SourcesSought_ERM-RMIC.FY26-30.HQ DHRA.FY25-1334_V.5.docx

NOTICE TYPE: Sources Sought CENTER OFFICE: Office of the Comptroller/Risk and Compliance (Appendix 1: DHRA Office of the Comptroller Organization Chart).

REQUIREMENT: Enterprise Risk Management Program Implementation Advisory and Support Service (Appendix 2: Applicable References)

1. The Defense Human Resources Activity is issuing this Sources Sought Notice as a means of conducting market research to identify parties having an interest in, and the resources for, providing services for a potential future Statement of Objectives (SOO) solicitation.

The Government is specifically performing market research to see if there are potential vendors who can provide advisory and support services for the DHRA Enterprise Risk Management Program’s continued transformation journey.

This requirement is currently being performed by GenTech Associates, Inc. under contract H9821023C0003.

2. This notice shall not be construed as a formal solicitation or an obligation on the part of the Government to acquire any products or services. In addition, it does not guarantee that a subsequent solicitation will be issued. Submission of any information in response to this Sources Sought notice is voluntary and will assist in selecting the appropriate solicitation type/method. Costs associated with any submission shall not be reimbursed by the Government. THE GOVERNMENT IS NOT SEEKING PROPOSALS AND WILL NOT ACCEPT UNSOLICITED PROPOSALS.

3. The proposed NAICS for this effort is 541211, Offices of Certified Public Accountants (size standard $26.5M). Comments on this NAICS and suggestions for alternative codes must include supporting rationale.

4. Interested parties must be registered in the System for Award Management (SAM). A business must be a current participant and certified by SBA if responding as an 8(a) firm and HUBZONE small businesses must be certified by SBA by the time of proposal. A Service-Disabled Veteran-Owned Small Business (SDVOSB) must represent to the contracting officer that is it certified as such at the time of submission. Women-owned small business (WOSB) and Economically Disadvantaged WOSB (EDWOSB) should indicate if their certification is a self-certification or if they are formally certified by SBA (or will be by time of any proposal).

5. Interested parties are requested to submit a concise and focused unclassified capability document limited to 10 pages, excluding cover page, executive summary, and references, in pdf or Word that includes:

a. Company name, mailing address, e-mail address, telephone numbers, website address (if available), and the name, telephone number, and e-mail address of a point of contact having the authority and knowledge to clarify responses with Government representatives. Include Unique Entity Identifier from the System for Award Management (UEI (SAM)), CAGE Code and company structure (Corporation, LLC, partnership, joint venture, etc.).

b. Type of business, including small business socio-economic category if applicable (e.g., Other than Small, 8(a), HUBZone, Non-Profit).

c. Small businesses shall specify if any kind of teaming arrangement will be involved and “other than small” businesses shall address subcontracting opportunities that exist.

d. If applicable, GSA contract number, schedule, Multiple Award IDIQ contract number (e.g., OASIS, NITAAC).

e. Indicate if you are interested as a Prime contractor or subcontractor.

f. Describe any teaming or subcontracting that you may use to fulfill a requirement such as this.

g. Describe your organization's breadth of expertise/competency related to the following DHRA activities:

· Support the submission of the DHRA Statement of Assurance.

· Develop the understanding of the DHRA ERM Program Implementation Operating Instruction roles and responsibilities, shown in Appendix 3: DHRA ERM Governance Matrix.

· Develop targeted DHRA specific ERM training for senior management and key assessable unit managers.

· Create a culture that readily adopts updates to the DHRA ERM Program Implementation Operating Instruction, DHRA Anti-Fraud Strategy Operating Instruction, and approximately 17 ERM related Standard Operating Procedures (Continuous improvement has started to trickle throughout the DHRA).

· Publish Key Assessable Unit Audit Guides (six in total over the first two years) for the key assessable units listed in Appendix 4: DHRA Key Assessable Units.

· Mature the process for capturing and remediating findings, including scoping acceptable pre-emptive corrective actions.

· Obtain transparency of risks, as well as ensuring the formalized management of those risks, across the DHRA.

· Define criteria for audit-ready key assessable units.

· Implement the DHRA Risk Register to obtain consistent use across DHRA.

· Operationalize the DHRA Risk Assessment Questionnaire.

· Establish the DHRA risk tolerances, key risk indicators, and key performance indicators.

· Maintain DHRA Risk and Compliance publications (annual review of approximately 19 publications) listed in Appendix 5: DHRA Risk and Compliance Publications.

· Develop ERM Framework training videos to mature the implementation of the DHRA ERM Program Implementation Operating Instruction.

· Create certification process for Key Assessable Unit Managers and other internal control roles.

· Align the DoD Business Enterprise Architecture (BEA) for the Defense Travel System (DTS), Defense Civilian Personnel Data System (DCPDS), and Defense Enrollment Eligibility Reporting System (DEERS) to ensure compliance with relevant laws and standards (e.g., GAO, FFMIA, SFIS, SFAS, etc.).

h. Industry feedback is requested on this requirement. Please list any challenges or potential performance roadblocks related to fulfilling the requirement and any suggestions for improving the language contained in this document. Additionally, the Government seeks answers to the following questions concerning this requirement. Please consider providing responses:

· Estimated number of FTE?

· Proposed labor category for each FTE?

· Industry best practices currently in use reflecting on:

· Artificial Intelligence Alternatives;

· Automation; and

· Efficiencies & Effectiveness.

· Additional suggestions/recommendations.

i. Provide the following information on two (2) similar projects in an environment of similar scale completed within the last five (5) years for which the responder was a prime or Sub-Contractor.

· The name and value of each project;

· The name, address, telephone and email address for point of contact;

· A description of each project, including challenges and successes; and

· Your company's role and services provided for each project.

6. All interested and capable contractors are encouraged to respond. Respondents will not be notified of the results of the sources sought evaluation. The results of this sources sought notice will assist the Contracting Officer in determining whether an 8(a), Service-Disabled Veteran-Owned Small Businesses (SDVOSB), Certified HUBZone Small Business, Woman-Owned Small Businesses (WOSB), Small Business set-aside, or full and open competition is an acceptable strategy for this procurement. Responses to this synopsis may be used to aid in establishing realistic, achievable small business participation goals.

7. Responders are advised that the U.S. Government will not pay for any information or administrative costs incurred in response to this Sources Sought; all costs associated with responding will be solely at the interested party’s expense. All information received in response to this submission that is clearly marked Proprietary will be handled accordingly. Acknowledgement of receipt of responses will not be made and submissions to this Sources Sought will not be returned.

8. The information provided in this Sources Sought is subject to change and is not binding on the Government.

9. The Government requests that all responses be returned by the date listed in SAM. All responses shall be submitted electronically to the DHRA Acquisition Management Directorate point of contacts listed in SAM.

Note: 1. For assistance from the DHRA Office of Small Business Programs, feel free to reach out to: dodhraosbp@mail.mil

2. Submissions that exceed the specified page limit of 10 pages, excluding cover page, executive summary, and references, may not be evaluated. Respondents are encouraged to adhere strictly to the page limitation to ensure consideration of their submission.

Appendix 1: DHRA Office of the Comptroller Organization Chart

Appendix 2: Applicable References

· legislation/ndaa-national-defense-authorization-act

National Defense Authorization Act for Fiscal Year 2012

· https://www.congress.gov/112/plaws/publ81/PLAW-112publ81.pdf

Financial Improvement and Audit Readiness Guidance

· https://comptroller.defense.gov/portals/45/documents/fiar/fiar_guidance.pdf

DoD Instruction 4000.19, "Support Agreements," December 16, 2020

· https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodi/400019p.pdf

DoD Instruction 1205.22, Employer Support of the Guard and Reserve (ESGR)

· https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodi/120522p.PDF?ver=OHQiJG929TVKPPgwgeosWQ%3D%3D

DoD Financial Management Regulation, Volume 1, Chapter 9 (as amended)

· https://comptroller.defense.gov/Portals/45/documents/fmr/current/01/01_09.pdf

DoD Financial Management Regulation, Volume 3, Chapters 8, 14 (as amended)

· https://comptroller.defense.gov/portals/45/documents/fmr/current/03/03_08.pdf

DoD Financial Management Regulation, Volume 14, Chapter 1 (as amended)

· https://comptroller.defense.gov/Portals/45/documents/fmr/current/14/14_01.pdf

Office of Management and Budget (OMB) Circular A-123, Management's Responsibility for Internal Control, December 21, 2004

· https://comptroller.defense.gov/Portals/45/documents/fmr/current/14/14_01.pdf

OMB Circular A-127, Financial Management Systems, January 9, 2009

· https://obamawhitehouse.archives.gov/omb/circulars_a127/

· https://www.govinfo.gov/content/pkg/FR-1999-08-13/pdf/99-20930.pdf

OMB Circular A-130, Management of Federal Information Resources, July 28, 2016

· https://www.federalregister.gov/documents/2016/07/28/2016-17872/revision-of-omb-circular-no-a-130-managing-information-as-a-strategic-resource

OMB Circular A-136, Section II, August 10, 2021

· https://whitehouse.gov/wp-content/uploads/2023/05/A-136-for-FY-2023.pdf

OMB Circular A-11, Preparation, Submission and Execution of the Budget, June 30, 2015

· https://www.whitehouse.gov/wp-content/uploads/2018/06/a11.pdf

OMB Bulletin 15-02, Audit Requirements for Federal Financial Statements, August 4, 2015

· https://obamawhitehouse.archives.gov/sites/default/files/omb/bulletins/2015/15-02.pdf

31 U.S.C. §§ 1341(a), 1342, 1517(a)

· https://uscode.house.gov/view.xhtml?path=/prelim@title31/subtitle2/chapter13/subchapter3&edition=prelim

· https://uscode.house.gov/view.xhtml?path=/prelim@title31/subtitle2/chapter15&edition=prelim

Appendix 3: DHRA ERM Governance Matrix

Appendix 4: DHRA Key Assessable Units

Justification: Based on the OUSD(C) 2024 Internal Control Over Reporting and Financial Systems Guide, page 30. All Components and Service Providers must identify assessable units for all processes, systems, or classes of assets that result in material transactions and balances on their financial statements or are considered high risk based on qualitative factors. The segmentation of the key assessable units is determined by the professional judgement of DHRA leadership based on the scope of missions, area(s) of responsibility, entity level controls, assessed risk, and/or other rationale determined by Functional Area Leads. Each key assessable unit has an appointed key assessable unit manager.

1. Hire to Retire (H2R)

Encompasses all business functions necessary to plan for, hire, classify, develop, assign, track, account for, compensate, retain, and separate the persons (i.e., military members, civilian employees, contractors, noncombatant evacuees, volunteers) needed to accomplish aspects of the DoD mission.

This process controls narrative documents the end-to-end Civilian Payroll process for DHRA. The process control narrative and the associated Civilian Payroll process flowcharts are meant to be read concurrently.

Senior Responsible Officer (SRO): Human Resource Director

2. Order-to-Cash (O2C)

Encompasses all business functions necessary to accept and process customer orders for services and/or inventory held for sale. This includes such functions as managing customers, accepting orders, prioritization of orders, fulfilling orders, performing distribution, managing receivables, and managing cash collections.

This includes managing customers, accepting orders, prioritizing, and fulfilling orders, distribution, managing receivables, and managing cash collections.

SRO: Comptroller

3. Property in the Possession of Contractor (PiPoC)

PiPoC is General Property, Plant and Equipment or Inventory and Related Property that is in the possession of Contractors. Processes related to accounting for these asset types (e.g., depreciation, repair, etc.) are covered within the process control narratives (PCNs).

SRO: Defense Manpower Data Center (DMDC) Director

4. Procure to Pay (P2P)

a. Grants and Cooperative Agreements

b. Vendor Pay (VP)

c. Temporary Duty (TDY) Travel

d. Reimbursable Work Order - Grantor (RWO-G)

e. Government Purchase Card (GPC)

Encompasses all business functions necessary to obtain goods and services using procurement processes and procedures including executing procurement requirements, strategy, procurement award and management, receipt and acceptance, entitlement, disbursement, and closeout. The business functions necessary to obtain goods and services. This includes requirements identification, sourcing, contract management, purchasing, payment management, and receipt and debt management.

SRO: Comptroller

5. Acquire to Retire (A2R)

The business functions necessary to obtain, manage, and dispose of accountable and reportable property (capitalized and non-capitalized assets) through their entire life cycle. It includes functions such as requirements identification, sourcing, contract management, purchasing, payment management, general property, plant and equipment management, and retirement. Undelivered Orders, Delivered Orders, Disbursements General Equipment, Internal Use Software, Depreciation Expense, Accumulated Depreciation.

SRO: DMDC Director

6. Budget to Report (B2R)

The business functions necessary to plan, formulate, create, execute, and report on the budget and business activities of the entity. It includes updates to the general ledger. It also includes all activities associated with generating and managing the internal and external financial reporting requirements of the entity, including pre- and post-closing entries related to adjustments, reconciliations, consolidations, eliminations, etc.

SRO: Comptroller

Appendix 5: DHRA Risk and Compliance Publications image1.png image2.png image3.png