PMO_RFP_-_Final_-_Rev_2.docx

The Government anticipates a multiple-award Indefinite-Delivery, Indefinite-Quantity (IDIQ) contract

SECTION B – SUPPLIES OR SERVICES AND PRICES / COSTS

Note to Offerors: Provide a Labor Hour (LH) quote that includes labor categories and rates (on-site) for each year in the five year base ordering period. See Section L.6 on for complete instructions on preparing your price quotes.

For evaluation purposes only, On-site Hourly Rates should be based on a Full-Time Equivalent (FTE) with 1,920 hours and Place of Performance to be Washington, D.C (SEC Headquarters). Offerors must submit pricing by completing Attachment 7 – Pricing Sheet – Revised. Failure to complete the Pricing Sheet will result in exclusion of Offeror for consideration of award.

Hourly rates submitted in Attachment 7 – Pricing Sheet – Revised will also be used for the basis for each individual TO proposal.

SECTION C - DESCRIPTION/SPECIFICATIONS/STATEMENT OF WORK

C.1 Introduction This is a multiple-award Indefinite-Delivery, Indefinite-Quantity (IDIQ) to provide Program Management Support and related Services for all Divisions and Offices of the U.S. Securities and Exchange Commission (SEC) both in Washington, DC and its regional locations. Upon the award of this contract, work requests will be issued in a series of individual Task Orders for distinct scopes of work, which will require separate proposals and negotiations.

C.1.1 General Description of Services Provide comprehensive Portfolio, Program and Project Management, Requirement Management, Business Process Management, Strategic Planning, Budget Cost Management and other related management support services for SEC Programs, Projects, Acquisitions, and Enterprise Services. SEC’s Programs, Projects, Investments, Enterprise Services, and other Initiatives are at different phases of the Acquisition Life Cycle. The Contractor shall provide these support services to the SEC Headquarter Offices in Washington, DC, the eleven Regional Offices and in any location where the SEC operates in the future.

C.1.2 Limits of Services This is not a Personal Services Contract. The Government will not exercise any supervision or direct control of the Contractor’s staff during the performance of the services herein. The Contractor shall provide direct control and supervision of their staff during the execution of the Contract and each Task Order.

C.1.3 Background The mission of the U.S. Securities and Exchange Commission (SEC) is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. In the pursuit of its mission, the SEC receives hundreds of thousands of incoming communications through a variety of means into each of the agency's divisions, offices and regions.

The SEC’s Strategic goals include:

· Establish and Maintain an Effective Regulatory Environment

· Foster and Enforce Compliance with the Federal Securities Law

· Facilitate Access to the Information Investors Need to Make Informed Decisions

· Enhance the Commission’s Performance through Effective Alignment and Management of Human Information and Financial Capital.

Federal securities law and regulation is rapidly changing as is the commercial securities markets and industry. In order to meet these challenges, the SEC must continually innovate and improve its technologies and internal business process. More information on the SEC’s mission, strategic plan and organizational structure may be found at: www.sec.gov.

C 1.4 Needs The SEC requires Business and Program Management support services, commission-wide, to perform the various programs and project management support services. These services primarily include, but are not limited to, IT Capital Planning and portfolio management, program planning, program integration, program management offices (PMOs), policy management, budget planning and execution, requirement management and project management in many areas such as project oversight, communication, risk management, scheduling, estimating and knowledge management. The services include a broad range of project and program offices and support the SEC mission functions in the areas such as Information Technology, Operations, Financial Regulatory, Examination, Financial Enforcement, Economic Risk Analysis, Acquisitions and Financial Management.

C.1.5 Objectives The Contractor shall provide the U.S. Securities and Exchange Commission (SEC) and all its subordinate Offices and Divisions with professional and technical Project Management and other related management support services in the following areas described in detail in Section 5. The requirements identified in Section 5 can be applied across SEC at the Headquarter Divisions and Offices (e.g. Office of Information Technology, Division of Enforcement, Division of Corporate Finance etc.) level and at the Regional offices levels.

The nature of this work may require the Contractor to be capable of quick response to stringent deadlines. All work under this IDIQ contract will fall under the below Task Areas:

Task Area 1: Project and Program Management Support Task Area 2: Project Management Office (PMO) Support Task Area 3: IT Capital Planning and Portfolio Management Support Task Area 4: Strategic Planning and Enterprise Architecture Support Task Area 5: Business Process Reengineering Support Task Area 6: Business and System Requirements Management Support Task Area 7: Policy Management Support Task Area 8: Budget, Financial and Cost Management Support Task Area 9: Transition and Technical Management Support Task Area 10: Training Support Task Area 11: Communication and Knowledge Management Support Task Area 12: Task Order Management

C.1.6 Scope The Contractor shall provide the U.S. Securities and Exchange Commission (SEC) and all its Offices, Divisions and Regional Offices with professional and technical Program Management, Project Management and other related management support services as specified in the subsequent Task Orders. The goal of the these services is to improve SEC internal project and program management and other business management support functions across the commission that result in measurable improvements in project and program performance and process outcomes towards achieving SEC missions.

C.2 Quality Control The Contractor shall develop and maintain an effective quality control program (QCP) to ensure all services are performed in accordance with this SOW. The Contractor shall develop and implement procedures to identify, prevent, and ensure non-recurrence of defective services. The Contractor’s quality control program is the means by which he assures himself that his work complies with the requirement of the contract. The QCP shall be delivered within seven days after contract award. After acceptance of the quality control plan the Contractor shall receive the Contracting Officer’s acceptance in writing of any proposed change to his QCP.

C.2.1 Security Requirements The security classification for work performed under this Contract is Unclassified. The documents and information that will be reviewed and produced are non-public and sensitive in nature and shall be protected from unauthorized disclosure. Work on this Contract requires that personnel may have access to Privacy Act information. Personnel shall adhere to the Privacy Act, 5 U.S.C. Section 552a and applicable agency rules regulations.

C.2.2 Physical Security The Contractor shall be responsible for safeguarding all government equipment, information and property provided for contractor use. At the close of each work period, government facilities, equipment, and materials shall be secured.

C.2.3 Key Control The Contractor shall establish and implement methods of making sure all keys/key cards issued to the Contractor by the Government are not lost or misplaced and are not used by unauthorized persons. NOTE: All references to keys include key cards. No keys issued to the Contractor by the Government shall be duplicated. The Contractor shall develop procedures covering key control that shall be included in the QCP. Such procedures shall include turn-in of any issued keys by personnel who no longer require access to locked areas. The Contractor shall immediately report any occurrences of lost or duplicate keys/key cards to the Contracting Officer.

In the event keys, other than master keys, are lost or duplicated, the Contractor shall, upon direction of the Contracting Officer, re-key or replace the affected lock or locks; however, the Government, at its option, may replace the affected lock or locks or perform re-keying. When the replacement of locks or re-keying is performed by the Government, the total cost of re-keying or the replacement of the lock or locks shall be deducted from the monthly payment due the Contractor. In the event a master key is lost or duplicated, all locks and keys for that system shall be replaced by the Government and the total cost deducted from the monthly payment due the Contractor.

The Contractor shall prohibit the use of Government issued keys/key cards by any persons other than the Contractor’s employees. The Contractor shall prohibit the opening of locked areas by Contractor employees to permit entrance of persons other than Contractor employees engaged in the performance of assigned work in those areas, or personnel authorized entrance by the Contracting Officer.

C.2.4 Staff Controls Using the SEC established procedures; the Contractor shall report weekly the staff on board and changes in staff working under the contract. The Contractor will enter data daily in the Contractor Time Management System (CTMS) and follow On/Off Board procedures provided in supplemental documentation.

C.2.5 Quality Assurance The government shall evaluate the Contractor’s performance under this contract in accordance with the Quality Assurance Surveillance Plan (QASP). This plan is primarily focused on what the Government must do to ensure that the Contractor has performed in accordance with the performance standards. It defines how the performance standards will be applied, the performance threshold and the method of surveillance. Additional performance objectives may be defined and included in the subsequent task order QASP based on the specific deliverables. See Attachment 9 – QASP.

C.3 Post Award Conference/Periodic Progress Meetings The Contractor agrees to attend any post award conference convened by the contracting activity or contract administration office in accordance with Federal Acquisition Regulation Subpart 42.5. The Contracting Officer, Contracting Officers Representative (COR), and other Government personnel, as appropriate, may meet periodically with the Contractor to review the Contractor's performance. At these meetings the Contracting Officer will apprise the Contractor of how the government views the Contractor's performance and the Contractor will apprise the Government of problems, if any, being experienced. Appropriate action shall be taken to resolve outstanding issues. These meetings shall be at no additional cost to the government.

C.4 Organizational Conflict of Interest Contractor and subcontractor personnel performing work under this IDIQ and its subsequent Task Orders may receive, have access to or participate in the development of proprietary or source selection information (e.g., cost or pricing information, budget information or analyses, specifications or work statements, etc.) or perform evaluation services which may create a current or subsequent Organizational Conflict of Interests (OCI) as defined in FAR Subpart 9.5). The Contractor shall provide the Government an Organizational Conflict of Interest Plan for purposes of identifying, mitigating, or avoiding Organizational Conflicts of Interest (OCIs) in accordance with FAR Subpart 9.5. Contractors shall identify any possible OCI issues and provide a mitigation plan for them and for any other OCI issues that may subsequently arise during performance of the contract. Contractor analysis should include, but is not necessarily limited to, financial interests, and any contract work that involves the review of goods or services produced by industry competitors. The Contractor shall be excluded from any and all follow-on work related to all programmatic/portfolio data from this contract. If during the course of performing the requirements under this IDIQ and its Task Orders, where those requirements are used for future acquisitions, the Contractor shall not respond or participate as a prime contractor, sub-contractor, or team member against those future acquisitions. The Contractor’s mitigation plan will be determined to be acceptable solely at the discretion of the Contracting Officer and in the event the Contracting Officer unilaterally determines that any such OCI cannot be satisfactorily avoided or mitigated, the Contracting Officer may affect other remedies as he or she deems necessary, including prohibiting the Contractor from participation in subsequent contracted requirements which may be affected by the OCI. The following are potential areas where OCIs may arise: Supporting IT Capital Planning and Portfolio Management processes; Supporting budget planning and formulation, Providing project management support on SEC programs and projects; Identifying or preparing specifications, requirements, work statements, and/or objectives for any SEC acquisition; Providing evaluation services; Providing direct acquisition support to a specific program, project, or acquisition of service.

C.4.1 Phase In/Phase Out Period At least sixty (60) days before the expiration of each Task Order under this IDIQ, the Contractor shall provide an Exit Transition Plan that shall identify transition support activities for all transition efforts for follow-on requirements to minimize disruption of services. The Exit Transition Plan and support shall include the following:

· Inventory all Government Furnished Equipment (GFE) and Government Furnished Information (GFI) in Contractor possession

· Status of all deliverables

· Current issues, problems, or activities in process that require immediate action

· The plan on how the Contractor intends to support the transition to the new follow-on contractor, and the list of key personnel involved in this effort

The Task Order COR shall approve this plan and transition support. Upon award of a follow-on contract, the Contractor shall work with the new contractor to provide knowledge transfer and transition support as required by the COR.

C.5 Specific Tasks The Contractor shall perform management support services in one or multiple task areas below. Under the scope of this SOW, the Contractor shall assist the SEC with developing project and program plans, making recommendations to the SEC in improving existing management processes and practices, and executing government decisions upon approval of the plan by SEC officials. The Contractor cannot exercise discretions in applying Federal government authority or commit the government to a course of action without approval. The specific task requirements and deliverables will be specified in the subsequent Task Orders.

C.5.1 Task Area 1.0 – Program and Project Management Support The Contractor shall provide program and project management support to investment teams executing SEC investments, which range from business initiatives supporting SEC missions to Information Technology (IT) investments. The Contractor shall provide certified project and program managers who meet the minimum requirements as defined in each Task Order.

C.5.1.1 Subtask 1.1 – Program Management Support The Contractor shall assist the SEC leadership and staff with the program management function. The Contractor shall provide recommendations in the areas below to SEC program officials, and assist with the execution upon approval by the SEC. The type of program management activities anticipated are, but not limited to -

· Program Assessment: feasibility studies, impact analysis, position papers and action items

· Program Planning: life cycle cost definition, cost/benefit analysis, requirement management, scope management, resource management, implementation plan development and management, schedule management, and dependencies management

· Program Performance: program metrics, timeline and milestones, and action item management

· Communications: stakeholder management (under direction of the SEC)

· Risk Management: risk management planning, threat and vulnerability assessment, risk identification, analysis, response, monitoring and control

· Program Review, Oversight, and Reporting: resource, schedule and change management

· Workflow Management

· Post-Production Operation Management

· Benefit Realization

The Contractor shall assist with the preparation, review and editing of 1) investment proposals and business justifications; 2) program management artifacts, and 3) program briefings and reports.

C.5.1.2 Subtask 1.2 – Project Management Support The Contractor shall perform project management support services under the oversight of SEC program managers. The Contractor shall serve as an independent entity supporting SEC staff in initiating, planning, executing, monitoring and closing SEC projects. The SEC will determine project management activities required for each specific investment; however an investment may require the entire range of project management activities as defined in the PMBOK Guide that include but not limited to -

· Integration Management

· Schedule Management

· Risk and Issue Management

· Stakeholder Management Support

· Quality Management

· Communication Management

· Cost Management Support

· Scope Management

· Acquisition Support

· Resource Management

When specified in individual Task Orders, the Contractor shall monitor and manage project performance using a modified Earned Value Management System (EVMS) that adheres to guidelines published in the ANSI/EIA standard 748-1998. At the discretion of the SEC, the Contractor shall recommend and implement approved government and/or industry best practices (e.g. PMI, ITIL, Agile etc.) during the course of performance to supplement the SEC’s existing project management policies and procedures. The Contractor shall also assist with the preparation, review and editing of 1) investment proposals and business justifications; 2) project management artifacts; 3) project life cycle and user documentation (include SDLC documentation); 4) standard operating procedures, and 5) business process documentation. As requested by the Contracting Officer’s Representative (COR), the Contractor shall assist with the preparation, review and editing of technical documents and reports for IT investments.

C.5.1.3 Subtask 1.3 – Integrated Master Schedule (IMS) Support As requested by the COR, the Contractor shall assist in the creation, update, management, and analysis of integrated master schedules for projects and programs in accordance with work breakdown structures (WBSs) and perform overall analysis of labor, schedule, risk, trigger dates, resource needs, dependencies, discrepancies, conflicts, and performance on a regular basis to identify issues and items on the critical path. The Contractor shall provide IMS status reports and actively participate in the Critical Path assessments. Furthermore, the contractor shall coordinate the agendas used during program and project meetings across the portfolio with internal and external stakeholders, assist with the development of the associated presentations, prepare minutes and track/close out action items, and identify overarching program issues.

C.5.1.4 Subtask 1.4 - Integrated Process Team (IPT) Support The Contractor shall support IPTs and other ad hoc forums and ensure that regulatory and programmatic considerations are included as a part of the discussions. The Contractor shall provide the necessary documentation support to include the development and coordination of reports, action items, briefing charts, etc. The Contractor shall support the development and review of draft process documentation and reports, prior to submission for approval.

C.5.1.5 Subtask 1.5 – Program and Project Acquisition Support The Contractor shall work with SEC staff to develop and implement the acquisition strategy for assigned projects or programs. The Contractor shall support acquisition activities such as conducting market research, and assisting with the preparation of acquisition documents, plans, and performance measures to the extent that they are not inherently governmental tasks. The Contractor shall provide reports of emerging industry capabilities and technologies to fulfill SEC requirements. The Contractor shall provide support and recommendations for the capture, analysis, assessment, reporting, and development of acquisition baselines for assigned programs, projects, services, and initiatives. The Contractor shall assist the SEC with developing and/or reviewing acquisition documents to include, but not limited to: Requests for Information (RFIs), Sources Sought, Market Surveys, Industry Day material, Q&A’s, Statement of Work (SOW), Request for Proposals (RFPs), and Requests for Quotes (RFQs). All information must be prepared and coordinated with government input and direction.

C.5.1.6 Subtask 1.6 – Contingency Planning Support The Contractor shall develop management plans that recommend or use alternative strategies to ensure project and program success if specific risk events occur, including logistics and deployment options. The Contractor shall plan for the recovery of business operations or information systems. The Contractor shall understand SEC COOP plans and system Disaster Recovery (DR) processes and testing locations, with the ability to support SEC personnel at times when such plans are enacted.

C.5.2 Task 2.0 – Project Management Office (PMO) Support

C.5.2.1 Subtask 2.1 – Project Management Process Support The Contractor shall assist the SEC with developing processes, methods, standards and training for executing project management with SEC-determined levels of rigor. The support may be provided to improve existing PMO capabilities and maturity as well as for new PMO establishment. The Contractor shall introduce government and industry best practices in project management, and work with the respective PMO to obtain SEC approval and support implementation at the appropriate level of the SEC. The Contractor shall also 1) document processes; 2) conduct customized training sessions on processes; and 3) coach SEC project managers on specific processes.

C.5.2.2 Subtask 2.2 – Project Reviews Support The Contractor shall prepare and coordinate project reviews and participate in forums such as OIT Quarterly Project Review meetings, Division of Enforcement (ENF) Portfolio Review meetings or equivalent, and other briefings as required. Reviews may include assessment of project risks and risk mitigation planning, implementation and reporting. The Contractor shall assist with reviewing project documentation, developing project performance measures and reports, facilitating reviewing meetings, taking meeting minutes and tracking and reporting post meeting actions.

C.5.2.3 Subtask 2.3 – Performance Assessment Support The Contractor shall provide independent assessments of SEC programs/projects/services at the request of the COR with focus on resource, schedule and performance (CSP) baselines to determine known and unknown risks, improvement opportunities, and overall program/project health. The Contractor shall also validate that stakeholder objectives are reflected in program and project requirements. The Contractor shall assess program and project to ensure continuous business justification. The Contractor shall assess program and project alignment with the SEC current and future Enterprise Architecture. The Contractor shall identify upcoming programs/projects/services milestones and decision points and requirements for in-depth technical review (with the support from technical Subject Matter Experts) and prepare and maintain an associated schedule. The Contractor shall provide support to programs to update program baseline documentation to implement recommendations. The Contractor shall perform independent analyses, provide independent status report and assessments as required, and analyze program status to predict program/project progress at selected milestones or fiscal year end. The Contractor shall support Inspector General (IG), Government Accountability Office (GAO) or any internal audit processes on SEC projects and programs (planned and ad-hoc) and follow up on after actions and weakness remediation.

C.5.2.4 Subtask 2.4 – PMO Communication and Outreach Support The Contractor shall provide support in developing and maintaining PMO charters and communication plans. The Contractor shall identify stakeholders of the PMO and develop strategies to engage and maintain relationships with its stakeholders. The Contractor shall assist with external PMO communication via e-mails or the use of existing SharePoint portals. In addition, the Contractor shall support the existing Project Management Community of Practices (PMCoPs) within the SEC with communication, event activity planning and coordination.

C.5.2.5 Subtask 2.5 – Project Management Tool Support The Contractor shall provide project management support in researching, evaluating and recommending automated tools for integrated project and portfolio management within the SEC’s project management framework. The Contractor shall support the SEC in planning for and implementing selected tool(s) after procurement. The Contractor shall prepare and refine project management processes for implementation in selected tool(s) and configure/customize the tool(s) to meet the SEC requirements. The Contractor shall also provide ongoing support with the administration and enhancement of the tool(s) as specified in the Task Order.

C.5.2.6 Subtask 2.6 – Project Management Training Support The Contractor shall provide training to SEC project managers, executives, and business leads as needed on the purposes of project and program management with focus on the standards and methodologies used at the SEC. The Contractor shall develop tailored training materials and deliver training using a variety of venues such as classroom, web based or workshops. The Contractor shall also coach the SEC program and project managers on the SEC’s project management policies and requirements, and the use of project management tools and templates. The Contractor shall support project management knowledge sharing through the SEC’s Project Management Community of Practice (PMCoP).

C.5.3 Task Area 3.0 – IT Capital Planning and Portfolio Management Support The Contractor shall provide project portfolio management and administrative support in the execution of SEC Capital Planning and Investment Control (CPIC) policies and procedures. The Contractor shall provide support services related to the development, tracking, analysis and management of SEC Information Technology investments including, but not limited to investment prioritization, selection, budget formulation, investment control and evaluation. The Contractor shall administer and maintain SEC budget planning, formulation and execution databases and applications. The Contractor shall assist with the development, documentation, publication, and update of SEC CPIC processes and procedures.

C.5.3.1 Subtask 3.1 – Investment Data Support The Contractor shall support the SEC’s Office of Information Technology (OIT) in gathering and analyzing data on SEC IT investments and presenting results to SEC management and CPIC governance authorities. The Contractor shall support OIT staff in developing Office of Management and Budget (OMB) IT Portfolio Summary and Investment Reports (i.e., OMB Circular A-11 Federal agency IT individual investment reports), preliminary cost estimates, project requests, program plans, budget support documents, and business cases. The Contractor shall ensure that the IT Portfolio Summary and Business Cases (i.e., OMB Circular A-11 section 53; federal agency IT investment portfolio summary), the OIT budget, and project management data are consistent. The Contractor shall support OIT staff in maintaining investment project data in the SEC’s enterprise project and portfolio management system (currently CA ClarityTM PPM 13.2).

C.5.3.2 Subtask 3.2 – Capital Planning and Portfolio Management Process Support The Contractor shall implement established OIT policies and procedures for planning, and executing information technology investments. The Contractor shall support IT investment selection, control and evaluation following the OMB CPIC guidelines and the SEC’s CPIC policy. The Contractor shall assist the government with the whole range of IT portfolio management activities that include but not limited to investment categorization, prioritization, governance, performance assessment, and reporting. The Contractor may also be asked to provide support in evaluating and recommending automated tool(s) for capital planning and portfolio management, and assist with the implementation, administration and enhancement of the tool(s) as specified in the Task Order.

C.5.3.3 Subtask 3.3 – Capital Planning and Portfolio Management Process Improvement Support The Contractor shall provide consulting services for improving the efficacy of the SEC’s IT capital planning process while reducing process complexity and burden. The Contractor shall introduce and assist in the implementation of government and industry best practices in IT capital planning and portfolio management. The Contractor shall identify existing tools and artifacts such as forms, reports and analyses that can be easily customized to meet the SEC’s portfolio management needs. The Contractor shall support the SEC in developing portfolio management guidelines, investment prioritization strategies and investment performance metrics in order to improve the management of SEC investments as well as to enhance the decision making ability by the SEC management.

C.5.3.4 Subtask 3.4 – Governance Meeting Support The Contractor shall provide support for IT capital planning governance meetings, including but not limited to scheduling and preparing agendas, materials, and taking meeting minutes for the Project Review Board (PRB), the Information Officers’ Council (IOC) and the IT Capital Planning committee (ITCPC) meetings. As requested by the COR, the Contractor shall provide support to other meetings where investment portfolios are presented and reviewed. The Contractor shall publish approved agendas and meeting minutes to corresponding SharePoint websites. The Contractor shall follow up actions item assignees to update the status.

C.5.3.5 Subtask 3.5 – CPIC Training Support The Contractor shall provide training to SEC project managers, executives, and others as needed on the purposes of CPIC and portfolio management and the procedures used at the SEC. The Contractor shall customize CPIC training for the SEC. The Contractor shall develop training materials and coach the SEC program and project managers on the SEC’s CPIC processes and the use of SEC’s enterprise project and portfolio management system (currently CA ClarityTM PPM 13.2).

C.5.3.6 Subtask 3.6 – Resource Management Support The Contractor shall assist the SEC with developing capacity planning and recourse management strategy. The Contractor shall track investments and general resource allocation based on the information in the approved project schedules and the IMS. The Contractor shall provide periodic resource loading charts and tracking Gantt charts of full project schedules. The Contractor shall provide other resource utilization reports as requested by the COR using tools such as SEC project and portfolio management system (currently ClarityTM PPM) and MS Project Professional.

C.5.4 Task Area 4.0 – Strategic Planning and Enterprise Architecture Support

C.5.4.1 Subtask 4.1 – Strategic Planning Support The Contractor shall assist the SEC with drafting, updating and maintaining multi-year strategic plans for respective offices and divisions. The Contractor shall review current organizational strategies in support of SEC missions and strategic goals as well as other supporting documents; interview executive leaderships; validate alignment to higher level strategies and develop performance measures. The Contractor shall support development of roadmaps that enable achievement of strategic objectives over the planning cycle.

C.5.4.2 Subtask 4.2 – Enterprise Architecture (EA) Support The Contractor shall assist the SEC with development of Enterprise Architecture (EA) that ensure alignment of business, process, data and technology, and deliver capabilities required to fulfill the SEC missions. The Contractor shall assess the current (as-is) state and develop future state (to-be) architecture that supports SEC business strategies and priorities. The Contractor shall define SEC business architectures for offices and divisions as requested by the COR. The Contractor shall apply GAO as well as other federal EA frameworks such as the Federal Enterprise Architecture Framework (FEAF), Segment Architecture or Service Oriented Architecture (SOA) in order to establish standards for the SEC processes, data, systems, security, and information technologies. The Contractor shall also conduct gap analysis and develop roadmaps to help the SEC achieve its future state.

C.5.5 Task Area 5.0 – Business Process Reengineering (BPR) Support The Contractor shall provide business process reengineering (BPR) leadership and support. The Contractor shall collaborate with SEC Offices and Divisions in developing the framework, document and map existing and new processes, facilitate process improvement workshops and meetings, develop metrics, utilize appropriate process re-engineering techniques and methodologies, establish internal controls, provide process improvement expertise and recommendations, develop and present oral and written documentation related to process improvement projects, program or requirements analyses or organizational studies, as required, and develop and populate a knowledge base as part of the process improvement program.

C.5.5.1 Subtask 5.1 – Policy and Strategy Support The Contractor shall develop or update policy, procedural, and business planning documents, and Mission and Functional statements for various program offices, branches, or other SEC organizational units. The Contractor shall develop supporting documentation for policies and procedures. Where documentation exists, the Contractor shall leverage existing documentation and artifacts to identify any gaps, inconsistencies and relevance to SEC policies and procedures and the related business process re-engineering tasks.

C.5.5.2 Subtask 5.2 – Process Reviews Support The Contractor shall schedule, participate, and/or facilitate interviews, workshops, and meetings designed to collect information from business customers in order to review, analyze, document, and map "as is" and "to be" processes.

C.5.5.3 Subtask 5.3 – As-Is Process Mapping Support The Contractor shall investigate and map current SEC work processes using industry standard tools and techniques. The Contractor shall define Process Parameters: objective and definition, owner(s), stakeholder(s), related processes, involved parties, communication interfaces, IT requirements, and other appropriate dependencies. Process Flow: input, output, steps, activities, owner, and dependencies. Rules and Regulations: rules, regulations, and/or policies that govern the process. The Contractor shall analyze existing work practices, identify gaps and opportunities for improving cost or operational efficiencies through workflow redesign, and quantify the benefits of such redesign.

C.5.5.4 Subtask 5.4 – To-Be Process Design Support The Contractor shall analyze the data collected in order to determine deficiencies, obstacles, and opportunities for improvement. The Contractor will define and design a recommended end state or the "To-Be" process using government and industry standards and best practices such as LEAN, Six Sigma, Agile and CMMI for SEC that will lead to substantial improvements in efficiency and effectiveness over time. The To-Be process shall be in compliant with all federal rules and regulations as well as with all applicable SEC policies. The Contractor shall conduct gap analysis between the current process (As-Is) and the desired end state (To-Be). The objectives of the comparison are to highlight functional differences, identify activities required to attain the recommended end-state, identify needed human, financial, and technological resources and anticipated process owners and stakeholder roles and responsibilities. The Contractor shall assist the SEC with socialization of the To-Be process across all stakeholders to obtain consensus for implementation.

C.5.5.5 Subtask 5.5 – Process Documentation Support The Contractor shall document the SEC As-Is and To-Be processes using industry standard notations including process flow charts and diagrams, narrative descriptions and any analyzes performed. The Contractor shall maintain the documentations as required.

C.5.5.6 Subtask 5.6 – Process Implementation Support The Contractor shall develop alternative work processes, define implementation strategy, prepare implementation documentation, and develop supporting business rules in order to implement the improved To-Be process. The implementation plan shall translate the required changes into a defined work plan that covers all changes needed to be done to reach the target process. The plan shall align the organizational structure, information systems, and policies and procedures with the redesigned processes. The Contractor shall assist with market research for products available that fit the requirement of the new process, and make product recommendations if required. The Contractor shall provide support to develop business and technical requirements for the To-Be process and provide implementation support during the deployment of new business processes or automated workflows.

C.5.5.7 Subtask 5.7 – Process Metrics Support The Contractor shall work with the program staff to develop appropriate process metrics and establish processes to measure, and ensure reports contain relevant information regarding the process performance. The Contractor shall collaborate with management and process owners in the development and deployment of Service Level Agreements (SLA) for transactional procedures, when necessary and appropriate.

C.5.5.8 Subtask 5.8 – Process Tools Support The Contractor shall research commercial off-the-shelf (COTS) and government off-the-shelf (GOTS) products for potential use in process automation, workflow management, or process design. The Contractor shall work with SEC staff to plan and implement COTS/GOTS process management tools that have been selected through the SEC IT investment process.

C.5.5.9 Subtask 5.9 – Process Training Support The Contractor shall provide advice, guidance, and training in the use of process reengineering methodologies and techniques for BPR, or other related process improvement tools, especially any tool selected for use as a standard tool within the framework. The Contractor shall develop and maintain training documentation on improved processes, when deemed necessary by the subject matter experts.

The Contractor shall deliver informal and formal training sessions on improved processes.

C.5.6 Task Area 6.0 – Business and System Requirement Management Support

C.5.6.1 Subtask 6.1 – Requirement Management Process Support The Contractor shall support the SEC in defining and implementing an internal requirements management process. The requirements gathered using the process shall be sufficient to 1) describe business problems to be solved in non-technical terms; 2) map to the business layer of the SEC’s enterprise architecture; 3) define technical solution alternatives; 4) generate sound business cases; 5) translate business requirements into system requirements for IT implementation, and 6) address ongoing maintenance of requirements during the project life cycle. The Contractor shall document the procedures associated with the requirements management process and conduct training sessions for SEC program and IT staff. The Contractor shall assist in developing a requirements document template that dictates a standard format (including document sections or areas to be covered) to be followed for all requirements documents. It should provide examples of the level of detail to be included to drive consistency in requirements documentation.

C.5.6.2 Subtask 6.2 – Business Requirements Analysis Support The Contractor shall work with stakeholders to elicit and fully document functional requirements that accurately reflect business driven requirements and business processes verified by business stakeholders. The Contractor shall gather and analyze the SEC’s business and functional needs from an end-user’s perspective, define current (As-Is) and target (To-Be) business processes and prepare gap analyses. The Contractor shall suggest improvements in business processes, including where IT can be leveraged to improve productivity and quality of service, and develop use case scenarios that model the desired business workflows using industry standard notations. The Contractor shall define data requirements in accordance with the required information flow in the desired business process. The Contractor shall work with program staff to develop appropriate process metrics and establish processes to measure process performance and business outcomes. The Contractor shall collaborate with management and process owners in the development and deployment of Service Level Agreements (SLA) for transactional procedures, when necessary and appropriate. The Contractor shall document business and functional requirements in detail using standard techniques, tools and templates accepted by the SEC.

C.5.6.3 Subtask 6.3 – System Requirements Support The Contractor shall develop system requirements with detailed documentations, performance specifications, system specifications, data specifications, and interface specifications according to the SEC’s System Develop Life Cycle (SDLC) standard. The Contractor shall analyze information requirements; analytically and systematically evaluate problems of workflow and organization; and plan for corrective action. The Contractor shall develop plans for automated information systems from project inception to conclusion. The Contractor shall analyze the problems and the information to be processed and develop system requirements and application specifications, from which developers will prepare detailed workflows, applications designs, solutions and tests. The Contractor shall develop, in conjunction with functional users, alternative solutions. The Contractor shall maintain and update system requirement documents throughout the project lifecycle, and produce standardized documentation (e.g., user guides, requirements documents, requirement traceability matrix (RTM), on-line Help, standard operating procedures (SOP), system specification, interface document, and other documentation).

C.5.6.4 Subtask 6.4 – Requirements Management Tools Support The Contractor shall research commercial off-the-shelf (COTS) and government off-the-shelf (GOTS) products for potential use in requirements management, system analysis and defects tracking. The Contractor shall work with SEC staff to plan and implement COTS/GOTS requirement management tools that have been selected through the SEC’s IT investment process. The Contractor shall provide training to SEC users on the use of the selected requirements tools.

C.5.7 Task Area 7.0 – Policy Management Support The Contractor shall work with the policy owner’s designated subject matter experts (SMEs) to revise existing policy documents and, when indicated, establish new policy documents, within the context of the existing SEC Policy Framework and policy development process. All policy development and documentation will be under the strict oversight of SEC staffs. All draft policy documents shall be presented to the responsible SEC policy owner and approval authority for review.

C.5.7.1 Subtask 7.1 – Policy Review Support The Contractor shall review and analyze current federal statutes, regulations, policies, legislations, OMB and GAO directives and mandates to ensure compliance, and provide an assessment on the future impact to local SEC policies, guidelines, and operating procedures as well as to future SEC programs, projects, services, initiatives, and other acquisition related matters. The Contractor shall provide subject matter expertise to ensure compliance with current federal statutory and regulatory requirements, to include tailoring of these requirements, as permitted. The Contractor shall review the references available to customers and provide recommendations to the SEC for consideration of potential changes to policy, guidelines, directives, instructions, regulations, processes and procedures required in support of the SEC mission.

C.5.7.2 Subtask 7.2 – Policy Development and Communication Support The Contractor shall assist SMEs in analysis, evaluation, development, creation, rescission, and whenever possible, consolidation of SEC policies, guidelines, and operating procedures. The Contractor shall facilitate communication among all stakeholders when policy documents are owned by multiple SEC offices and/or divisions. The Contractor shall be an active participant in the SEC Policy Working Group, and supporting effective communications among group members. The Contractor shall support dissemination of policy-related information in appropriate forums, such as IT Specialist conference calls and agency training conferences.

C.5.7.3 Subtask 7.3 – Policy Training Support The Contractor shall assist in providing training to SEC staff as needed on the purposes of SEC policy development and the process used at the SEC. The Contractor shall develop training materials and coach staff in using the process to efficiently and effectively create policy.

C.5.8 Task Area 8.0 - Budget, Financial, and Cost Management Support The Contractor shall assist the SEC with office, division or program level budget formulation and execution to include all phases of the budget life cycle. The Contractor shall provide support for preparing annual operating plans and financial reports, developing budget justifications, conduct budget analysis, preparing OMB budget exhibits, and maintaining office, division or program level budget database and tools. The tasks may include but are not limited to the following

· Assist in data collection, data tracking and document production by developing and producing budgetary reports and charts for SEC management using several systems.

· Develop budget variance analyses and projections that support budget execution and formulation with a focus on budget status, variance and budget projections. The reports will provide a reconciliation of budgetary resources for a multi-million dollar budget consisting of both General Fund and Reserve Fund investments.

· Prepare monthly plan analyses using charts, tables and graphs to inform management on budget status.

· Develop written budget justification narratives to support future budget requests.

· Develop briefing packages for program reviews for current and budget year status

· For IT investments, work closely with budget and CPIC staff to develop project tracking and status reports for the approved IT portfolio.

· Review and analyze program office budget requests consistent with management guidance.

· Interpret and assess the impact of updates to budget requests.

· Develop database reports from the system of record for project status on budget allocation and commitment status.

· Consolidate database reports collected from the SEC’s financial system of record, Delphi; OIT’s budgeting system, a standalone MS Access database; and the SEC’s project and portfolio management system.

· Develop graphical user interface (GUI) templates to optimize program-level data collection for budget execution and formulation that allow for the strategic manipulation of different types of data in a single location.

· Prepare budget templates to include detailed data for each project; develop reports for multiple-year budget formulation and operating plan status.

· Document procedures for major requirements above and report on any challenges.

C.5.9 Task Area 9.0 – Transition and Technical Management Support

C.5.9.1 Subtask 9.1 – Transition Management Support The Contractor shall provide support to the OIT transition management process throughout the System Development Life Cycle (SDLC). The Contractor shall assist with the execution and oversight of project phase gate (PG) reviews throughout the Planning, Design, Technical Solution, Testing and Deployment phases in accordance with the SEC’s published SDLC guideline. The Contractor shall plan, schedule, coordinate and participate in project PG review meetings, review system documentation for compliance, and track post review actions. The Contractor shall maintain PG review information in the OIT’s Transition Management database. The Contractor shall assist in the quality control testing, performance testing and production readiness reviews for IT solutions prior to production deployment. The Contractor shall support the continuous improvement of the transition management process.

C.5.9.2 Subtask 9.2 – Product Support Strategy Support The Contractor shall review and assist in developing post-release product support strategies that will optimize total system performance and availability, and achieve life cycle cost savings.