EPIC_ConOps_v1_1.pdf

Concept of Operations

U.S Government Printing Office

Electronic Procurement Information Control (EPIC)

EPIC Version 1.1

September 25, 2012

Date Sponsored By Title

Date Approved By Title

EPIC Concept of Operations (CONOPS) v1.1 EPIC Team

September 25, 2012 Page 2 of 83 EPIC ConOps v1.1 - Draft.doc United States Government Printing Office

Revision Information

Date Version/Filename/Link Author Description of revision 8/6/10 PPFW CONOPS v1.0.doc PPFW

Team Subject matter expert developed draft of the Print Procurement Future Workflow Concept of Operations

8/30/12 EPIC_ConOps_v1.1.doc EPIC Team Updating to reflect changes in project name and business unit name. Removed references to MWS, Order Management System, and ADMS. Updated strategic goals.

9/25/12 EPIC_ConOps_v1.1.doc EPIC Team Minor updates.

September 25, 2012 Page 3 of 83 EPIC ConOps v1.1 - Draft.doc

Executive Summary

Since World War II the United States Government Printing Office (GPO) has satisfied the majority of the Government’s printing needs through print procurement in its Customer Services business unit. Customer Services’ experienced and specialized contracting professionals acquire products and services from the private sector through various procurement vehicles tailored to the specific needs of customers. It competitively buys products and services from more than 2,000 private sector firms in all 50 states every year. It is one of the Government’s most successful procurement programs and helps assure the most cost-effective use of the taxpayers’ printing dollar.

Over time, print procurement processes have evolved to include the use of manual processes (e.g., paper forms) coupled with an existing legacy Mainframe system and client-server applications to accept orders, create specifications, generate bid and award documentation, and otherwise manage this comprehensive print procurement activity.

These processes, while useful, have a tendency to introduce inefficiencies (e.g. multiple keying of same data) and errors throughout an order’s lifecycle. Also, pertinent information about an order may be unavailable to other processes within the print procurement workflow which further perpetuates errors.

Over time, customers have requested more transparency into GPO’s procurement process. For example, there is no single source or system for GPO or its customers to submit, track, and manage order information. Also, existing systems have limited search functionality for queries to specific parameters (e.g., jacket number, program and Print Order, billing address code (BAC), requisition number). Providing this transparency will help to improve customer satisfaction and communications with customers, contractors, and other stakeholders.

GPO has made it a priority to modernize systems and processes in order to bring GPO into the 21st century and support Continuity of Operations (COOP). GPO’s current print procurement systems have been developed as needed to support a wide range of business unit needs. Unfortunately, these systems are often stove-piped, provide redundant functionality, lack desired capabilities, and are operating on outdated infrastructure. In order to meet GPO’s goals, a system is needed to provide better transparency and print procurement services to GPO customers and provide standardized processes which allow GPO employees to successfully perform operations. It must also leverage IT best practices and integrate with GPO enterprise systems (both planned and in production).

The goal of the EPIC program is to create an integrated approach to automating and streamlining the end-to-end print procurement process from online order submission to vendor payment and customer billing. EPIC will be composed of the necessary technology and business practices to enable GPO to replace or integrate all existing discrete applications, utilities, and processes currently used in support of the United States Government printing and publishing needs. EPIC will allow for greater transparency for both GPO staff, customers, and vendors. It will consolidate print procurement operations within a single, modular system, improve work processes, and automate specific functions where applicable. EPIC will provide a tool(s) for the centralization and management of the print procurement nominal process and

September 25, 2012 Page 4 of 83 EPIC ConOps v1.1 - Draft.doc management functions. Users of the system will include Congressional and Federal agency customers, vendors, contractors, Customer Services, and other GPO business units. The resulting system should be scalable, provide real-time access for users, be accessible from any location, and provide access to historical data.

EPIC will be aligned with GPO’s Strategic Plan for FY 2012-2016 and the agency’s Enterprise Architecture (EA). It will also integrate with evolving enterprise-wide systems including GPO’s Business Information System (GBIS), Federal Digital System (FDsys), and other future enterprise systems. These integrations will automate many content lifecycle processes, back office functions, and the tracking and delivery of publishing products to customer Federal agencies. The system will also replace or expand upon legacy print procurement IT systems including Mainframe applications (PICS, PCCS, ABLS) as well as stand alone applications including Microsoft Office, GPOProc, Contractor Connection, COMSTAT Order Tracking System, Quick Quote, and PICSWeb.

In order to meet GPO’s objectives relating to automating and streamlining the end-to-end print procurement process, implementation of EPIC may have wide ranging impacts on GPO business units, internal and external customers, and the GPO vendor community. It is anticipated that GPO will have to implement changes to the way it conducts business in order to achieve the agency’s mission, goals, and objectives. The organizational impacts will primarily be driven by the standardization of business processes for GPO offices, its customers, and the contractor community.

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Table of Contents

1.0 Scope

1.1. Identification

1.2. Document Overview

1.3. System, Project or Program Overview

2.0 Referenced Documents

2.1. Standards, Guidelines, Laws and Regulations

2.2. GPO Documentation

3.0 Current System or Situation

3.1. Background, Objectives, and Scope

3.1.1. Customer Services Business Unit

Figure 1: Customer Services Organization Chart

3.1.2. Print Procurement Overview

3.1.2.1. Contract Vehicles

3.1.2.2. GPO Forms

3.1.2.3. Identifiers

3.1.2.4. Print Procurement IT Systems

Figure 2: Print Procurement IT Systems

3.1.3. Print Procurement Nominal Process

Figure 3: Print Procurement Nominal Process

3.1.4. Print Procurement Management Functions

Figure 4: Print Procurement Management Functions

3.2. Operational Policies and Constraints

3.3. Description of the Current System or Situation

Figure 5: Simple Current State Model

3.3.1. Print Procurement Workflow Processes

3.3.1.1. Typical Workflow for a SPA Order (Federal Agency Placed)

3.3.1.2. Typical Workflow for a SPA Order (GPO Placed)

3.3.1.3. Typical Workflow for GPO Express Order

3.3.1.4. Typical Workflow for a General Usage Term Contract Order

3.3.1.5. Typical Workflow for a Direct Deal Term Contract Print Order

3.3.1.6. Typical Workflow for Small Purchase Order

3.3.1.7. Typical Workflow for a One Time Bid Order

3.3.2. Cost of System Operations

3.4. Modes of Operation for the Current System or Situation

3.5. User Classes and Other Involved Personnel

3.5.1. Primary User Classes

3.6. Support Environment

4.0 Justification for and Nature of Changes

4.1. Justification for Changes

4.2. Justification For and Nature of Changes

4.2.1. Description of Desired Changes

4.2.1.1. Capability Changes

4.2.1.2. System Processing Changes

4.2.1.3. Interface Changes

4.2.1.4. Personnel Changes

4.2.1.5. Operational Changes

4.2.2. Proposed System Attributes

4.2.3. Proposed System Capabilities

4.2.4. Proposed System Interfaces

Figure 6: To-Be System Interfaces

4.3. Priorities Among Changes

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4.4. Changes Considered but Not Included

4.5. Assumptions and Constraints

Table 1 – EPIC Assumptions and Constraints

5.0 Concepts for the Proposed System

5.1. Background, Objectives, and Scope

5.1.1. Business Objectives

5.1.2. Scope

5.2. Operational Policies and Constraints

5.3. Description of the Proposed System

5.3.1. Proposed System: Print Procurement Nominal Process Functions

5.3.2. Proposed System: Print Procurement Management Functions

5.3.3. Proposed System: General System Components

5.4. Modes of Operation

5.5. User Classes and other Involved Personnel

5.5.1 Capabilities

5.5.2 Profiles of User Classes

5.5.3 Interactions Among User Classes

Figure 7: To-Be Print Procurement Nominal Process Functions and User Classes Figure 8: To-Be Print Procurement Management Functions and User Classes Figure 9: To-Be Print Procurement General System Functions and User Classes

5.5.4 Other Involved Personnel

5.6. Support Environment

5.6.1. System Environment

6.0 Operational Scenarios

Figure 10: To-Be Order Workflow Process

6.1. Scenario #1: Submission of Request by Order Originator

6.2. Scenario #2: Placement of Print Order on an Established Term Contract

6.3. Scenario #3: Placement of a SPA Work Order

6.4. Scenario #4: Placement of a GPO Express Order

6.5. Scenario #5: Placement of a Print Order on a General Usage Term Contract

6.6. Scenario #6: Placement of a One Time or Small Purchase Order

6.7. Scenario #7: New Contract Vehicle Establishment

6.8. Scenario #8: SPA or GPO Express Contract Registration by an Order Originator

6.9. Scenario #9: Registration by a Service Vendor

7.0 Summary of Impacts

7.1. Operational Impacts

7.2. Organizational Impacts

7.3. Impacts during Development

8.0 Analysis of the Proposed System

8.1. Summary of Improvements

8.2. Disadvantages and Limitations

8.3. Alternatives and Trade-Offs Considered

9.0 Glossary of Terms

10.0 Acronyms and Abbreviations

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1.0 Scope

This document describes the United States Government Printing Office’s (GPO) desired characteristics of the EPIC program from the user’s viewpoint. The sections below identify the proposed system, describe the approach used to generate the document, provide an overview of the document, and provide a brief overview of the system.

1.1. Identification

The proposed EPIC will encompass all of the associated equipment, facilities, material, software, hardware, policy and technical documentation, services, and personnel required for its operations and support. The document has been developed by a cross functional team and will be turned over to GPO’s Information Technology and Systems (IT&S) Configuration Management (CM) group for document control.

1.2. Document Overview

The EPIC Concept of Operations (CONOPS) serves as a vehicle to communicate the high-level system characteristics of the envisioned system to users, developers, and other stakeholders. The CONOPS will be used to generate high level functional requirements that will be captured in the EPIC Requirements Document (RD). The EPIC CONOPS should be reviewed together with the EPIC RD, once it is completed, as the RD will contain additional information. The CONOPS contains the following sections:

Section 1, Scope, describes the approach used to develop this document.

Section 2, Referenced Documents, lists the documentation that was used as a basis to create the document.

Section 3, Current System or Situation, describes existing GPO systems, operations, environment, and users.

Section 4, Justification for and Nature of Changes, discusses the rationale for EPIC and the nature of the proposed changes.

Section 5, Concepts for the Proposed System, discusses design and operational concepts.

Section 6, Operational Scenarios, describes examples of potential use of the system.

Section 7, Summary of Impacts, describes operational, organizational, and other outcomes that could be expected to occur in the development of the system.

Section 8, Analysis of the Proposed System, presents detailed system capabilities and operations.

Section 9, Glossary of Terms Section 10, Acronyms and Abbreviations

1.3. System, Project or Program Overview

EPIC will be composed of the necessary technology and business practices to enable GPO to replace or integrate all existing discrete applications, utilities, and processes currently used by GPO and its users to manage the print procurement program in support of the United States Government printing and publishing needs.

The system, where possible, will automate and streamline the end-to-end print

September 25, 2012 Page 8 of 83 EPIC ConOps v1.1 - Draft.doc procurement process including the addition of electronic order and content submission capabilities.

EPIC will be aligned with GPO’s Strategic Plan for FY2012-2016 and the agency’s Enterprise Architecture (EA). It will also integrate with evolving enterprise-wide systems including GPO’s Business Information System (GBIS), Federal Digital System (FDsys, http://www.gpo.gov/projects/fdsys.htm), and other future enterprise systems. These integrations will automate many content lifecycle processes, back office functions, and the tracking and delivery of publishing products to customer Federal agencies.

EPIC will, at a minimum, be capable of providing or leveraging a single user interface for submitting or capturing orders, managing contracts, sharing real-time information, and all other functions related to managing the end-to-end print procurement process.

Users of the system will include Congressional and Federal agency customers, vendors, contractors, Customer Services, and other GPO business units. The system will allow order business process information (BPI) and specifications to be archived, re-used as necessary to increase process efficiency, and maximize functional value.

Applications and content shall be accessible for all users including those with disabilities and follow best practices and regulations for accessibility (e.g. Section 508, W3C, etc.).

2.0 Referenced Documents

Standards, guidelines, and other documentation used to support the EPIC CONOPS are described in Sections 2.1 – 2.2. For all documentation, the latest published version (which may not be provided below) takes precedent.

2.1. Standards, Guidelines, Laws and Regulations

General Services Administration, Department of Defense, and the National Aeronautics and Space Administration. Federal Acquisition Regulation (FAR), Volume 1, Parts 1 –

51. March 2005. https://www.acquisition.gov/far/current/pdf/FAR.pdf

Government Paper Specifications Standards, No. 12, March 2011 http://www.gpo.gov/pdfs/customers/sfas/vol12/vol_12.pdf

Joint Committee on Printing U.S. Congress. Government Printing and Binding Regulations, S. Pub 101-9, No. 26, February 1990.

http://www.gpo.gov/pdfs/customers/sfas/jcpregs.pdf

Production and Procurement of Printing and Binding, Title 44 U.S. Code, Chapter 5 http://www.gpo.gov/fdsys/pkg/USCODE-2011-title44/pdf/USCODE-2011-title44-chap5.pdf

United States Government Accountability Office. Government Printing Office: Actions to Strengthen and Sustain GPO's Transformation. GAO-04-830, Washington, June 2004.

September 25, 2012 Page 9 of 83 EPIC ConOps v1.1 - Draft.doc http://www.gpo.gov/pdfs/congressional/GAOReport-Jun04.pdf

United States Government Printing Office. GPO Publication 805.33 - Materials Management Acquisition Regulation, Washington: U.S. Government Printing Office, 13 May 2003. http://www.gpo.gov/pdfs/vendors/acquisition/mmar.pdf

United States Government Printing Office. Print Procurement Regulation (PPR), Publication 305.3. Washington: U.S. Government Printing Office, February 2011.

http://www.gpo.gov/pdfs/vendors/sfas/ppr.pdf

2.2. GPO Documentation

United States Government Printing Office. Administrative Legacy Systems (Oracle GBIS) Concept of Operations Document. Washington: U.S. Government Printing Office, April 2004. http://www.main.gpo.gov/its/oracle/program/plans_objectives/program-concept%20of%20operations%20oracle_2004-04-06.doc

United States Government Printing Office. Agency Procedural Handbook, GPO Publication 305.1. Washington: U.S. Government Printing Office, June 1998. Available upon request

United States Government Printing Office. Strategic Plan for FY 2012-2016.

Washington: U.S. Government Printing Office, 2011.

http://www.gpo.gov/pdfs/about/2012-2016_StrategicPlan.pdf

United States Government Printing Office. Concept of Operations for the Future Digital System, v2.0. Washington: U.S. Government Printing Office, 16 May 2005.

http://www.gpo.gov/pdfs/fdsys-info/documents/FDsys_CONOPS_v2.0.pdf

United States Government Printing Office. Doing Business with GPO, Publication 1050.

Washington: U.S. Government Printing Office.

http://www.gpo.gov/pdfs/vendors/sfas/pub1050.pdf

United States Government Printing Office. GPO Contract Terms: Quality Assurance Through Attributes Program for Printing and Binding. Washington: U.S. Government Printing Office, August 2002. http://www.gpo.gov/pdfs/vendors/sfas/qatap.pdf

United States Government Printing Office. GPO Contract Terms: Solicitation Revisions, Supplemental Specifications and Contract Clauses. Washington: U.S. Government Printing Office, June 2001. http://www.gpo.gov/pdfs/vendors/sfas/terms.pdf

United States Government Printing Office. GPO Directive 825.33A - Information Technology Security Program Statement of Policy. Washington: U.S. Government Printing Office, 8 December 2007. Available upon request

United States Government Printing Office. GPO Publication 300.6 – The Guidelines, Best Practices for Submitting Electronic Design and Prepress Files. Washington: U.S.

Government Printing Office, July 2004.

http://www.gpo.gov/pdfs/customers/sfas/3006_10_2004.pdf

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United States Government Printing Office, Paper Catalogue. Washington: U.S.

Government Printing Office, September 2008.

http://www.gpo.gov/pdfs/customers/GPOPaperCatalogue0109.pdf

United States Government Printing Office, Print Procurement Department, Procurement Information and Control System (PICS) Operations Manual, December 1988. Available upon request

United States Government Printing Office. Requirements Document for the Future Digital System, v3.0. Washington: U.S. Government Printing Office, 18 October 2006.

http://www.gpo.gov/pdfs/fdsys-info/documents/FDsys_RD_v3.0.pdf

3.0 Current System or Situation

This section describes the background, objectives, and scope of the current situation at the GPO and the systems in use; operational policies or constraints; current environment; modes of operation; user classes and other involved personnel; and the support environment.

3.1. Background, Objectives, and Scope

Since 1861, GPO has been serving the printing, binding, and information dissemination needs of the Federal government. Title 44, U.S. Code, Chapter 5, Section 501, prescribes that “all printing, binding, and blank-book work for Congress, the Executive Office, the Judiciary, other than the Supreme Court of the United States, and every executive department, independent office or establishment of the Federal government, shall be done at the Government Printing Office”, except as deemed appropriate for certain classes of printing or exceptions which are approved on a case by case basis by the Joint Committee on Printing (JCP).

GPO assesses incoming orders to determine if the products are suitable for in-house production or procurement from external vendors. The vast majority of these “make versus buy” determinations result in work being sent to vendors in the private sector.

Approximately 80 percent of all customer orders are procured through Customer Services with the remainder of orders being produced in-house using the available capacity of the Plant Operations or other GPO business units.

The current strategic goals of Customer Services for FY 2012-2016 are:

1. Provide enhanced services and support for our customers

2. Leverage technology to enhance our procurement process and provide opportunities for our employees to develop

3. Expand Customer Services products and services

4. Develop the talents of our workforce to become an employer of choice

The Customer Services business unit has evolved as needed to adapt to customer’s changing requirements. However, the current environment involves a high degree of manual processing and requires the use of many disparate systems to maintain information related to requests, specification, order, and billing information. Data entry and storage are restricted by the use of an antiquated Mainframe system. In addition, data entry is repeated throughout the order process. Finally, many GPO IT systems

September 25, 2012 Page 11 of 83 EPIC ConOps v1.1 - Draft.doc including those used to procure printing are stove-piped and require efforts to verify and validate conflicting data contained within various sources.

3.1.1. Customer Services Business Unit

Figure 1 depicts the organization chart for GPO’s Customer Services business unit.

Figure 1: Customer Services Organization Chart

The print procurement process is managed by the following Customer Services divisions:

Central Operations:

o Central Office Agency Strategic Team (AST): Comprised of employees with expertise in printing technology, printing regulations, contract law, and customer service. Each Central Office AST is located in Washington, DC and handles a group of approximately 75 assigned Federal agency customers by facilitating their particular requirements for electronic and print-related products and services from start to finish. Each AST works closely with customer to form a consultative relationship and to facilitate the most advantageous use of GPO-wide resources and capabilities.

o Major Acquisitions: Manages complex, formal, large-scale, negotiated procurements usually awarded on a “best value” basis. Provides specialized customer service, support, and oversight on crucial or highly visible programs. This area also provides advice and guidance to the ASTs who are conducting negotiated procurements or who are attempting to provide creative solutions to unique customer requirements. Major Acquisitions develops and writes new Term Contracts originating out of the Central Office.

Regional Operations o Regional Office AST (RO): ROs use the same tools and resources as Central Office ASTs to provide a full range of procurement services. ROs do not serve an assigned set of customers, but instead serve Federal government-wide customers based on their geographic location outside of the Washington, DC Metropolitan area (http://www.gpo.gov/customers/offices.htm).

Each AST reports to a Director, located in the Central Office, who provides oversight and coordination, assists with making complex responsibility determinations, and consults with customer Federal agencies. Oversight is also provided by a Contract Review Board (CRB) who ensures that select

September 25, 2012 Page 12 of 83 EPIC ConOps v1.1 - Draft.doc procurement actions are made in accordance with applicable Materials Management Acquisitions Regulations (MMAR), Printing Procurement Regulations (PPR), and other GPO rules and guidelines. Both internal and independent audits are conducted regularly to ensure that all applicable procurement regulations are followed.

Each AST is staffed with Contracting Officers (CO) who has the authority to spend Government funds. It is the CO’s responsibility to ensure that appropriate and timely award decisions are made related to the outsourcing of printing contracts.

Support Operations: Provides various procurement support functions through a network of individual office groups located in the Central Office.

Support Operations are shared by all ASTs; however, these services are utilized to a somewhat lesser degree by the ROs. Support Operation divisions include:

o Shared Support:

Communications and Status Center (COMSTAT): Formally known as the Requisition Section. They manage all incoming order requests along with Government Furnished Material (GFM), and route them to the appropriate GPO business unit for processing. They also provide order information to the GPO’s Library Services and Content Management (LSCM) business unit for Federal Depository Library Program (FDLP) rider determination and GPO’s Publication and Information Sales (P&IS) for GPO Sales Program rider determination. They are responsible for creating distribution lists for orders with riders.

COMSTAT also provides order information to Plant Operations for order “make versus buy” decisions, and assigns jacket numbers to all in-house or procured orders.

Bid Section: Manages data on vendors through the web-based Contractor Connection application. They are also responsible for assigning contractor codes, publicly posting of hard copy solicitations for all contract vehicles, administration of bid openings dates, conducting public bid openings, and ensuring the integrity of the bid process.

Compliance Section: Monitors and reports contractor’s compliance with the schedule and product requirements of contracts by ensuring that the responsibilities of contractors are met; maintains database through PICS of contractor’s compliance;

determines schedule extensions due to Government delays;

verifies contractors’ shipping and delivery information of proofs and final product; and informs Contracting Officers of non-compliant contractors.

o Quality Control for Procured Printing (QCPP): Conducts print quality inspections, pre-flight electronic media, evaluate samples to assign quality levels, conduct pre-award surveys, evaluate Quality Assurance Random Copies (QARC) for compliance to specifications, and informs Contracting Officers of deficient contractor performance.

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Other Customer Services Divisions:

o Office of Development and Program Support (ODPS): Provides strategic and policy direction for the implementation and management of technology for Customer Services. Also acts as liaison with IT&S and maintains the Procurement Information Control System Web (PICSWEB) application for customer Federal agencies.

o Program and Operations Management Office (POMO): Responsible for planning, integration, coordination, and monitoring of GPO programs and administrative activities for Customer Services. Also maintains select customer Federal agency outreach and communication processes by providing circular letters and other issuances to printing and publishing officials of the Federal government.

Customer Services staff work collaboratively with other GPO business units to serve as a front-end resource to Federal agency customers and guides them in the selection of various products, services, and solutions that are available from GPO.

Additional details on other GPO business units and stakeholders are contained in Section 3.5.

3.1.2. Print Procurement Overview

According to the PPR, GPO is required to maximize competition in the bidding process.

Customer Services’ print procurement program is one of the Government’s most successful procurement programs, assuring the most cost-effective use of the taxpayer’s printing dollars. The following sections provide an overview of the contract vehicles, forms, and identifiers that various stakeholders use during the procurement process.

3.1.2.1. Contract Vehicles

The GPO has a wide range of procurement vehicles. The following list explains the various contracting methods.

o Negotiated Procurements: Compared to formal advertising, negotiation is a more flexible procedure that includes the receipt of proposals from offerors, permits bargaining, and usually affords offerors an opportunity to revise their offers before award of a contract.

o Small Purchases GPO written and placed contracts for unique (One Time) orders.

Purchases have a limit of $100,000 per order.

Small Purchase specifications are posted at GPO as hard copy and are electronically accessible on the Internet.

Vendors submit an offer called a quote using an online electronic submission.

Procurement process requires up to 3 days.

Becomes a binding contract when GPO issues a signed Purchase

Order and the contractor has begun performance.

o Competitive Negotiations

GPO issues a request for proposal (RFP) written in uniform contract format.

Vendor submits a proposal.

Source selection plan specifies the award determination that is applied (usually on best value).

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Examples of competitive negotiations include:

• GPO Express (GPO RFP 950) o Allows Federal agencies direct access to convenience printing services at commercial locations worldwide. Using the GPO Express Card, Federal agencies receive significant discounts and benefits on their printing and finishing needs at any store location provided by the contractor.

• GPO 951-M Agreement:

o A GPO contracting agreement that gives qualified contractors the opportunity to provide consulting services and/or management of Federal agency printing facilities. Customers access services under the umbrella contracting agreement through the establishment of individual Task Orders.

o Non-Competitive Procurements: GPO has authority to negotiate the purchase of items without competition when only one source of supply is available.

Justification is supplied (i.e. patent, copyright, or sole source for manufacturing).

Price and schedule are negotiated with the single source.

Proposed purchase is approved by GPO General Counsel and high level GPO procurement official prior to issuing the Purchase Order.

Formal Advertising Procurements: Utilizes a formal bid process using sealed bids with public bid openings. Becomes a binding contract when GPO issues a signed Purchase Order.

o One Time Bids

GPO written and placed contracts for unique (One Time) orders.

There is no dollar limit.

Specifications are posted at GPO as hard copy and on the internet

(gpo.gov, fedbizops.gov).

Procurement process requires 3 or more days.

Vendor submits a bid.

o Term Contracts: These are GPO written, procured and administered contracts when repetitive orders are anticipated for a product or service over a period of time. Contracts may be annual or multi-year. Each contract is supplemented by individual Print Orders. Depending on the requirements, award can be made to a single contractor (single award) or multiple contractors (multiple award).

Direct Deal Term Contracts:

• Federal agency places orders directly with contractors for recurring products or services.

• GPO receives detailed schedule of prices from contractors and certifies responsive/responsible contractors.

• GPO may have the option after one year to extend the contract for up to four additional years.

• Specifications are posted at GPO as hard copy and on the internet (gpo.gov, fedbizops.gov).

General Usage Term Contracts:

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• GPO receives detailed schedule of prices from contractors and in some cases certifies multiple responsive/ responsible contractors.

• GPO places orders with contractors for commonly used customer Federal agency products (such as periodicals or forms).

• Specifications are posted at GPO as hard copy and on the internet (gpo.gov, fedbizops.gov).

Simplified Purchase Agreement (SPA) o Agreements are established between GPO and individual vendors.

o GPO certifies contractors for inclusion in the SPA program.

o GPO notifies customer Federal agencies of new participants and contractors of new authorized agency personnel.

o GPO provides training to authorized Federal agencies.

o Orders may be awarded by GPO or the customer Federal agency.

o Individual Work Orders not to exceed $10,000 for originating office copies.

o Becomes a binding contract when the contractor begins substantial performance on a Work Order.

3.1.2.2. GPO Forms

Customer Services utilizes a variety of forms to manage and record information throughout the print procurement process. Historically, GPO has used dozens of different forms for specific components and various versions of each form are still in use.

Some forms are provided online while others are provided directly (in hard copy or as a Portable Document Format (PDF) to end-users. The forms listed below are used most often during the nominal print procurement process.

Order Forms o Standard Form 1 (SF-1), Request for Printing and Binding: For submission of printing and binding requirements from Federal agencies.

http://www.gpo.gov/pdfs/customers/sfas/sf1.pdf o GPO Form 2511, Term Contracts Print Order: Authorizes work to be performed on a Term Contract.

http://www.gpo.gov/pdfs/customers/sfas/2511.pdf o GPO Form 4044, SPA Work Order: For submission of printing and binding services from Federal agencies using the SPA.

http://www.gpo.gov/pdfs/customers/sfas/Form4044.pdf o GPO Form 2669, Purchase Order Form: Serves as the formal award document.

Other GPO Forms o GPO Form 400 – http://www.gpo.gov/pdfs/customers/GPOForm400.pdf o GPO Form 711, Receipt – U.S. GPO: Acknowledges receipt of GFM.

o GPO Form 712, Certificate of Conformance: Certifies contractor mailing and provides billing information.

o GPO Form 714, Record of Visit/Conference/Telephone Call: Maintains a record of significant oral conversations.

o GPO Form 892, Proof Label: Identifies a package containing proofs.

o GPO Form 907, Non-Compliance/Change Report: Reports contract deviations or changes in contracts.

http://www.gpo.gov/pdfs/customers/sfas/907.pdf

September 25, 2012 Page 16 of 83 EPIC ConOps v1.1 - Draft.doc o GPO Form 910, Bid Form: Provides format for submission of bids on all GPO contracts except Small Purchases.

http://www.gpo.gov/pdfs/vendors/sfas/bids910.pdf o GPO Form 915, GPO Modification Form: Used to make revisions to an existing contract.

o GPO Form 917, “Blue Box” Selection Certificate: Instructs contractors to follow sample selection plan.

o GPO Form 952, Disk Information Form: outlines file creation specifications contained on electronic media that is submitted with an order. http://www.gpo.gov/pdfs/customers/sfas/952.pdf o GPO Form 1815, Notice of Quality Defects: Documents quality defects discovered at destination.

http://www.gpo.gov/pdfs/customers/sfas/1815.pdf o GPO Form 2686, Certificate of Selection of Random Copies: Used by a contractor to submit QARCs.

o GPO Form 2692, Acknowledgement Card: Determination of delivery status records.

o GPO Form 2693, Additional Shipping Instructions: Outlines FDLP and Sales Program distribution list instructions and additional information (e.g.

stock number, International Standard Book Number (ISBN).

o GPO Form 3001, GPO Express participation request: Registration form for Federal agencies to participate in the GPO Express program.

http://www.gpo.gov/pdfs/customers/3001-FY10.pdf o GPO Form 3868, Notification of Intent to Publish: Alerts LSCM of publications to be printed.

http://www.gpo.gov/pdfs/customers/sfas/3868.pdf o GPO Form 4045, Deposit Account (Printing and Binding): Used to establish or replenish funds for deposit accounts.

http://www.gpo.gov/pdfs/customers/sfas/DepositAccountForm.pdf o GPO Form 4046, Billing Address Code (BAC) Request: Used to establish a BAC. http://www.gpo.gov/pdfs/customers/sfas/BAC_RequestForm.pdf

3.1.2.3. Identifiers

GPO and Federal agencies utilize several different number identifiers throughout the print procurement process. Each is an important component to identify track orders throughout the procurement and billing lifecycle. Additionally, the structure of the identifiers are programmed into legacy applications and are used to establish the validity of an order before critical operations may occur (e.g. billing). The critical identifiers are as follows:

Requisition Number (e.g. 0-12345): This number is used by Federal agencies to identify orders they submit to GPO. Each Federal agency establishes its own numbering system and usually assigns requisition numbers to orders sequentially. The base requisition number must start with one digit indicating the fiscal year (FY) (e.g. 9 is for FY 2009) followed by a hyphen and five additional digits. The requisition number can be expanded with up to 12 additional alphanumerical characters. If an order is submitted and subsequently canceled, that requisition number cannot be used again.

Jacket Numbers (e.g. 123-456): Jacket numbers are the order identifiers assigned by GPO. Each FY a range of numbers is reserved for Term Contracts, Small Purchase, and One Time contracts depending on location.

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Blue jackets are used to identify orders that require work to be performed by Creative and Digital Media Services only. Red jackets are used to identify Customer Services orders. Black jackets are used to identify Plant Operations orders. The jacket number is comprised of six digits. All jackets can be classified as either “single use” or “open.”

o Single use jackets: These numbers are assigned to One Time procurements, Small Purchases, and to orders converted to a general usage Term Contract or SPA. They remain active for the duration of the contract and are then closed. This also includes strapped jackets which includes the ability to combine orders with similar specifications.

o Open jackets: Each requisitioning Federal agency which has been given authority to place multiple Print Orders/Work Orders under a Term Contract or SPA will be assigned an open jacket for that contract. Open jackets remain active for one FY.

Program (e.g. 012-S), SPA (e.g. 012-M), Print Order (e.g. 12345), and Work Order Numbers (e.g. 12345): Each Term Contract or agreement is identified by a program or SPA number. Additionally, each order placed under a program or SPA is assigned a Print Order number (for programs) or a Work Order number (for SPA). Appropriate identifiers must appear on all Print or Work Orders. Under Term Contracts where more than one Federal agency is eligible to place Print Orders (such as General Usage Term Contracts), GPO will assign a block of Print Order numbers to each Federal agency. These numbers must be used sequentially and cannot be repeated.

If a Print Order is issued and subsequently canceled, the Print Order number shall not be reused. Print Order numbers are five digits and program numbers are up four digits with a letter indicating whether it is a single (S) or multiple (M) award. Each AST has an assigned range of program numbers to use and distribute. In addition, each AST SPA has its own number.

Purchase Order (e.g. 88138, H6333): Award document that is issued once a contract is established. PO numbers are five numeric digits for Central Office ASTs and four digits proceed by a unique letter for each RO.

Contractor Code (e.g. 123-45678): This eight-digit GPO assigned number is issued to vendors upon completion of registration through Contractor Connection. The first 3-digits identify the state in which the contractor is located and the following 5-digits are a unique identifier number. If a contractor has multiple locations, all of those locations are provided the same 5-digit contractor code and only the 3-digit state code will change, unless there are multiple facilities in a state in which the ‘next number sequence’ is assigned.

Billing Address Code (BAC, e.g. 1234-OT): GPO assigns a six-alphanumeric BAC to all Federal agencies for billing purposes. This number identifies the Federal agency/bureau and the correct billing mailing address.

Federal agencies may use multiple BACs for location, type of payment (including credit card or IPAC accounts), or user.

Line of Accounting (LOA): A coding structure used by some customer Federal agencies that provide reference information to their original obligating document. LOA numbers are used to track allocated budgeted funds and verify that billings are properly charged. The LOA is a variable length, alpha-numeric field up to 108 characters. Multiple LOAs can be used per order.

Agency Locator Code (ALC): An 8-digit code assigned by the Department of Treasury for accounting and Federal agency identification purposes.

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When processing payment through the Intra-Governmental Payment and Collection System (IPAC), this number enables GPO to collect and receive funds from other Federal entities.

Treasury Account Symbol (TAS): This Department of Treasury assigned number identifies different account funds and enables Federal agencies to report on the status of various funding activities.

3.1.2.4. Print Procurement IT Systems

The current operating environment consists of the Mainframe, client-server applications, standalone applications and databases, and various file storage systems. These applications operate on a variety of disparate operating systems and versions (Mainframe, Linux, Windows), and hardware. Many systems are managed by IT&S while some smaller systems and applications are maintained by specific business units.

IT&S managed systems are maintained in GPO data centers. Approximately 350 internal GPO users utilize these applications to varying degrees. The current print procurement IT systems are depicted in Figure 2.

Figure 2: Print Procurement IT Systems

Print Procurement Management Systems o Customer Agency Request Log (CARL): An Access database used by GPO to capture information from Federal agency rider requests (via the SF-1) to generate a distribution list.

o Reporting Systems PICSWeb: Provides electronic web access to PICS to GPO’s customer Federal agencies. This service allows authorized GPO customers to track and obtain information on print procurement orders. In addition, it provides quality assurance information (including quality level, press sheet inspection schedules and results), contractor information, and estimating tools. Federal agencies with update authority also have the ability to electronically submit Direct Deal Print Orders (GPO Form 2511) and Non-Compliance reports (GPO Form 907).

SAS: Data mining tool for the Mainframe.

SERsynergy: Produces e-form reports from the Mainframe and other legacy applications.

Business Objects: Reporting application that is used for various functions throughout GPO. Customer Services uses this

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GBIS.

Print Procurement Nominal Process Systems o GPOProc: Used by ASTs for Small Purchase procurements to write contract specifications, generate bid abstracts and award documentation, post orders to Quick Quote, and other reporting functions. In addition, it can convert Small Purchase orders to general usage Term Contracts orders and generates award documentation for Term Contracts.

o Contractor Connection: GPO’s vendor registration system used to collect equipment capabilities, financial data, and other information. Also serves as a news source for vendors by linking to order opportunities in Quick Quote (Small Purchase), Bid Opportunities (for Term Contracts and One Time orders), and bid results.

Contractor Connection Manager: Subsystem of Contractor Connection used by Customer Services to provide vendor information including general information, contact information, financial data (taxpayer identification number (TIN)), and authorized bidders. This information is used in conjunction with compliance data (e.g. pre-award survey, performance history) to make order award determination.

Quick Quote: Subsystem of Contractor Connection used for Small Purchase orders. Quick Quote posts online Small Purchase opportunities (orders which do not exceed $100,000), accepts quote input by vendors, and posts award results. In order to submit a quotation electronically, vendors must be registered with Contractor Connection and have a GPO assigned contractor code.

o Microsoft Word, Excel, Access: Used for various procurement related purposes including specification writing, abstracting bid results, quality assurance functions, correspondence, modifications, and order tracking.

COMSTAT Order Tracking System: A Microsoft (MS) Access database and web interface used by COMSTAT to enter and track orders within GPO. This application is used to track the order through the rider and "make versus buy" determinations with other GPO business units. Each order record within this system contains a scanned image of the order, and automated queries track them throughout GPO. The web interface of this system provides tracking status, applies specific rules based on the delivery schedule, and alerts personnel of delays in processing.

o FileMaker: Used by QCPP to track administrative and billable time worked on all orders (primarily for tasks such as quality inspections). This system tracks time and attendance, generates forms, reports, and maintains reference documents.

o FoxPro (Congressional Open Requisition System): Manages distribution lists and billing histories for select GPO customers.

o Mainframe Automated Bid List System (ABLS): Generates random/rotating vendor lists for solicitations based upon order specification parameters.

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Printing Cost Calculating System (PCCS): Application used to estimate orders for select Term Contracts (books and pamphlets, cut forms, multi-part forms).

Procurement Information Control System (PICS): Customer Services’s main information and order tracking system. It provides order entry capability, order status, contractor performance history, quality records, and exception reports to ASTs. It also integrates with GPOProc to exchange specification details. PICS data can be accessed by external customers for estimates and order status utilizing PICSWeb. PICS integrates with PEPS and

GBIS.

Production Estimating and Planning System (PEPS): Provides production estimating, scheduling, and tracking functions as well as a centralized point for data collection and record keeping for in-house production.

Financial Systems o OnBase: Used by Office of Finance and Administration (OFA) to capture and maintain contractor invoices. Customer Services uses this system for inquiry purposes and resolution of billing issues.

o GBIS (Oracle Financials): Used by OFA for all billing and financial purposes. Customer Services uses this system to enter additional billing information (e.g. line of accounting) that will appear on GPO’s invoice to its Federal agency customers. Plant Operations uses the system for inventory management, cost accumulations, and cost rate data.

o Fax Gateway: Used by OFA and contractors to process and submit invoices for Customer Services orders. This system is comprised of RightFax and AnyDoc software and integrates with OnBase.

http://winapps.access.gpo.gov/fms/vouchers/barcode/instructions.html

3.1.3. Print Procurement Nominal Process

Figure 3 outlines the nominal print procurement processes for the Customer Services business unit. Each of these functions is described in detail below.

Figure 3: Print Procurement Nominal Process

Order and Content Submission GPO and its customers use a variety of order forms and processes to place orders using specific contract vehicles. The SF-1 is used to procure individual (Small Purchase and One Time) and general usage Term Contract orders for printing, binding and related services. SF-1’s are submitted by customer to COMSTAT or the RO of their choice via courier, small parcel carrier, facsimile, hand-delivery, FTP, or e-mail. Based on the needs of the Federal agency, GPO makes a determination on which contracting vehicle to use.

GPO Form 2511 is used by the customer to submit direct deal Term Contracts orders to the contractor. In some instances, the customer submits GPO Form 2511 for GPO placed general usage Term Contract orders. A copy of each GPO Form 2511 order

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GPO customers use the GPO Form 4044 to submit SPA orders to the contractor of their choice. They also submit a copy of the GPO Form 4044 to GPO for data entry into

PICS.

Each order contains GFM (e.g. negatives, electronic media, previous samples, camera copy, distribution lists, folding dummies, dies) that is needed by the contractor to produce the order. When electronic media is furnished, GPO Form 952 is used to outline file creation specifications. GPO receives the majority of GFM as electronic files;

however, almost all orders include material (i.e., laser visuals, folding or construction samples, etc.) which require physical handling.

Federal agencies should advise LSCM of all Government publications to be printed.

GPO requests that agencies submit GPO Form 3868 – Notification of Intent to Publish, which provides a synopsis of the publication’s contents, thirty days prior to an order form being sent to GPO. LSCM reviews this material and determines if it should be included in the FDLP for distribution to approximately 1200 Federal depository libraries throughout the United States. In addition, P&IS reviews the material to determine if the publication should be included in GPO’s Sales Program. If the publication is to be included, LSCM assigns an ISBN and bar code is generated and provided as GFM. If copies are needed for the FDLP or Sales Program, COMSTAT or the RO will add additional copies, called riders, to each order or Print Order.

GPO also provides the ability for external customers to ride orders. GPO advertises these opportunities and their anticipated cost through circular letters to an established subscriber’s list. If Federal agencies want to ride the order, they can submit an SF-1 to GPO by the specified date. COMSTAT will manage these external rider requests and create a distribution list using CARL.

Order Receipt All order and content submissions submitted to GPO’s Central Office are processed by COMSTAT where it is entered into the COMSTAT Order Tracking System.