Attachment_-_FCC_ISAS_Statement_of_Work.pdf

Statement of Work FCC Auction Bidding System Replacement

SOW FOR FCC AUCTION BIDDING SYSTEM REPLACEMENT

1. Background The Federal Communications Commission (“FCC” or “Commission”) uses competitive bidding to assign spectrum licenses when it accepts mutually exclusive applications for any initial license or construction permit. Since the development of the Commission’s current auction system, the Commission’s needs have evolved in ways that were unanticipated. The current auction system is at the end of its lifecycle and has limitations for use with advanced auction design formats. The auction bidding formats used with the current system have been for simultaneous multiple round (SMR) auctions (with and without package bidding), one single-round sealed bid auction, and one single round sealed bid reverse auction. The

Commission is aggressively pursuing an effort to modernize its auction capabilities to meet its current and anticipated auction process needs and to incorporate design and technology advances.

2. Purpose and Objective

2.1 Purpose of Procurement

The purpose of this statement of work and this procurement is to obtain a complete business solution for the Commission’s anticipated auction bidding processes and to provide support to the auction program.

The Contractor shall provide software and non-personal professional services.

The Contractor’s software solution shall be a product that can be configured to meet, or with minor modifications or modifications customarily available in the commercial marketplace, can be configured to meet the Commission’s minimum requirements described below in § 3.1.1. of this SOW, which address more advanced auction designs. The software and other solutions proposed shall be designed to satisfy the minimum functionality, and shall be configured or modified to meet the Commission’s needs for various types of auctions, set forth in the SOW. The software acquired shall be web-based software licensed to the Commission and shall either be: (1) installed and maintained on-site at the Commission or (2) provided as a service, with hosting. Technical support, and maintenance shall be provided by the

Contractor.

The Contractor shall provide the professional services set forth below, including consulting and training services for the initial implementation and potential future configurations or modifications of the software to provide for more advanced auction designs. The Contractor’s solution shall be accessible to all potential users, including authorized FCC employees and authorized contractors, auction bidders, other public participants, and other FCC automated systems. The Contractor’s solution shall ensure a seamless and expedited transition from the current auction bidding system to the new auction bidding system. The

Contractor shall provide highly qualified and experienced personnel to support the work identified in this

SOW. These personnel shall have documented experience and training with the software and have experience in spectrum auction software design.

The Contractor shall provide services for the configuration or modification of the software through face-to-face and teleconferences consulting services, and face-to-face training of designated FCC staff on the use of the software. The Contractor shall provide on-going technical support after completion of the implementation of the software and training. After initial implementation, services shall be required on an as needed basis for requirements analysis and software configuration and/or modification for the specified auction as identified in Section 5.6 of the SOW.

A Contracting Officer’s Representative (COR) from the Wireless Telecommunications Bureau (WTB) shall provide technical direction to the Contractor with respect to the work to be performed.

2.2 Objectives

The primary objective of this contract is to improve the Commission’s auction system through the acquisition of software and services that shall allow the Commission to meet the current and anticipated needs for the auction bidding process in a number of possible scenarios. The software and services provided by the Contractor shall meet the Commission’s program/business, technical, and management objectives in the performance of the contract.

Program/Business Objectives – The principal program/business objective of this contract is to replace the functionality of the current auction bidding system, Integrated Spectrum Auction System (ISAS)

(http://wireless.fcc.gov/auctions/default.htm?job=about_isas), with a more flexible software solution that shall accommodate newer and more complicated auction designs and that shall allow rapid auction design changes. The software solution shall allow the Commission to quickly configure the bidding software for each auction and shall allow the Commission to incorporate new and various design formats by auction.

The Contractor’s software shall provide for:

Various possible combinations of typical auction design considerations, discussed in the

Requirements section of this SOW;

Flexibility for modifications to support other novel auction designs;

Ability to implement final auction rules developed during the FCC rulemaking process;

Rapid auction design configuration;

Robust and flexible query and reporting capabilities;

Access to up-to-the-minute data and reports;

Fast and transparent external reporting; and

Accountability and ability to audit transactions.

Technical Objective – The principal technical objective of this contract is to obtain a software solution and services with a high degree of reliability and availability and with the security and privacy controls that are required by federal regulations described in Attachment B. The Contractor’s software and, if applicable, hosting services shall provide:

A Web-based solution;

Reliable system uptime and scalability;

Data security and privacy; and

Ease of data exchange through use of standard and transparent data formats conforming to modern conventions.

Management Objective – The principal management objective of this contract is to obtain software (and associated services) that provide outstanding management and customer support. The Contractor’s services shall include:

http://wireless.fcc.gov/auctions/default.htm?job=about_isas

Staff with functional knowledge and proven experience in spectrum auctions and auction bidding software;

Documentation that includes, but is not limited to, software configuration, technical specifications, system interface descriptions, and user manuals;

Training and user support for the users of the system that is based on the level, responsibility and roles of individual users;

Improved system administration and application management services;

Improved customer information and relationship management capabilities; and enhanced reporting to support executive and managerial decision-making responsibilities; and

Seamless transition from current system.

3. Requirements and Additional Design Features

3.1 Software Requirements and Additional Design Features

The software must either be currently accredited / authorized by a Federal Civilian agency and meet or exceed FISMA requirements for information systems categorized as FIPS-199 defined Moderate or shall meet FISMA requirements within six months of award or a date approved by FCC.

3.1.1Minimum Software Requirements

The Contractor’s software shall be configurable to meet as-is, or with minor modifications or modifications customarily available in the commercial shall be configurable to meet, the following requirements on or before contract award. The Software and Maintenance CLINs shall include the cost of any configuration or modification necessary to meet the requirements stated in the table. The term “item” is used as a generic term to identify the product being auctioned.

Minimum Software Requirements

1. General Auction Parameters

1.1 Shall provide the ability to select single round or multi-round auction, or combinations thereof. This capability includes the selection of multi-round auctions that are Simultaneous Multiple Round (as in traditional FCC spectrum license auction, see Attachment A) or simple clock (where the FCC would define a series of prices and bidders would indicate interest at those prices), as well as single round auctions, which are either ascending- or descending-bid auctions.

1.2 Shall provide the ability to set bidding as ascending or descending.

1.3 Shall provide the ability to set competition by item or across items (i.e., reverse auction with budget constraint).

1.4 Shall provide the ability to bid on specific items (e.g., with respect to frequency) or generic blocks.

1.5 Shall provide the ability for various bid collection procedures, including:

i. The ability to place bids item-by-item; and

ii. The ability to collect bids using limited package bids (such as and including hierarchical package bidding – nesting items with linked prices).

1.6 Shall provide the ability for winner assignment/determination:

i. As appropriate to auction design, including simple methods (such as and including traditional SMR) and more complex methods (such as and including integer programming optimization); and

ii. Taking into account bidding credits and other adjustments to bids.

1.7 Shall provide the ability to determine the prices winning bidders will pay or receive based on pay-as-bid approach.

1.8 Shall provide the ability to implement any bidder eligibility restrictions for each auction based on bidder qualification as a designated entity.

1.9 Shall provide for the ability to set multiple activity stages (with specific activity requirements).

1.10 Shall allow for configuration to meet Commission auction rules and procedures and other auction-specific criteria, such as and including:

1. Reserve pricing, public or otherwise, aggregate or by item

2. Bid discounts/credits, item specific or bidder specific

3. Stopping rules, etc.

1.11 Shall provide bidder help tools (e.g., explanations for invalid bids).

2.0 Auction Administration

2.1 Shall provide the ability to setup and configure ALL auction parameters for internal actions (acceptance testing and training) and external auctions

(demonstrations and production auction).

2.2 Shall provide the ability for FCC staff to configure and set up auction formats meeting the parameters identified above.

2.3 Shall provide the ability for FCC staff to create a new auction and set-up auction parameters, including general auction information and specific auction information, and to import auctionable products (e.g., licenses or other items).

2.4 Shall provide the ability for FCC users to purge an auction and establish purge auction parameters, including general auction information and specific auction information.

2.5 Shall provide the ability to control (change/modify) auction parameters for current and future rounds during the auction event (such as and including minimum acceptable bids; round number, time or duration; changing the closing rule);

2.6 Shall provide the ability for FCC to electronically send messages to all bidders or any single bidder.

2.7 Shall provide full current and historical content searchable communications logging for all auction events (such as and including announcements sent to bidders, suggestions from bidders, and system messages).

2.8 Shall provide real-time overall status and the capability to provide statuses of specified bidders or items, or both, that can be displayed on screen, downloaded, and printed.

2.9 Shall provide the ability to monitor bidder activity, including:

a. Equipment and screens; and

b. Verification and receipt.

2.10 Shall provide a countdown clock and round scheduling.

2.11 Shall provide the ability to assign user access levels by roles.

2.12 Shall provide the ability to monitor interactively in real time the content of ALL current and historical auction-related activity (such as and including bidder data, item data, activity logs, and connections).

2.13 Shall support full data access mode for use in secured locations, limited information mode for telephonic and technical support monitoring, and configurable desktop access for analytical functionality (such functionality to include the ability to “drill down” into more detailed tabular data, which can be exported/downloaded, graphed, and mapped).

2.14 Shall provide the ability for the auction manager to change the persons authorized to submit bids on behalf of the bidder during an auction.

3 Auction Setup

3.1 Shall allow the import of a set of qualified bidders, including persons authorized to bid on behalf of the bidder and auction items. See Attachment C.

3.2 Shall provide the ability to assign a unique identifier to each bidder.

3.3 Shall provide the ability to accept information about each item being offered, such as and including: unique item identifier, item description, number of bidding units, and minimum acceptable bid amount. See Attachment C.

3.4 Shall provide the ability to allow the auctioneer to specify information for each bidder, such as and including: name, bidder ID, username, password, eligibility which may be based on an upfront deposit (FCC provided information), and limits on items for any specific bidder (FCC provided information).

3.5 Shall provide the ability to establish information disclosure policy (e.g., varying levels of disclosure regarding bidder identity/activities).

3.6 Shall provide the ability for bidders to communicate to FCC privately (“send suggestions”).

3.7 Shall provide the ability to associate bidding credits with specified bidders or specified items.

3.8 Shall provide for the assignment of a unique identifier to each bid/offer of each bidder.

4. Bid/Offer Submission

4.1 Shall provide the ability for bidders, during the bid submission period, to enter their bids electronically via a web interface.

4.2 Shall provide the ability to validate each bid each time a bidder submits a bid/offer to ensure it satisfies all requirements, such as and including conforming to the bidder’s eligibility and meeting any reserve price.

4.3 Shall not place any bids/offers if the bid/offer violates rules for acceptable bids/offers and shall provide an error message that indicates that the bid/offer is unacceptable and why -- rejecting the bid/offer from the system in its entirety and requiring the bidder to correct the deficiencies reported and place the bid/offer again. A transaction record of the submission and subsequent rejection shall be documented.

4.4 Shall provide the ability to record all bid submissions of each bidder with a date and time stamp.

4.5 Shall provide the ability of the auctioneer to send announcements to all bidders and for bidders to send private messages to the auctioneer through a web interface.

4.6 Shall provide the ability to display the bid/offer details as bid/offer verification upon successful submission of a bid/offer, and shall require the bidder to review the list of bids/offers and certify its accuracy to verify that the system and the bidder agree that the bids/offers submitted are correct, and allow the bidder to print and/or download this verification as a record of bid/offer submission with a visible time and date stamp.

4.7 Shall provide the ability to allow bidders to edit their bid/offer before the close of the specified bid submission period.

4.8 Shall provide the ability to only allow bidding during the specified bid submission period.

4.9 Shall provide the ability to display a persistently viewable countdown clock to show how much time remains in the bid submission period.

4.10 Shall allow an internal user with permission to perform bidding actions on behalf of a bidder during an auction, producing system data files that separately identify any actions placed using this method.

4.11 Shall provide the ability to act on multiple bids at once.

4.12 Shall provide each bidder with their current status (such as and including eligibility, standing, and high bid).

4.13 Shall allow each bidder to only place bids on the items for which they are qualified to bid.

4.14 Shall provide the ability to submit bids on more than one item at a time.

4.15 Shall provide the ability to remove bids before the close of the bidding round.

4.16 Shall provide the ability to withdraw bids or remove bids, subject to FCC auction rules.

4.17 Shall provide the ability to upload text files for submitting bids (so as to allow many bids to be placed quickly).

4.18 Shall provide the ability to perform other bidding-related actions for many items at once (e.g., upload a text file to remove many bids or withdraw many provisionally winning bids).

4.19 Shall provide real-time status of overall and specific bidder activity and auction status. All information should include three modes of access: be displayed on screen, printable and downloadable.

4.20 Shall provide context sensitive help for bidders.

4.21 Shall provide the ability to track and bid on a custom filtered list of items.

4.22 Shall provide for use of generic or specific items. Specific items can be FCC defined licenses. Generic items can be auction/bidder defined spectrum.

4.23 Shall match bidders to specific items based on eligibility to bid on those specific items.

5. Determining the Winning Bids/Offers

5.1 Shall determine the winning bids/offers according to the auction design.

5.2 Shall break ties according to the auction design.

6. Auction Results

6.1 Shall provide the ability to allow an authorized user with permission to see real-time auction results, including the bids/offers placed by each bidder.

6.2 Shall, at the close of each bid submission period, and before results are processed, create a backup file.

6.3 Shall create a file that allows an auditor to validate both the winning bids and the associated prices, presented in a tab-delimited format that includes the time and date stamp of the bid, bidder ID, and associated prices.

7. Log-in and Security Requirements

7.1 Shall require FCC approved two factor authentication to log into the auction.

7.2 Shall provide bidder access support including support for all authentication mechanisms used by the system.

7.3 Shall, if authentication fails, deny the user access to the system, terminate the login process, and notify the user that the authentication failed.

7.4 Shall, if the authentication fails, not reveal which authentication parameter was incorrect.

7.5 Shall permit the use of dedicated SSL decode appliances.

7.6 Shall, for each qualified bidder, provide up to three (3) authorized users access using FCC approved two factor authentication mechanism.

7.7 Shall digitally sign all bid data for non-repudiation.

7.8 Shall support PIV card (HSPD-12) authentication for administrative access in addition to other FCC approved two factor authentication in 7.1

8. Reporting

8.1 Shall provide the ability to create custom reports of auction data (current and historical) for bidders and items.

8.2 Shall generate Standard Reports (i.e., static or “canned” reports), which can be saved by the user for later use.

8.3 Shall provide the ability to generate Ad Hoc Reports (i.e., reports based on ad hoc criteria provided by the user), which can be saved by the user for later use.

8.4 Shall provide the ability to execute Report Options (i.e., to choose from a selection of report options to accommodate user preferences for the viewing of static reports, including display, print, save as text, or PDF and email).

8.5 Shall display Real-time Results (i.e., display results of the auction in real-time for authorized viewers).

8.6 Shall provide round results reports in two modes: general public information and private (authenticated) bidder-only information.

8.7 Shall provide the ability to view on screen, print, or export.

8.8 Shall provide an export capability so that FCC can export its data in an open

(non-proprietary) format for use in other applications. See Attachment C.

8.9 Shall provide the ability to issue round results reports in two modes: general public information and private (authenticated) bidder-only information.

8.10 Shall provide advanced report capability that allows general public and authenticated bidders to build (and save) their own custom reports, with reports viewable on screen or printed or downloaded.

9.0 Bidder Interface

9.1 Shall run without error on industry standard computers (including PC and

MAC) operating systems and web-browsers (at a minimum the current versions of IE and Google Chrome browsers) using a high speed Internet connection.

9.2 Shall NOT require installation of any special software or plug-ins.

9.3 Shall allow the auction administrator to control what data is made available to a specific class of users (e.g., bidders, auction administrators, the public) at a given point in time, which allows the FCC, for example, to support limited information auctions where certain bid information may be held until after the close of the auction.

9.4 Shall support viewing of results for the current and all previous rounds.

9.5 Shall provide the capability for all screens to be printable in all supported browsers without loss of information.

9.6 Shall provide a telephonic bidding interface.

10. Scale

10.1 Shall be fully scalable to accommodate the submission of offers by up to 500 bidders and 20,000 items.

10.2 Shall provide the ability to:

i. Upload bids;

ii. Act on multiple bids at once;

iii. Generic or specific items;

iv. Match bidders to specific items based on qualifications;

v. Associate bidding credits with specified bidders and/or specified items;

vi. Allow bidder access and password reset; and

vii. Display real-time status overall, and specified bidders and/or items, on screen, as downloaded, or as printed.

3.1.2 Additional Design Features

The following desirable auction software capabilities are not required for the initial implementation of the system and are not considered mandatory requirements. The Contractor is not required to be able to provide them at contract award. However, the Commission may wish to use the software and services under this contract to implement these system features. If any of the capabilities are proposed and awarded, the Contractor will be bound to be able provide the features as proposed at contract award.

Capabilities not proposed may be the subject of work under a Special Project.

Additional Design Features

1 Auction Parameters

1.1 Provide the ability for bid collection in formats to include:

i. Single round, simple, or with complexities, including varying approaches to aggregation (which could also be used in any round of the multiple round formats)

ii. Hierarchical package bidding (nesting items with linked pricing)

iii. Multi-part bids, such as Milgrom/Eilat-type, with fixed and incremental bid components

iv. Flexible package bids

v. Product mix (Klemperer)

1.2 Provide the ability for multiple auction phases (i.e., assignment stage following auction of generic blocks, supplementary rounds, others).

1.3 Provide the ability for various bid collection procedures, including:

i. As packages, or with other contingencies linking bids for multiple items.

ii. Bid collection using various aggregation specifications, including limited and flexible package bids, and multi-part bids (i.e., with fixed and incremental bid components).

iii. Bid collection that specifies contingencies linking bids for multiple items.

1.4 Provide the ability for winner assignment/determination:

i. As appropriate to auction design, including standing high (low) bids, ranking and mixed heuristic approaches.

Additional Design Features

ii. Taking into account scoring for multi-dimensional components.

iii. Taking into account constraints, such as individual and aggregate reserve prices and budget constraints.

1.5 Provide the ability to determine the prices winning bidders will pay or receive, which may require use of optimization techniques based on other pricing rules

(such as “second price” or threshold options, where prices may be uniform or discriminatory).

1.6 Provide the ability to implement any bidder eligibility restrictions for each auction based on any limits on winning bids, specified in terms of numbers, or percentages of items.

1.7 Provide the ability to determine the price for each winning bid/offer according to the auction design.

1.8 Provide the ability to collect the submission of offers for up to 1.5 million items.

1.9 Shall provide GIS capabilities.

1.10 Shall provide the ability to port to mapping/Geographic Information Systems

(GIS) software.

1.11 Shall provide advanced report capability that allows reports should to be viewed on screen, printed, downloaded or displayed using GIS capabilities.

3.2 Hosting Services Requirements

The following requirements apply only if the Contractor is providing hosting services.

The Contractor shall provide a virtualized hosting solution. The virtualized hosting solution shall allow

FCC the flexibility to meet future requirements. The virtualized hosting solution (including the system and services required to make it run) shall meet all requirements set forth in this section.

3.2.1 Requirements

1 Reliability (including Recoverability)

1.1 The system implementation shall provide functional redundancy and failover capability to the redundant system.

1.2 In the case of an infrastructure or auction software failure, the system shall have the ability to pause the system processes and restore the system to any back up point and restart the auction process from that point. The restore shall take no longer than 30 minutes.

1.3 The system shall have the ability to make backup copies of the auction state at any time, during or between rounds. This ‘Snapshot’ shall include the full state of the Auction.

1.4 System backups shall be made automatically at regular intervals or specific times according to the auction schedule.

1.5 The system shall have the ability to "mount" snapshots as a running Auction with either full, limited, or admin only access, while other Auctions continue to run.

1.6 Backups shall store all information related to the auction and replicate the exact state of the system at the point of the backup.

1.7 The Contractor shall not be responsible for the reliability of a bidder’s internet connection or IT infrastructure, with the exception of reliability problems traceable to malfunctioning or errant bidder interface functionality provided by the Contractor.

1.8 The service shall be engineered to sustain a 99.97% uptime. Additionally:

i. The system shall be available 24 x 7.

ii. During this uptime, the contractor shall ensure that there is not more than two (2) short term (less than two hours) planned or unplanned outages in any given performance quarter, and not more than one (1) (less than eight hours) single major planned or unplanned outage in any given performance quarter.

iii. In the event of major outages, the repair time shall be completed within two (2) hours, unless extenuating circumstances are identified to the Commission and approved by the

Commission’s COR, at which time the Commission’s COR shall be notified of any unplanned outages no more than five (5) minutes after the beginning of the outage.

1.9 The service, infrastructure, and communication shall be designed with no single point of failure.

1.10 The service shall have the ability to stop the Auction process at any time and recover/restore to any point in time, in round, between round, or before round, within 30 minutes. Any point in time is defined as between any two sequential bids or transactions (i.e., to any individual state of the auction).

2 Authentication and Security

2.1 The Contractor's hosting shall provide FCC approved two factor authentication of the auction bidders. Approval needs to include the user provisioning process, any token or other factor distribution, the authentication mechanisms, and the authentication system operations.

2.2 The Contractor’s authentication mechanism shall allow up to three (3) authorized users for each qualified bidder to connect from different terminals, but only one at a time.

2.3 The system shall incorporate encryption of all data in transit using SSL (HTTPS) and TLS 1.1 or

1.2.

2.4 Server shall include a digital certificate issued by a recognized certificate authority such as

VeriSign. The system shall incorporate encryption of data at rest such as in database or other data storage.

2.5 If a user authentication fails, the system shall deny the user access to the system, terminate the login process, and notify the user that the authentication failed.

2.6 Hosted system shall log all successful and failed logins and notify FCC via agreed methods if any user has three consecutive failed login attempts.

2.7 FCC shall have online access to real-time application and security logs.

2.8 All auction-related communication shall be encrypted using FIPS 140-2 or FIPS 140-3 evaluated hardware, software, and configuration. Later versions of previously evaluated software are acceptable with approval from FCC.

2.9 The service shall use FCC-issued server digital certificate issued by FCC or approved FCC vendor to allow the site to be verified as FCC. Two certificates shall be made available to support two geographic locations.

2.10 The authentication solution shall support both PIV card (HSPD-12) and other FCC approved two factor authentication for administrative access by FCC staff and contractors.

2.11 The hosted solution must include an independent non-repudiation system of all user activity on the system. The non-repudiation system should be part of the bidding system.

3 General and Information Security Requirements

3.1 The environment shall comply with FISMA and NIST 800-53 (MODERATE Level). FISMA

Assessment and Accreditation is required, including all required documentation, onsite audits, and other features of the process. Following award, the Contractor shall contact the FCC Chief

Information Security Officer (CISO), or a delegate of the CISO’s choosing, to coordinate this requirement. The COR shall provide the CISO’s contact information as necessary.

4 Security Operations

4.1 NSOC - The hosting provider or solution provider shall have a Network Security Operation

Center that will continually and near real-time review events from the bidding system, the infrastructure, security tools, communication systems, servers, and applications.

4.2 Web Application Firewall - The hosted solution shall include an operational independent Web

Application Firewall (WAF) or other technology to protect the bidding system agains parameter manipulation and data injections.

4.3 FCC NSCO Access to Security Events - The hosted solution shall provide an interface for

NSOC to access near real-time security events from the infrastructure, security tools, and application logs.

4.4 Security Review - The provider shall permit the FCC to audit and assess the hosting environment, the bidding system, and peripheral systems and devices to ensure compliance with

Federal laws, rules, and regulations.

5 Traceability of the Auction Process

5.1 The system shall provide real-time monitoring of all authorized bidders and administrators logged into the auction system, including on-demand forensic tracking and monitoring (real-time and historical) for all bidder and administrator activity to assist the administrator in resolving disputes with bidders during and after the auction. The monitoring access shall be through a web-based thin client.

5.2 The system shall store all data (including detailed application and logs of interactions between the bidders, the system, and the FCC), such as and including: all bid data, all information sent to the bidder’s interface, any inputs received from the bidder, and any information entered into the system by the FCC or other related and authorized FCC Contractors. This information shall be available to the FCC at any point during an auction and up to 30 days after the close of an auction. The logs must be produced in a standard format such as defined XML or CSV and provided electronically.

5.3 Within 30 days after the close of an auction, the Contractor shall deliver the applications logs, complete data export file(s), and audit logs for the entire auction to the FCC in a mutually agreed format that shall allow the FCC to conduct its own inspections. The Contractor shall include a formal certificate signed by a company officer, that the contents provided are authentic and accurate.

3.2.2 Data Rights

See FAR 52.227-14, 52.227-7 and RIGHTS IN DATA ADDENDUM on SF 1449 Continuation Sheet.

4.0 Activities

The activities are as follows:

ACTIVITY Section Type

Contract Management Section 5.1 Fixed Price

Software and Maintenance Section 5.2 Fixed Price

Technical Support Section 5.3 Fixed Price

Software Delivery Method Section 5.4 Fixed Price

Implementation and Integration – Standard

Auction Design

Section 5.5 Time and Materials with

Ceiling

Special Projects Section 5.6 Fixed Price or Time and

Materials with Ceiling

5. Contract Supplies and Services The supplies and services required by this contract shall be performed per this SOW. This SOW describes the specific supplies and work required with any special requirements.

5.1 Contract Management

5.1.1. Coordinate a Project Kickoff Meeting

The Contractor Program Manager shall schedule and coordinate a Project Kick-Off Meeting within one week of award at the location approved by the Government. The meeting shall provide an introduction between the Contractor personnel and Government personnel who will be involved with the contract. The meeting shall provide the opportunity to discuss implementation approach as well as any technical, management, and security issues, and travel authorization and reporting procedures. At a minimum, the attendees shall include key Contractor personnel, representatives from the FCC’s Wireless

Telecommunications Bureau, Information Technology Center, Contracting Office, and other key

Government officials. At a minimum, the Contractor shall address the following at the kickoff meeting:

Overview of the Project Team Structure including names, expected start dates and contact information

Implementation approach, technical, management and security issues, and travel and reporting items.

5.1.2. Prepare a Project Management Plan (PMP) and Project Plan

The Contractor shall document all support requirements in a PMP. The PMP shall describe the proposed management approach for each of the items in the Contract. The PMP shall detail Standard Operating

Procedures (SOPs) for all items, to include the methodology for the design, development, integration, testing, and training. At a minimum, the PMP shall:

Provide for information on the Contractor’s management organization and internal management policies and procedures.

Describe the approach and method for the identification, assessment, and mitigation of program risks.

Identify milestones, tasks, and subtasks required for all supplies and services.

Identify all documentation to be produced as part of the project

Provide a Project Plan.

The Contractor shall provide the Government with a draft PMP within 10 business days after contract award. The FCC shall have an opportunity to comment and the final PMP shall be completed within 20 business days after contract award. The PMP is evolutionary documents and shall be reviewed monthly and weekly.

The Contractor shall provide sufficient detail in its Project Plans to demonstrate that the all sections of the work are appropriately resourced, thoroughly planned, and proceeding according to requirements and documented. Such schedule(s) shall be consistent with the FCC standard Work Breakdown Structures

(WBS) and Contractor’s PMP which includes the documentation produced as part of the project. Upon submission and approval by FCC, the schedule(s) shall be become the baseline project plan. Project plan updates shall be made frequently, or as designated by the COR. Changes to scheduled baseline milestones shall be documented by the Contractor and formally authorized by the FCC.

5.1.3. Conduct Contract Management Reviews (CMR) and Prepare CMR Reports

The Contractor Program Manager shall conduct a monthly Contract Management Review (CMR) and shall develop and provide a CMR report along with a Contract Funds Attachment to the FCC. The

Contractor shall prepare and submit an agenda for FCC review at least five (5) business days prior to the

CMR.

The purpose of the CMRs shall be for the FCC to review Contractor performance and the contract status.

CMR Report

The report shall include, at a minimum, the following:

1) Contract Status Information including:

Contract cost information.

Financial reporting (See Contract Funds Attachment below)

Quality surveillance

Personnel gains, losses and status.

Performance measures/metrics (Calculated through agreed upon performance metrics, customer surveys and evaluations of performance).

Any changes to the Project Management Plan.

2) Project Management Information including:

Planned activities during reporting period (Include: On-going activities, new activities, activities completed; progress to date on all above mentioned activities). Start each section with a brief description of the activity.

Schedule (Shows major activities, milestones, and deliverables; planned and actual start and completion dates for each).

Issues/problems and corrective actions taken. Also include issues or concerns and proposed resolutions to address them.

Government actions required – If an activity is dependent upon government action, it must be included.

Action Items – All items that require action by either the contractor or the government as identified during the meeting must be included

Priorities – Any priorities concerning the project plan, action items or any other items discussed during the meeting must be included.

Risk Management.- All activities performed by the contractor to reduce project risk must be identified.

Contract Funds Attachment For other than fixed price CLINS, as an attachment to the invoice (Contract Funds Attachment), the

Contractor shall provide a monthly detailed breakdown of expenditures on the contract. At a minimum, this shall include a breakdown of labor hours (by labor category) used by the Contractor and any subcontractors, associated labor costs, material costs and any other direct costs incurred. The report shall include both reporting period and cumulative expenditures, presented in both tabular and graphical forms.

5.1.4. Convene Weekly Project Management Meetings

The Contractor shall convene a weekly project management meeting with the FCC COR and other key

Government stakeholders. The purpose of this meeting is to ensure all stakeholders are informed of the project’s weekly activities and status report, provide opportunities to identify other activities, establish priorities, and coordinate resolution of identified problems or opportunities. The Contractor shall report all work and resource assignments of projects, activities, and deliverables on a continuing basis. The

Contractor shall provide the following weekly status documentation for these meetings:

Updates to the Project Plan

Updated Risk Report for all open risks. The Contractor shall use common Project

Management Institute (PMI) risk management practices and tools, as agreed to with the FCC

COR.

Updated Issues Report for all open issues. The Contractor is obligated to escalate issues for resolution before impact on cost or schedule baseline.

Updated Action Item Report for all open action items.

Updated PCR Report for current release.

Meeting minutes.

5.1.5. Cyber Security

The Contractor shall implement all required safeguards to ensure compliance with applicable law and agency requirements (e.g., FISMA, confidentiality regulations for rulemaking/deliberative materials, HIPAA, CPNI, etc.) for security and management of all FCC IT computing systems and related IT infrastructure environments. See Attachment B. Cyber Security shall be considered in all supplies and services provided by the Contractor. Contractor shall work with the FCC's Chief Information Security

Officer on developing whatever methodologies and procedures for security are necessary and validate

IT systems, infrastructure, and data as required and provide security documentation.

Contractor shall monitor the work performed by all Contractor personnel to ensure that they comply with and have incorporated all appropriate Cyber Security requirements and policies as set forth by the

FCC. Contractor shall ensure that Cyber Security management processes are incorporated in system or service design, build and development, testing, and implementation.

5.1.6. Transition-Out/Termination Strategy Plan

The Contractor shall submit a Transition-Out/Termination Strategy Plan that provides the approach for a transition from the software provided by the Contractor and, if applicable, the hosted services to new software or hosted services and/or close of the contract. The plan shall provide an impact statement outlining the potential impact of the transition to the FCC. The plan shall describe any software and associated documentation needed to maintain the product. Upon approval and implementation of the plan, Contractor shall submit weekly status reports.

5.1.7. Prepare and Submit a Final Contract Report

The Contractor shall submit a Final Contract Report upon completion of all components of each item in the statement of work. The Contractor shall maintain up-to-date records of all work results, developments, and accomplishments for the preparation of the report. The Final Contract Report shall include descriptions of all documentation, processes, techniques, models, studies, code and procedures developed under this contract.

5.2 Software and Maintenance

Contractor shall provide a license(s) for auction bidding software capable of meeting the requirements in

SOW §§ 3.1, 3.1.1, and 3.2 (if applicable), and 3.1.2 (to the extent proposed) and shall provide maintenance and software updates and enhancements covering the software.

Technical support and maintenance shall be provided for each method of software delivery as identified in Section 5.4. The software must be capable of interpreting auction business rules. Information on the

Commission’s auction process can be located at http://wireless.fcc.gov/auctions/default.htm?job=about_auctions.

5.3 Technical Support

5.3.1. Technical Support

The Contractor shall provide all tiers of help desk support, from basic end-user application support to resolution of complex software issues. Technical support shall also include support for maintenance activities such as software updates and enhancements provided in Section 5.2. At a minimum, Contractor shall supply support to both the users at the FCC (Internal) and to the external users who are using the software to bid in an auction (External). At a minimum, support shall include the following:

Internal Support

Telephone and email help desk support from Monday to Friday 7:00 a.m. to 9:00 p.m. (EST) on all business days that are non-federal holidays. Support shall be available and staffed to handle call volume in accordance with proposed performance metrics.

Ability to support requests for additional support outside of normal hours with advanced notice from the FCC. After hours, weekend and holiday support are planned in advance and mutually agreed upon.

External Support - External support shall be provided during an auction when external users are bidding.

Telephone help desk support shall be provided for technical issues from 8:00 a.m. to 6:00 p.m.

during the course of an auction as requested by the FCC. Support shall be available and staffed to handle call volume in accordance with mutually agreed upon performance metrics.

External support shall be planned in advance and mutually agreed upon.

The Contractor shall provide documentation of the technical support to be provided.

5.4. Software Delivery Method

Contractor shall deliver the software either (1) as a download from the Contractor’s site and/or CDs or (2) through the Contractor’s hosting environment, as elected in its proposal in response to the solicitation resulting in this contract.

The following applies only if the Contractor is delivering the software through a hosted service.

5.4.1 Hosting and Application Management

If the Contractor is providing software through a hosted service, it shall include the following:

http://wireless.fcc.gov/auctions/default.htm?job=about_auctions

Technology Hosting & Administration – Provide the information technology (IT) infrastructure (facilities and infrastructure software) that serve as the foundation for running the software application and the services to maintain that infrastructure.

Application Management Services – Provide the software and services for running and managing access to the software and the feeder systems provide data to the FCC.

The Contractor shall provide all necessary services to support and host the software solution. This includes both infrastructure hosting and application functional and technical support.

The Contractor shall perform all operations and maintenance (O&M) activities for the new system. The

Contractor shall provide ongoing support for the operations, maintenance and security of the deployed system infrastructure, which includes, but is not limited to:

Facilities

Network operations

System administration

Host-based intrusion detection

Network-based intrusion detection

Backup and recovery

Monitoring of operating system, database, applications and network

Support for installation of application patches and service packs

Physical database support and management

User IDs and passwords resets

System software patches and upgrades

Hardware life cycle replacement

Maintaining FSIO certification

The Contractor shall provide ongoing support for the operations, maintenance, and security of the deployed application, which includes, but is not limited to:

Application break-fix

Patch research, testing, and application

Application database support and management

Instance management/change control

Interface support

Functional support

Application end-user security

Batch job management

Application and database performance tuning and capacity planning

The Contractor shall ensure that a proper Continuity of Operations plan is in place. This includes, but is not limited to, maintaining a mirrored image of the FCC’s system at a specified disaster recovery site.

The Contractor shall provide all software, hardware, and infrastructure needed to host the proposed system. The system shall be available to the FCC 24 x 7.

The Contractor shall provide documentation of the hosting and application management services.

5.5 Implementation and Integration – Standard Auction Design

Initial Configuration/Modification and Training

Software meeting the minimum requirements will require configuration, and likely will require some minor modification to address FCC’s specific auction bidding processes and discrete preferences for the conduct of auctions. The Contractor shall provide all necessary services for the successful integration of the software, including the configuration and/or minor modification of the Contractor’s software to support the FCC’s specific auction bidding processes. The Contractor shall provide training to support the Commission’s implementation of the software. The activities are further described below. The

Project Plan shall be based on an Agile Development philosophy with regular releases in 30 day cycles.

The Release Roadmap describes the anticipated date and feature scope of each release.

Any services required to modify the software which require development and implementation and documentation shall conform to the FCC’s software development lifecycle (system analysis, design, development, testing, operational support and maintenance).

5.5.1 Implementation Approach

The implementation approach provides a description of how the implementation strategy shall be executed, as well as the timeline associated with the implementation schedule. At a minimum, the new system shall be configured and/or modified for the Commission’s current bidding formats which include:

simultaneous multiple round (SMR) auctions with the option of allowing for limited package bidding (such as hierarchical package bidding – nesting items with linked prices), single-round sealed bid auction, either ascending or descending simple clock auction

5.5.2 Requirements Analysis, Definition and Design

The Contractor shall document an initial set of functional and technical requirements specific to the new system in order to configure and/or modify the system to meet the Commission’s software requirements.

At a minimum, the Contractor shall gather requirements in the following areas:

Auction formats

Data formats (e.g., chart of accounts)

User categories (e.g., roles, responsibilities and security profiles)

Operational standards and procedures

FCC security standards

Reports

5.5.3Configuration of Software and Interface Development

The Contractor shall provide multiple configured environments to include, at a minimum, development, test, training, production and disaster recovery environments. The Contractor shall collect, document and configure the functional and non-functional requirements for the releases of software. The Contractor shall work with the COR to determine the configuration requirements.

5.5.4 Testing

The system configuration and interfaces shall be subject to FCC approval. This approval shall be obtained through user acceptance testing by FCC stakeholders. The Contractor shall complete the user acceptance testing within the timeframe and acceptance metrics proposed by the Contractor and accepted by the Government.

5.5.5 Reports

The Contractor shall work with the COR to develop reports and a report library as identified by the COR, including, but not limited to the subject matter areas specified below. Such reports and queries shall be required to be accessible to the COR by some sort of report mechanism in the software and/or web-based and be available to be submitted as needed to management.

5.5.6 Ad Hoc Reporting Capability and Queries

The Contractor shall create an Ad Hoc Reporting feature in the system. Government employees and authorized FCC contractor employees should…