF/FMPA PAYNE; AUDRA (CONTRACTOR) Denise Doran

29 1.1.3.8 Update Initial Quantitative Drill Down Level 2 (1.1.2b) based on PoC and PMO feedback 10/27/2011 11/2/2011 NA NA 0% 28FF,27FF No SAF/FMPA Jesse Traylor Denise Doran

30 1.2 Prioritization 12/1/2010 11/2/2011 NA NA 90% No

31 1.2.1 Initial Systems Inventory List (1.2.3) 12/1/2010 11/2/2011 NA NA 100% No

32 1.2.1.1 Determine Initial Systems Inventory List (1.2.3) requirements and record in FIP or work plan 12/1/2010 11/2/2011 NA NA 100% No SAF/FMPA DFAS Jesse Traylor Government Lead

33 1.2.1.2 Establish design of Initial Systems Inventory List (1.2.3) 12/1/2010 11/2/2011 NA NA 100% No SAF/FMPA PAYNE; AUDRA (CONTRACTOR) Denise Doran

34 1.2.1.3 Compile and review existing work products that may contribute to the creation of the Initial Systems Inventory List (1.2.3) 12/1/2010 11/2/2011 NA NA 100% No SAF/FMPA Jesse Traylor Government Lead

35 1.2.1.4 Establish, solicit and coordinate additional input that will contribute to the creation of the Initial Systems Inventory List (1.2.3) 12/1/2010 11/2/2011 NA NA 100% No SAF/FMPA DFAS Jesse Traylor Government Lead

36 1.2.1.5 Execute Initial Systems Inventory List (1.2.3) draft 12/1/2010 11/2/2011 NA NA 100% 34FF,33FF,32FF,35FF No SAF/FMPA DFAS Jesse Traylor Government Lead

37 1.2.1.6 Review Initial Systems Inventory List (1.2.3) draft with relevant points of contact 10/27/2011 11/2/2011 NA NA 100% 36FF No SAF/FMPA DFAS Jesse Traylor Government Lead

38 1.2.1.7 Review Initial Systems Inventory List (1.2.3) draft with Program Management Office 10/31/2011 11/2/2011 NA NA 100% 36FF No SAF/FMPA PAYNE; AUDRA (CONTRACTOR) Denise Doran

39 1.2.1.8 Update Initial Systems Inventory List (1.2.3) based on PoC and PMO feedback 10/27/2011 11/2/2011 NA NA 100% 38FF,37FF No SAF/FMPA Jesse Traylor Denise Doran

40 1.2.2 Sub-Assessable Unit Prioritization Document (1.2.4) 12/1/2010 11/2/2011 NA NA 79% No

41 1.2.2.1 Determine Sub-Assessable Unit Prioritization Document (1.2.4) requirements and record in FIP or work plan 12/1/2010 11/2/2011 NA NA 100% No SAF/FMPA DFAS Jesse Traylor Government Lead

42 1.2.2.2 Establish design of Sub-Assessable Unit Prioritization Document (1.2.4) 12/1/2010 11/2/2011 NA NA 100% No SAF/FMPA PAYNE; AUDRA (CONTRACTOR) Denise Doran

43 1.2.2.3 Compile and review existing work products that may contribute to the creation of the Sub-Assessable Unit Prioritization Document (1.2.4) 12/1/2010 11/2/2011 NA NA 100% No SAF/FMPA Jesse Traylor Government Lead

44 1.2.2.4 Establish, solicit and coordinate additional input that will contribute to the creation of the Sub-Assessable Unit Prioritization Document (1.2.4) 12/1/2010 11/2/2011 NA NA 75% No SAF/FMPA DFAS Jesse Traylor Government Lead

45 1.2.2.5 Execute Sub-Assessable Unit Prioritization Document (1.2.4) draft 12/1/2010 11/2/2011 NA NA 25% 43FF,44FF,41FF,42FF No SAF/FMPA DFAS Jesse Traylor Government Lead

46 1.2.2.6 Review Sub-Assessable Unit Prioritization Document (1.2.4) draft with relevant points of contact 10/27/2011 11/2/2011 NA NA 0% 45FF No SAF/FMPA DFAS Jesse Traylor Government Lead

47 1.2.2.7 Review Sub-Assessable Unit Prioritization Document (1.2.4) draft with Program Management Office 10/31/2011 11/2/2011 NA NA 0% 45FF No SAF/FMPA PAYNE; AUDRA (CONTRACTOR) Denise Doran

48 1.2.2.8 Update Sub-Assessable Unit Prioritization Document (1.2.4) based on PoC and PMO feedback 10/27/2011 11/2/2011 NA NA 0% 47FF,46FF No SAF/FMPA Jesse Traylor Denise Doran

49 1.3 Assess & Test Controls 12/1/2010 3/16/2012 NA NA 96% No

50 1.3.1 Initial Identification and Mapping of Key Control Objectives and Key Supporting Documents 12/1/2010 11/2/2011 NA NA 100% No

51 1.3.1.1 Determine Initial Identification and Mapping of Key Control Objectives and Key Supporting Documents requirements and record in FIP or work plan 12/1/2010 11/2/2011 NA NA 100% No SAF/FMPA DFAS Jesse Traylor Government Lead

52 1.3.1.2 Establish design of Initial Identification and Mapping of Key Control Objectives and Key Supporting Documents 12/1/2010 11/2/2011 NA NA 100% No SAF/FMPA PAYNE; AUDRA (CONTRACTOR) Denise Doran

53 1.3.1.3 Compile and review existing work products that may contribute to the creation of the Initial Identification and Mapping of Key Control Objectives and Key Supporting Documents 12/1/2010 11/2/2011 NA NA 100% No SAF/FMPA Jesse Traylor Government Lead

54 1.3.1.4 Establish, solicit and coordinate additional input that will contribute to the creation of the Initial Identification and Mapping of Key Control Objectives and Key Supporting Documents 12/1/2010 11/2/2011 NA NA 100% No SAF/FMPA DFAS Jesse Traylor Government Lead

55 1.3.1.5 Execute Initial Identification and Mapping of Key Control Objectives and Key Supporting Documents draft 12/1/2010 11/2/2011 NA NA 100% 54FF,53FF,52FF,51FF No SAF/FMPA DFAS Jesse Traylor Government Lead

56 1.3.1.6 Review Initial Identification and Mapping of Key Control Objectives and Key Supporting Documents draft with relevant points of contact 10/27/2011 11/2/2011 NA NA 100% 55FF No SAF/FMPA DFAS Jesse Traylor Government Lead

57 1.3.1.7 Review Initial Identification and Mapping of Key Control Objectives and Key Supporting Documents draft with Program Management Office 10/31/2011 11/2/2011 NA NA 100% 55FF No SAF/FMPA PAYNE; AUDRA (CONTRACTOR) Denise Doran

58 1.3.1.8 Update Initial Identification and Mapping of Key Control Objectives and Key Supporting Documents based on PoC and PMO feedback 10/27/2011 11/2/2011 NA NA 100% 57FF,56FF No SAF/FMPA Jesse Traylor Denise Doran

59 1.3.2 Initial Point of Contact List (1.3.2) 12/1/2010 11/2/2011 NA NA 100% No

60 1.3.2.1 Determine Initial Point of Contact List (1.3.2) requirements and record in FIP or work plan 12/1/2010 11/2/2011 NA NA 100% No SAF/FMPA DFAS Jesse Traylor Government Lead

61 1.3.2.2 Establish design of Initial Point of Contact List (1.3.2) 12/1/2010 11/2/2011 NA NA 100% No SAF/FMPA PAYNE; AUDRA (CONTRACTOR) Denise Doran

62 1.3.2.3 Compile and review existing work products that may contribute to the creation of the Initial Point of Contact List (1.3.2) 12/1/2010 11/2/2011 NA NA 100% No SAF/FMPA Jesse Traylor Government Lead

63 1.3.2.4 Establish, solicit and coordinate additional input that will contribute to the creation of the Initial Point of Contact List (1.3.2) 12/1/2010 11/2/2011 NA NA 100% No SAF/FMPA DFAS Jesse Traylor Government Lead

64 1.3.2.5 Execute Initial Point of Contact List (1.3.2) draft 12/1/2010 11/2/2011 NA NA 100% 61FF,60FF,62FF,63FF No SAF/FMPA DFAS Jesse Traylor Government Lead

65 1.3.2.6 Review Initial Point of Contact List (1.3.2) draft with relevant points of contact 10/27/2011 11/2/2011 NA NA 100% 64FF No SAF/FMPA DFAS Jesse Traylor Government Lead

66 1.3.2.7 Review Initial Point of Contact List (1.3.2) draft with Program Management Office 10/31/2011 11/2/2011 NA NA 100% 64FF No SAF/FMPA PAYNE; AUDRA (CONTRACTOR) Denise Doran

67 1.3.2.8 Update Initial Point of Contact List (1.3.2) based on PoC and PMO feedback 10/27/2011 11/2/2011 NA NA 100% 66FF,65FF No SAF/FMPA Jesse Traylor Denise Doran

68 1.3.3 Initial Organization Chart (1.3.2) 12/1/2010 11/2/2011 NA NA 100% No

69 1.3.3.1 Determine Initial Organization Chart (1.3.2) requirements and record in FIP or work plan 12/1/2010 11/2/2011 NA NA 100% No SAF/FMPA DFAS Jesse Traylor Government Lead

70 1.3.3.2 Establish design of Initial Organization Chart (1.3.2) 12/1/2010 11/2/2011 NA NA 100% No SAF/FMPA PAYNE; AUDRA (CONTRACTOR) Denise Doran

71 1.3.3.3 Compile and review existing work products that may contribute to the creation of the Initial Organization Chart (1.3.2) 12/1/2010 11/2/2011 NA NA 100% No SAF/FMPA Jesse Traylor Government Lead

72 1.3.3.4 Establish, solicit and coordinate additional input that will contribute to the creation of the Initial Organization Chart (1.3.2) 12/1/2010 11/2/2011 NA NA 100% No SAF/FMPA DFAS Jesse Traylor Government Lead

73 1.3.3.5 Execute Initial Organization Chart (1.3.2) draft 12/1/2010 11/2/2011 NA NA 100% 71FF,72FF,70FF,69FF No SAF/FMPA DFAS Jesse Traylor Government Lead

74 1.3.3.6 Review Initial Organization Chart (1.3.2) draft with relevant points of contact 10/27/2011 11/2/2011 NA NA 100% 73FF No SAF/FMPA DFAS Jesse Traylor Government Lead

75 1.3.3.7 Review Initial Organization Chart (1.3.2) draft with Program Management Office 10/31/2011 11/2/2011 NA NA 100% 73FF No SAF/FMPA PAYNE; AUDRA (CONTRACTOR) Denise Doran

76 1.3.3.8 Update Initial Organization Chart (1.3.2) based on PoC and PMO feedback 10/27/2011 11/2/2011 NA NA 100% 74FF,75FF No SAF/FMPA Jesse Traylor Denise Doran

77 1.3.4 Initial Business Process Narrative and Flowchart 12/1/2010 12/16/2011 NA NA 99% No

78 1.3.4.1 Determine Initial Business Process Narrative and Flowchart requirements and record in FIP or work plan 12/1/2010 12/2/2011 NA NA 100% 65FF,46FF,18FF,37FF,9FF,74FF,27FF,56FF No SAF/FMPA DFAS Jesse Traylor Government Lead

79 1.3.4.2 Establish design of Initial Business Process Narrative and Flowchart 12/1/2010 12/2/2011 NA NA 100% No SAF/FMPA PAYNE; AUDRA (CONTRACTOR) Denise Doran

80 1.3.4.3 Compile and review existing work products that may contribute to the creation of the Initial Business Process Narrative and Flowchart 12/1/2010 12/2/2011 NA NA 100% 37FF,58FF,18FF,56FF,65FF,9FF,27FF,46FF,74FF No SAF/FMPA Jesse Traylor Government Lead

81 1.3.4.4 Establish, solicit and coordinate additional input that will contribute to the creation of the Initial Business Process Narrative and Flowchart 11/3/2011 12/16/2011 NA NA 100% 46,18,9,56,74,65,27,37 No SAF/FMPA DFAS Jesse Traylor Government Lead

82 1.3.4.5 Execute Initial Business Process Narrative and Flowchart draft 11/3/2011 12/16/2011 NA NA 100% 37,74,18,46,65,9,80FF,79FF,56,27,78FF,81FF No SAF/FMPA DFAS Jesse Traylor Government Lead

83 1.3.4.6 Review Initial Business Process Narrative and Flowchart draft with relevant points of contact 11/3/2011 12/16/2011 NA NA 100% 65,82FF,74,37,46,27,56,18,9 No SAF/FMPA DFAS Jesse Traylor Government Lead

84 1.3.4.7 Review Initial Business Process Narrative and Flowchart draft with Program Management Office 12/14/2011 12/16/2011 NA NA 60% 18,74,82FF,27,46,9,37,56,65 No SAF/FMPA PAYNE; AUDRA (CONTRACTOR) Denise Doran

85 1.3.4.8 Update Initial Business Process Narrative and Flowchart based on PoC and PMO feedback 12/12/2011 12/16/2011 NA NA 60% 9,37,65,83FF,74,18,27,46,56,84FF No SAF/FMPA Jesse Traylor Denise Doran

86 1.3.5 Conclusion of Initial Business Process Narrative and Flowchart 12/16/2011 12/16/2011 NA NA 0% 85 No

87 1.3.6 Initial Control Assessment (1.3.3) (Risk Assessment) 11/23/2011 1/9/2012 NA NA 70% No

88 1.3.6.1 Determine Initial Control Assessment (1.3.3) (Risk Assessment) requirements and record in FIP or work plan 11/23/2011 12/16/2011 NA NA 100% 83FF No SAF/FMPA DFAS Jesse Traylor Government Lead

89 1.3.6.2 Establish design of Initial Control Assessment (1.3.3) (Risk Assessment) 11/23/2011 12/16/2011 NA NA 100% 83FF No SAF/FMPA PAYNE; AUDRA (CONTRACTOR) Denise Doran

90 1.3.6.3 Compile and review existing work products that may contribute to the creation of the Initial Control Assessment (1.3.3) (Risk Assessment) 12/19/2011 1/9/2012 NA NA 100% 83,58FF No SAF/FMPA Jesse Traylor Government Lead

91 1.3.6.4 Establish, solicit and coordinate additional input that will contribute to the creation of the Initial Control Assessment (1.3.3) (Risk Assessment) 12/19/2011 1/9/2012 NA NA 50% 83 No SAF/FMPA DFAS Jesse Traylor Government Lead

92 1.3.6.5 Execute Initial Control Assessment (1.3.3) (Risk Assessment) draft 12/19/2011 1/9/2012 NA NA 50% 91FF,90FF,83,88FF,89FF No SAF/FMPA DFAS Jesse Traylor Government Lead

93 1.3.6.6 Review Initial Control Assessment (1.3.3) (Risk Assessment) draft with relevant points of contact 12/19/2011 1/9/2012 NA NA 50% 83,92FF No SAF/FMPA DFAS Jesse Traylor Government Lead

94 1.3.6.7 Review Initial Control Assessment (1.3.3) (Risk Assessment) draft with Program Management Office 1/5/2012 1/9/2012 NA NA 0% 92FF,83 No SAF/FMPA PAYNE; AUDRA (CONTRACTOR) Denise Doran

95 1.3.6.8 Update Initial Control Assessment (1.3.3) (Risk Assessment) based on PoC and PMO feedback 1/3/2012 1/9/2012 NA NA 0% 93FF,83,94FF No SAF/FMPA Jesse Traylor Denise Doran

96 1.3.7 Updated Point of Contact List (1.3.2) (Business Process Narrative and Flowchart) 11/18/2011 12/16/2011 NA NA 90% 85FF,67 No SAF/FMPA DFAS Jesse Traylor Government Lead

97 1.3.8 Updated Organization Chart (1.3.2) (Business Process Narrative and Flowchart) 11/18/2011 12/16/2011 NA NA 90% 76,85FF No SAF/FMPA DFAS Jesse Traylor Government Lead

98 1.3.9 Updated Systems Inventory List now including Description of Hardwar/Software Interfaces(1.2.3) (Business Process Narrative and Flowchart) 11/18/2011 12/16/2011 NA NA 90% 39,85FF No SAF/FMPA DFAS Jesse Traylor Government Lead

99 1.3.10 Initial System Certifications/Accreditations (1.3.2) 11/23/2011 1/9/2012 NA NA 80% No

100 1.3.10.1 Determine Initial System Certifications/Accreditations (1.3.2) requirements and record in FIP or work plan 11/23/2011 12/16/2011 NA NA 100% 83FF No SAF/FMPA DFAS Jesse Traylor Government Lead

101 1.3.10.2 Establish design of Initial System Certifications/Accreditations (1.3.2) 11/23/2011 12/16/2011 NA NA 100% 83FF No SAF/FMPA PAYNE; AUDRA (CONTRACTOR) Denise Doran

102 1.3.10.3 Compile and review existing work products that may contribute to the creation of the Initial System Certifications/Accreditations (1.3.2) 12/19/2011 1/9/2012 NA NA 100% 83,39FF No SAF/FMPA Jesse Traylor Government Lead

103 1.3.10.4 Establish, solicit and coordinate additional input that will contribute to the creation of the Initial System Certifications/Accreditations (1.3.2) 12/19/2011 1/9/2012 NA NA 90% 83 No SAF/FMPA DFAS Jesse Traylor Government Lead

104 1.3.10.5 Execute Initial System Certifications/Accreditations (1.3.2) draft 12/19/2011 1/9/2012 NA NA 75% 101FF,102FF,103FF,100FF,83 No SAF/FMPA DFAS Jesse Traylor Government Lead

105 1.3.10.6 Review Initial System Certifications/Accreditations (1.3.2) draft with relevant points of contact 1/3/2012 1/9/2012 NA NA 0% 104FF,83 No SAF/FMPA DFAS Jesse Traylor Government Lead

106 1.3.10.7 Review Initial System Certifications/Accreditations (1.3.2) draft with Program Management Office 1/5/2012 1/9/2012 NA NA 0% 83,104FF No SAF/FMPA PAYNE; AUDRA (CONTRACTOR) Denise Doran

107 1.3.10.8 Update Initial System Certifications/Accreditations (1.3.2) based on PoC and PMO feedback 1/3/2012 1/9/2012 NA NA 0% 106FF,105FF,83 No SAF/FMPA Jesse Traylor Denise Doran

108 1.3.11 Initial System User Listing (1.3.2) 11/23/2011 1/9/2012 NA NA 78% No

109 1.3.11.1 Determine Initial System User Listing (1.3.2) requirements and record in FIP or work plan 12/6/2011 12/16/2011 NA NA 100% 83FF No SAF/FMPA DFAS Jesse Traylor Government Lead

110 1.3.11.2 Establish design of Initial System User Listing (1.3.2) 11/23/2011 12/16/2011 NA NA 100% 83FF No SAF/FMPA PAYNE; AUDRA (CONTRACTOR) Denise Doran

111 1.3.11.3 Compile and review existing work products that may contribute to the creation of the Initial System User Listing (1.3.2) 12/19/2011 1/9/2012 NA NA 100% 39FF,83 No SAF/FMPA Jesse Traylor Government Lead

112 1.3.11.4 Establish, solicit and coordinate additional input that will contribute to the creation of the Initial System User Listing (1.3.2) 12/19/2011 1/9/2012 NA NA 90% 83 No SAF/FMPA DFAS Jesse Traylor Government Lead

113 1.3.11.5 Execute Initial System User Listing (1.3.2) draft 12/19/2011 1/9/2012 NA NA 75% 109FF,112FF,110FF,83,111FF No SAF/FMPA DFAS Jesse Traylor Government Lead

114 1.3.11.6 Review Initial System User Listing (1.3.2) draft with relevant points of contact 1/3/2012 1/9/2012 NA NA 0% 83,113FF No SAF/FMPA DFAS Jesse Traylor Government Lead

115 1.3.11.7 Review Initial System User Listing (1.3.2) draft with Program Management Office 1/5/2012 1/9/2012 NA NA 0% 83,113FF No SAF/FMPA PAYNE; AUDRA (CONTRACTOR) Denise Doran

116 1.3.11.8 Update Initial System User Listing (1.3.2) based on PoC and PMO feedback 1/3/2012 1/9/2012 NA NA 0% 114FF,115FF,83 No SAF/FMPA Jesse Traylor Denise Doran

117 1.3.12 Initial Test of Controls Test Plans (1.3.4) 2/3/2012 3/2/2012 NA NA 60% No

118 1.3.12.1 Determine Initial Test of Controls Test Plans (1.3.4) requirements and record in FIP or work plan 2/3/2012 2/28/2012 NA NA 100% 159,177FF,168FF,150FF No SAF/FMPA DFAS Jesse Traylor Government Lead

119 1.3.12.2 Establish design of Initial Test of Controls Test Plans (1.3.4) 2/3/2012 2/28/2012 NA NA 100% 168FF,177FF,159,150FF No SAF/FMPA PAYNE; AUDRA (CONTRACTOR) Denise Doran

120 1.3.12.3 Compile and review existing work products that may contribute to the creation of the Initial Test of Controls Test Plans (1.3.4) 2/3/2012 3/2/2012 NA NA 40% 168,85FF,159,150,177,95FF No SAF/FMPA Jesse Traylor Government Lead

121 1.3.12.4 Establish, solicit and coordinate additional input that will contribute to the creation of the Initial Test of Controls Test Plans (1.3.4) 2/3/2012 3/2/2012 NA NA 70% 177,168,159,150 No SAF/FMPA DFAS Jesse Traylor Government Lead

122 1.3.12.5 Execute Initial Test of Controls Test Plans (1.3.4) draft 2/3/2012 3/2/2012 NA NA 40% 159,177,120FF,168,118FF,150,119FF,121FF No SAF/FMPA DFAS Jesse Traylor Government Lead

123 1.3.12.6 Review Initial Test of Controls Test Plans (1.3.4) draft with relevant points of contact 2/27/2012 3/2/2012 NA NA 0% 177,150,122FF,159,168 No SAF/FMPA DFAS Jesse Traylor Government Lead

124 1.3.12.7 Review Initial Test of Controls Test Plans (1.3.4) draft with Program Management Office 2/29/2012 3/2/2012 NA NA 0% 122FF,168,159,177,150 No SAF/FMPA PAYNE; AUDRA (CONTRACTOR) Denise Doran

125 1.3.12.8 Update Initial Test of Controls Test Plans (1.3.4) based on PoC and PMO feedback 2/27/2012 3/2/2012 NA NA 0% 150,123FF,124FF,168,159,177 No SAF/FMPA Jesse Traylor Denise Doran

126 1.3.13 Conclusion of Initial Controls Testing 3/2/2012 3/2/2012 NA NA 0% 125 No

127 1.3.14 Updated Control Assessment (1.3.5) (Based on Initial Test of Controls Test Plans (1.3.4)) 2/3/2012 3/2/2012 NA NA 0% 95,125FF No SAF/FMPA DFAS Jesse Traylor Government Lead

128 1.3.15 Initial Corrective Action Plan (1.3.6) 2/15/2012 3/16/2012 NA NA 0% No

129 1.3.15.1 Determine Initial Corrective Action Plan (1.3.6) requirements and record in FIP or work plan 2/27/2012 3/2/2012 NA NA 0% 127FF No SAF/FMPA DFAS Jesse Traylor Government Lead

130 1.3.15.2 Establish design of Initial Corrective Action Plan (1.3.6) 2/27/2012 3/2/2012 NA NA 0% 127FF No SAF/FMPA PAYNE; AUDRA (CONTRACTOR) Denise Doran

131 1.3.15.3 Compile and review existing work products that may contribute to the creation of the Initial Corrective Action Plan (1.3.6) 2/27/2012 3/2/2012 NA NA 0% 125FF,127FF No SAF/FMPA Jesse Traylor Government Lead

132 1.3.15.4 Establish, solicit and coordinate additional input that will contribute to the creation of the Initial Corrective Action Plan (1.3.6) 2/27/2012 3/2/2012 NA NA 0% 127FF No SAF/FMPA DFAS Jesse Traylor Government Lead

133 1.3.15.5 Execute Initial Corrective Action Plan (1.3.6) draft 2/15/2012 3/16/2012 NA NA 0% 130FF,129FF,127FF+10d,131FF,132FF No SAF/FMPA DFAS Jesse Traylor Government Lead

134 1.3.15.6 Review Initial Corrective Action Plan (1.3.6) draft with relevant points of contact 3/12/2012 3/16/2012 NA NA 0% 127FF,133FF No SAF/FMPA DFAS Jesse Traylor Government Lead

135 1.3.15.7 Review Initial Corrective Action Plan (1.3.6) draft with Program Management Office 3/14/2012 3/16/2012 NA NA 0% 133FF,127FF No SAF/FMPA PAYNE; AUDRA (CONTRACTOR) Denise Doran

136 1.3.15.8 Update Initial Corrective Action Plan (1.3.6) based on PoC and PMO feedback 3/12/2012 3/16/2012 NA NA 0% 127FF,134FF,135FF No SAF/FMPA Jesse…