AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT

2. AMENDMENT/MODIFICATION NO. 3. EFFECTIVE DATE

BPA NO.

1. CONTRACT ID CODE

PAGE

1

OF PAGES

21

4. REQUISITION/PURCHASE REQ. NO.

5. PROJECT NO. (If applicable)

0002
6. ISSUED BY CODE

10/24/2006

99-0693-559
7. ADMINISTERED BY (If other than Item 6) CODE

OASAM Office of Procurement Services U. S. Department of Labor RM N5416 200 Constitution Ave., NW Washington DC 20210

OASAM Office of Procurement Services U. S. Department of Labor RM N5416 200 Constitution Ave., NW Washington DC 20210
9A. AMENDMENT OF SOLICITATION NO.

8. NAME AND ADDRESS OF CONTRACTOR

(No., street, county, State and ZIP Code)

(X)

DOL069RP20266 To all Offerors/Bidders
9B. DATED (SEE ITEM 11)

X

09/01/2006
10A. MODIFICATION OF CONTRACT/ORDER NO.

10B. DATED (SEE ITEM 13) CODE FACILITY CODE

11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS
X x Is extended, The above numbered solicitation is amended as set forth in Item 14. The hour and date specified for receipt of Offers is not extended. Offers must acknowledge receipt of this amendment prior to the hour and date specified in the solicitation or as amended, by one of the following methods:

(a) By completing Items 8 and 15, and returning __________ copies of the amendment; (b) By acknowledging receipt of this amendment on each copy of the offer submitted; or (c) By separate letter or telegram which includes a reference to the solicitation and amendment numbers. FAILURE OF YOUR ACKNOWLEDGMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER. If by virtue of this amendment you desire to change an offer already submitted, such change may be made by telegram or letter, provided each telegram or letter makes reference to the solicitation and this amendment, and is received prior to the opening hour and date specified.
12. ACCOUNTING AND APPROPRIATION DATA (If required)

N/A

13. THIS ITEM APPLIES ONLY TO MODIFICATIONS OF CONTRACTS/ORDERS, IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14.
A. THIS CHANGE ORDER IS ISSUED PURSUANT a TO: (Specify authority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE CONTRACT ORDER NO. IN ITEM 10A.

B. THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b). C. THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF:

(such as changes in paying office, appropriation date, etc.)

D. OTHER (Specify type of modification and authority)

E. IMPORTANT:

Contractor

is not,

x

is required to sign this document and return ___________ copies to the issuing office. 1

14. DESCRIPTION OF AMENDMENT/MODIFICATION

(Organized by UCF section headings, including solicitation/contract subject matter where feasible.)

The above referenced solicitation is hereby amended to: (i) extend the closing date for this solicitation to November 27, 2006; (ii) incorporate administrative changes to the contractual sections of the RFP; (iii) incorporate administrative changes to the technical sections of the RFP; and (iv) provide an electronic copy of Attachment B in Microsoft Excel format as previously noted in Technical Question 28. Please see Page 2 – Page 21. As stated under Section E of the Standard Form 30, vendors with intent to bid on this solicitation are required to sign this amendment and return an original copy to the Department’s Contracting Officer by no later than October 27, 2006, or three calendar days after issuance of this Amendment to the Solicitation on FedBizOpps.

Except as provided herein, all terms and conditions of the document referenced in Item 9A or 10A, as heretofore changed, remains unchanged and in full force and effect. 15A. NAME AND TITLE OF SIGNER (Type or print) 16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or print)

ERIC F. VOGT Chief, Division of Contract Negotiations Office of Procurement Services
15B. CONTRACTOR/OFFEROR 15C. DATE SIGNED 16B. UNITED STATES OF AMERICA BY (Signature of person authorized to sign) (Signature of Contracting Officer) STANDARD FORM 30 (REV. 10-83) 16C. DATE SIGNED

DOL069RP20266 – Amendment 02

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DOL – EFAST2 Solicitation No. DOL069RP20266 Amendment 02
The above referenced solicitation is hereby amended to: (i) extend the closing date for this solicitation to November 27, 2006; (ii) incorporate administrative changes to the contractual sections of the RFP; (iii) incorporate administrative changes to the technical sections of the RFP; and (iv) provide an electronic copy of Attachment B in Microsoft Excel format as previously noted in Technical Question 28. The following changes represent further clarification to the EFAST2 Solicitation. Except as stated below, all other terms and conditions remain unchanged. Extension The Government hereby extends the closing date for this solicitation until 5:00 PM Eastern Standard Time, Monday, November 27, 2006. Accordingly, the Government amends Section A cover letter to reflect the extension. Concurrently, the Section L.9.8.5 – Labor Rate and Indirect Rate Verification is also modified to extend the due date for a separate copy of the Offeror’s "Business Proposal" to December 27, 2006. 1) As such, please delete the following paragraph from the Section A cover letter:
“Interested Offerors are requested to notify the Contracting Officer in writing via email of their intent to respond no later than September 8, 2006, 5:00 pm Eastern Standard Time to the following e-mail address: carrion.sonya@dol.gov. This non-binding letter of intent should include the company name, address, phone number, e-mail address, and point of contact. Offeror clarification questions shall be submitted to Sonya Carrion (Carrion.Sonya@dol.gov) in accordance with Section L.12 of the RFP DOL069RP20266 and no later than September 22, 2006, 5:00 pm Eastern Standard Time. All future requests for information concerning this solicitation and/or materials submitted after September 30, 2006 shall be directed to Paula Sheelor at Sheelor.Paula@dol.gov. Technical and Business proposals must be received by the U. S. Department of Labor, Office of the Assistant Secretary for Administration and Management, Office of Procurement Services, N-5416 200 Constitution Avenue, NW, Washington, DC, 20210-0001, no later than November 13, 2006, 5:00 pm Eastern Standard Time.”

And substitute the following in lieu thereof:
“Interested Offerors are requested to notify the Contracting Officer in writing via email of their intent to respond no later than September 8, 2006, 5:00 pm Eastern Standard Time to the following e-mail address: carrion.sonya@dol.gov. This non-binding letter of intent should include the company name, address, phone number, e-mail address, and point of contact. Offeror clarification questions shall be submitted to Sonya Carrion (Carrion.Sonya@dol.gov) in accordance with Section L.12 of the RFP DOL069RP20266 and no later than September 22, 2006, 5:00 pm Eastern Standard Time. All future requests for information concerning this solicitation and/or materials submitted after September 30, 2006 shall be directed to Paula Sheelor at Sheelor.Paula@dol.gov. Technical and Business proposals must be received by the U. S. Department of Labor, Office of the Assistant Secretary for Administration and Management, Office of Procurement Services, N-5416 200 Constitution Avenue, NW, Washington, DC, 20210-0001, no later than November 27, 2006, 5:00 pm Eastern Standard Time.”

2) Concurrently, under Section L of the Contract Schedule, following paragraph from Section L.9.8.5 in its entirety:

delete

the

DOL069RP20266 – Amendment 02
L.9.8.5 LABOR RATE AND INDIRECT RATE VERIFICATION “The Offeror shall forward a separate copy of the Offeror’s cognizant federal audit agency office by under this RFP for the main proposal. This copy shall be conveyed through a separate transmittal guidance text for the audit office:

Page 3

Offeror’s "Business Proposal" to the the same due date and time applicable of the Offeror’s "Business Proposal" letter, which includes the following

The U.S. Department of Labor, Office of the Assistant Secretary for Administration and Management, Procurement Services Center, Rm. N-5416, 200 Constitution Avenue, N.W. Washington D.C. 20210 requests that your office review this cost proposal for labor and indirect rates verification. Please forward your response to the above address - ATTN: ERIC VOGT by November 13, 2006.”

And substitute the following in lieu thereof:
L.9.8.5 LABOR RATE AND INDIRECT RATE VERIFICATION “The Offeror shall forward a separate copy of the Offeror’s cognizant federal audit agency office by under this RFP for the main proposal. This copy shall be conveyed through a separate transmittal guidance text for the audit office: Offeror’s "Business Proposal" to the the same due date and time applicable of the Offeror’s "Business Proposal" letter, which includes the following

The U.S. Department of Labor, Office of the Assistant Secretary for Administration and Management, Procurement Services Center, Rm. N-5416, 200 Constitution Avenue, N.W. Washington D.C. 20210 requests that your office review this cost proposal for labor and indirect rates verification. Please forward your response to the above address - ATTN: ERIC VOGT by December 27, 2006.”

To provide an additional thirty days after the revised proposal due date for the cognizant federal agency review. This amendment also reflects the changes addressed in Contractual Question 43.

Contractual Sections 1) Under Section B of the Contract Schedule, delete Section B in its entirety and replace with the attached wholesale replacement of Section B (See Attachment 1 to this Amendment). Explanation of Changes: This wholesale replacement reflects changes to Section B.2 to clarify that Option Period I is an 11-month period of performance and Option Periods II-XI are each a 12-month period of performance. This change is executed to reflect the changes addressed in Contractual Question 4. This wholesale replacement reflects changes to Sections B.2.1.3, B.2.1.4, and B.2.1.4.1 to replace the term “fixed fee” with “base fee” for all CPAF requirements. This change also eliminates the text “FAR 52.216-08 – Fixed Fee for the Base Period – Fixed Fee Component” from Section B.2.1.5. This change is executed to reflect the changes addressed in Contractual Question 5. This wholesale replacement reflects changes to Section B.2.1.4.2 to clarify that the maximum Base Period Award Fee for each component should be 33.4% (Component 1), 33.3% (Component 2), and 33.3% (Component 3). This change is executed to reflect the changes addressed in Contractual Question 7. This wholesale replacement reflects changes to administratively clarify Section B.2.2.4. Specifically, to clarify that fees, expenses, and costs associated with computers and equipment will be incurred during operations

DOL069RP20266 – Amendment 02

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into the FFP structure in Option Period I (2nd Component). This change is executed to reflect the changes address in Contractual Question 8. This wholesale replacement reflects changes to Section B.2.3.3 to clarify the pricing and invoicing methodology for CLINS 1, 2, and 3. This change is executed to reflect the changes addressed in Contractual Question 9. Finally, this wholesale replacement reflects changes to Section B.2.3.4 to clarify that the Government will request the Contractor to submit a responsive proposal for the unreimbursed portion of equipment and software items if the Government wishes to take title to these items. This change is executed to reflect the changes addressed in Contractual Question 11. 2) Under Section G of the Contract Schedule, delete the following from Section G.5 in its entirety:
G.5 (a) 52.217-9 OPTION TO EXTEND THE TERM OF THE CONTRACT The Government may extend the term of this contract by written notice to the Contractor within sixty (60) calendar days of contract expiration, provided that the Government gives the Contractor a preliminary written notice of its intent to extend at least thirty (30) calendar days before the contract expires. The preliminary notice does not commit the Government to an extension. If the Government exercises this option, the extended contract shall be considered to include this option clause. The total duration of this contract, including the exercise of any options under this clause, shall not exceed 11 years.

(b)

(c)

And substitute the following in lieu thereof:
G.5 (a) 52.217-9 OPTION TO EXTEND THE TERM OF THE CONTRACT The Government may extend the term of this contract by written notice to the Contractor within sixty (60) calendar days of contract expiration, provided that the Government gives the Contractor a preliminary written notice of its intent to extend at least thirty (30) calendar days before the contract expires. The preliminary notice does not commit the Government to an extension. If the Government exercises this option, the extended contract shall be considered to include this option clause. The total duration of this contract, including the exercise of any options under this clause, shall not exceed 12 years and 3 months.

(b)

(c)

To reflect a wholesale replacement of Section G.5 to clarify that the total duration of this contract to 12 years and 3 months. This change is executed to reflect changes addressed in Contractual Question 14 and 15. 3) Under Section H of the Section H.6 in its entirety: Contract Schedule, delete the following from

H.6 RIGHT IN DATA AND COPYRIGHT “Throughout the period of the EFAST2 Contract, the Contractor shall perform in accordance with Section I. The Government and the Contractor shall each have rights in data and copyright in accordance with this clause and Section I of the Contract. In the case of any conflict, this caluse shall govern. For the Government, these rights include unlimited data rights, limited data and restricted software rights, rights prohibiting unauthorized marking, rights addressing subcontractor performance, copyrights, and patent rights. For the Contractor, these rights include the right to protect from unauthorized disclosure and use of any data deemed limited rights data or restricted software, and the right to establish claim to technical or scientific articles based on EFAST2 data published in professional trade journals or similar works. The following addresses, in detail, each of the Government and Contractor’s rights in data.”

DOL069RP20266 – Amendment 02

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And substitute the following in lieu thereof:
H.6 RIGHT IN DATA AND COPYRIGHT “Throughout the period of the EFAST2 Contract, the Contractor shall perform in accordance with Section I. The Government and the Contractor shall each have rights in data and copyright in accordance with this clause and Section I of the Contract. In the case of any conflict, this clause shall govern. For the Government, these rights include unlimited data rights, limited data and restricted software rights, rights prohibiting unauthorized marking, rights addressing subcontractor performance, copyrights, and patent rights. For the Contractor, these rights include the right to protect from unauthorized disclosure and use of any data deemed limited rights data or restricted software, and the right to establish claim to technical or scientific articles based on EFAST2 data published in professional trade journals or similar works. The following addresses, in detail, each of the Government and Contractor’s rights in data.”

To administratively sentence.

correct

the

misspelling

of

“clause”

in

the

second

4) Under Section H of the Contract Section H.12.1 in its entirety:

Schedule,

delete

the

following

from

H.12.1 Base Period and Option Period I (1st Component) “The Base Period will be structured into three distinct components, which combined reflect the required 21-month Base Period of Performance for Development and Scale up of EFAST2. During this period, the Government will conduct a series of two Functional Capability Tests (FCTs) of the Contractor’s prototype/scale up systems and a final Systems Acceptance Test (SAT) of the production system prior to granting official Authority to Operate (ATO) the Firm Fixed Price (FFP) EFAST2 operations. The Option Period I (1st Component) will be a 6 month period during which the Contractor shall conduct advance, preprocessing activities necessary to prepare for system startup. Option Period I (1st Component) will be a Cost Plus Fixed Fee contract period that occurs concurrently with the last 6 months of the Base Period. At the conclusion of Base Period, and prior to commencement of Option Period I (2nd Component), the Contractor shall correct all system defects and deficiencies identified by the Government in its FCTs and/or SAT. If the Contractor cannot demonstrate the ability to correct system defects and deficiencies by the end of the Government’s review of FCT2, or provide an acceptable remediation plan within 30 days of the Government’s review of FCT2, the Government has the right to terminate for default. For the purpose of this contract, a defect shall be defined as a critical nonconformance that is likely to prevent performance of a vital agency mission under EFAST2; a deficiency shall be defined as a major or minor nonconformance that reduce the usability of EFAST2 supplies or services for their intended purpose, as specified in Attachment M. Defects and deficiencies must be recorded in the CM reporting system as Error Reports (ERs) as specified in Section C.25.”

And substitute the following in lieu thereof:
H.12.1 Base Period and Option Period I (1st Component) “The Base Period will be structured into three distinct components, which combined reflect the required 21-month Base Period of Performance for Development and Scale up of EFAST2. During this period, the Government will conduct a series of two Functional Capability Tests (FCTs) of the Contractor’s prototype/scale up systems and a final Systems Acceptance Test (SAT) of the production system prior to granting official Authority to Operate (ATO) the Firm Fixed Price (FFP) EFAST2 operations. The Option Period I (1st Component) will be a 5 month period during which the Contractor shall conduct advance, preprocessing activities necessary to prepare for system startup. Option Period I (1st Component) will be a Cost Plus Fixed Fee contract period that occurs concurrently with the last 5 months of the Base Period. At the conclusion of Base Period, and prior to commencement of Option Period I (2nd Component), the Contractor shall correct all system defects and deficiencies identified by the Government in its FCTs and/or SAT. If the Contractor cannot demonstrate the ability to correct system defects and deficiencies by the end of the Government’s review

DOL069RP20266 – Amendment 02

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of FCT2, or provide an acceptable remediation plan within 30 days of the Government’s review of FCT2, the Government has the right to terminate for default. For the purpose of this contract, a defect shall be defined as a critical nonconformance that is likely to prevent performance of a vital agency mission under EFAST2; a deficiency shall be defined as a major or minor nonconformance that reduces the usability of EFAST2 supplies or services for their intended purpose, as specified in Attachment M. Defects and deficiencies must be recorded in the CM reporting system as Error Reports (ERs) as specified in Section C.25.”

To reflect a wholesale replacement of Sections H.12.1 to clarify that Option Period I (1st Component) of the EFAST2 contract will be a 5-month period. This amendment is executed to reflect the changes addressed in Contractual Question 18. 5) Under Section I of the Contract Schedule, delete the following from Section I.2.a:
I.2.a Clauses Applying to Cost Plus Sections of the Contract- Incorporated by Reference

“The following contract clauses pertinent to this section are hereby incorporated by reference (by Citation Number, Title, and Date) in accordance with the clause at FAR "52.252-2 CLAUSES INCORPORATED BY REFERENCE" in Section I of this contract. See FAR 52.252-2 for an internet address (if specified) for electronic access to the full text of a clause.”

FAR SECTION SC DESCRIPTION ALLOWABLE COST AND PAYMENT 52.216-07 @ 52.216-11 52.232-22 52.242-03 52.242-04 52.243-02 52.244-02A 52.249-06 @ @ @ @ @ @ @ COST CONTRACT -- NO FEE LIMITATION OF FUNDS PENALTIES FOR UNALLOWABLE COSTS CERTIFICATION OF FINAL INDIRECT COSTS CHARGES – COST REIMBURSEMENT ALTERNATE I (APR 1984) SUBCONTRACTS ALTERNATE I (JAN 2006) TERMINATION (COST REIMBURSEMENT)

DATE Dec-02 Apr-84 Apr-84 May-01 Jan-97 Aug-87 Jan-06 May-04

And substitute the following in lieu thereof:
I.2.a Clauses Applying to Cost Plus Sections of the Contract- Incorporated by Reference

“The following contract clauses pertinent to this section are hereby incorporated by reference (by Citation Number, Title, and Date) in accordance with the clause at FAR "52.252-2 CLAUSES INCORPORATED BY REFERENCE" in Section I of this contract. See FAR 52.252-2 for an internet address (if specified) for electronic access to the full text of a clause.”

FAR SECTION SC DESCRIPTION 52.216-07 @ ALLOWABLE COST AND PAYMENT 52.232-22 52.242-03 @ LIMITATION OF FUNDS @ PENALTIES FOR UNALLOWABLE COSTS

DATE Dec-02 Apr-84 May-01

DOL069RP20266 – Amendment 02

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52.242-04 52.243-02 52.244-02 52.249-06

@ CERTIFICATION OF FINAL INDIRECT COSTS @ CHANGES – COST REIMBURSEMENT ALTERNATE I (APR 1984) @ SUBCONTRACTS @ TERMINATION (COST REIMBURSEMENT)

Jan-97 Aug-87 Jan-06 May-04

To reflect a wholesale replacement of Section I.2.a to delete FAR 52.216-11, and remove “Alternate 1” from FAR 52.244-02. This change is executed to reflect changes addressed in Contractual Question 22. 6) Under Section I of the Contract Schedule, delete the following FAR 52.20402 from Section I.2.c: 52.204-02 SECURITY REQUIREMENTS Aug-96

And add the following FAR 52.233-01 to Section I.2.c: 52.233-01 DISPUTES Jul-02

To reflect the changes addressed in Contractual Questions 24 and 25. 7) Under Section L of the Contract Schedule, delete Section L in its entirety and replace with the attached wholesale replacement of Section L (See Attachment 2 of this Amendment). Explanation of Changes: This wholesale replacement reflects changes to Section L.8.2.5.7 to correct references in L.8.2.5.7.(d) to C.10.6.7 - C.10.6.12 with C.10.6.6 C.10.6.6.5. This change is executed to reflect the changes addressed in Contractual Question 30. This wholesale replacement reflects changes to Section L.8.4.1 to replace references to Cost Performance Report with Contract Performance Report. This change is executed to reflect the changes addressed in Contractual Question 31. This wholesale replacement reflects changes to Section L.8.5.1 to replace the phrase “length of time in business” with “years of industry experience.” This change is executed to reflect the changes addressed in Contractual Question 32. This wholesale replacement reflects a change to clarify the identification of key personnel assigned to prior projects rather than all non-clerical staff. This change is executed to reflect changes addressed in Contractual Question 34 and 36. This wholesale replacement reflects changes to Section L.8.5.2 to clarify that the requirement can be applied to both active and completed projects and may include projects performed by proposed subcontractors. This change is executed to reflect the changes addressed in Contractual Questions 35 and 37.

DOL069RP20266 – Amendment 02

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This wholesale replacement reflects changes to Section L.8.7 to exempt small businesses in accordance with NAICS 541511 and a size standard of $23,000,000 from the Small Business Subcontracting Utilization Plan requirement. This change is executed to reflect the changes addressed in Contractual Questions 40. This wholesale replacement reflects changes to Section L.9.3.a to replace the term “fixed fee” with “base fee” for all CPAF requirements. This change is executed to reflect the changes addressed in Contractual Question 5. 8) Under Section M of the Section M.1 in its entirety:
M.1

Contract

Schedule,

delete

the

following

from

NOTICE LISTING SOLICITATION PROVISIONS INCORPORATED BY REFERENCE CONTRACT AWARD -- SEALED BIDDING (JULY 1990)”

“52.214-10

And substitute the following in lieu thereof:
M.1 Reserved

To correct an administrative error. The EFAST2 award will be based on a best value determination, rather than price and price-related factors. 8) Under Section M of the Contract Section M.3.7 in its entirety: Schedule, delete the following from

M.3.7 Small Business Subcontracting Utilization Plan (25 Points) “Subcontracting plans will be awarded up to 25 point, reflecting the extent to which the contractor proposes to meet the following subcontracting utilization goals. At least 10% of the total contract award shall be subcontracted. 1) Of the subcontracting portion of the award, at least 60% will be awarded to small businesses; 2) 11 % of the subcontracting portion of the award to small disadvantaged business; 3) 7% of the subcontracting portion of the award to women-owned small business; 4) 3% of the subcontracting portion of the award to HUB Zone small business; 5) 3% of the subcontracting portion of the award to veteran-owned small business; 6) 3% of the subcontracting portion of the award to service-disabled veteran-owned small business. Note: Small business categories are not mutually exclusive; subcontract dollars may be attributed to as many categories as are applicable.”

And substitute the following in lieu thereof:
M.3.7 Small Business Subcontracting Utilization Plan (25 Points)

“Subcontracting plans will be awarded up to 25 point, reflecting the extent to which the contractor proposes to meet the following subcontracting utilization goals. At least 10% of the total contract award shall be subcontracted. 1) Of the subcontracting portion of the award, at least 60% will be awarded to small businesses; 2) 11 % of the subcontracting portion of the award to small disadvantaged business; 3) 7% of the subcontracting portion of the award to women-owned small business; 4) 3% of the subcontracting portion of the award to HUB Zone small business; 5) 3% of the subcontracting portion of the award to veteran-owned small business; 6) 3% of the subcontracting portion of the award to service-disabled veteran-owned small business. Note: Small business categories are not mutually exclusive; subcontract dollars may be attributed to as many categories as are applicable. Offerors that are small businesses (i.e. businesses with NAICS Code of 541511 and a size standard of $23,000,000) are automatically eligible for award of the maximum 25 points for the Small Business Subcontracting Utilization Plan.”

To reflect a wholesale replacement of Section M.3.7 to indicate that small businesses are automatically eligible for award of the maximum 25 points for the Small Business Subcontracting Utilization Plan. This change is executed to reflect the changes addressed in Contractual Questions 45.

DOL069RP20266 – Amendment 02

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9) Under Attachment B of the Contract Schedule, delete Attachment B in its entirety and replace with the attached wholesale replacement of Attachment B (See Attachment 3 to this Amendment). Explanation of Changes: This wholesale replacement of Attachment B reflects all changes made to Section L, as described above. This change is executed to reflect the changes addressed in Contractual Questions 30, 31, 32, 34, 35, 37, and 40. Additionally, an electronic copy of Attachment B in Microsoft Excel format has been provided to support offerors’ completion of the attachment in their EFAST2 proposal, per the change addressed in Contractual Question 28. 10) Under Attachment Q of the Contract Schedule, delete Attachment Q in its entirety and replace with the attached wholesale replacement of Attachment Q (See Attachment 4 to this Amendment). Explanation of Change: This wholesale replacement reflects changes to Q.1, Q.2, and Q.3 to clarify that the maximum Base Period Award Fee for each component should be 33.4% (Component 1), 33.3% (Component 2), and 33.3% (Component 3). This change is executed to reflect the changes addressed in Contractual Question 7. 11) Under Attachment T of the Contract Schedule, delete Attachment T in its entirety and replace with the attached wholesale replacement of Attachment T (See Attachment 5 to this Amendment). Explanation of Change: This wholesale replacement of Attachment T reflects changes to T.1-1 and T.12 to remove any inconsistencies between Section B and Attachment T. This change is executed to reflect the changes addressed in Contractual Question 10. Technical Section 1) Under Section C of the Contract Schedule, delete the following performance standard from Exhibit C.2.1 in its entirety:

6.3

Data Distribution / n% of EBSA “push” data distributions shall be delivered timely, Timeliness (EBSA) as described in Section C.15, Section F, and Attachment E.

99.99 / 99.99

And substitute the following in lieu thereof: Data Distribution n% of EBSA “push” data distributions shall be delivered / Timeliness timely, as described in Section C.15, Section F, and (EBSA) Attachment E. n% of IRS “push” data distributions shall be delivered Data Distribution timely, as described in Section C.15, Section F, and / Timeliness (IRS) Attachment E.

6.3.1

99.99 / 99.99

6.3.2

99.99 / 99.99

DOL069RP20266 – Amendment 02

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6.3.3

Data Distribution n% of PBGC “push” data distributions shall be delivered / Timeliness timely, as described in Section C.15, Section F, and (PBGC) Attachment E.

99.99 / 99.99

To reflect a wholesale replacement of Performance Standard 6.3 with Performance Standards 6.3.1, 6.3.2, and 6.3.3 to clarify that performance standards for push data distributions to EBSA, IRS, and PBGC are in accordance with Section C.15, Section F, and Attachment E. This change is executed to reflect the changes addressed in Technical Questions 72 and 104. 2) Under Section C of the Contract Schedule, delete the following performance standard from Exhibit C.2.1 in its entirety: 99.9% of all changes to static content visible on the EFAST2 Web Portal Static web portal, or content of any communication with filers, Content Changes / software developers, or other third parties, shall be accurately Timeliness implemented as needed within n days of Contractor receipt of Government’s request.

7.1

1/1

And substitute the following in lieu thereof: 99.9% of all changes to static content visible on the EFAST2 Web Portal Static web portal, or content of any communication with filers, Content Changes / software developers, or other third parties, shall be Timeliness accurately implemented as needed within n days of Contractor receipt of Government’s request.

7.1

2/2

To reflect a wholesale replacement of Performance Standard 7.1 to increase the implementation time of web portal content changes to 2 days for peak and non-peak processing periods. This change is executed to reflect the changes addressed in Technical Question 26. 3) Under Section C of the Contract Schedule, delete the following performance standard from Exhibit C.2.1 in its entirety:

8.6

Contact Center / Email responses

Queries received by email or web form shall be responded to within n hours / days.

24 hours / 2 days

And substitute the following in lieu thereof:

8.6

Contact Center / Email responses

Queries received by email or web form shall be responded to within n hours / days.

2 days / 24 hours

To reflect a wholesale replacement of Performance Standard 8.6 to allow for response times of 2 days during peak processing periods and 24 hours during non-peak processing periods. This change is executed to reflect the changes addressed in Technical Questions 19, 22, and 31. 4) Under Section C of the Contract Schedule, delete the following paragraph from Section C.10.2 in its entirety:
C.10.2 Web Portal

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“The Contractor shall develop, host, and maintain a secure, current, scalable, and userfriendly (as defined by such authorities on usability and accessibility as http://usability.gov and http://w3.org) EFAST2 web portal. The portal shall allow users to access a broad array of EFAST2 resources and services at a consolidated location on the Internet. The Contractor shall develop the web portal in accordance with all Government requirements regarding public websites including the OMB Policies for Federal Public Websites, NIST publication 800-44 Guidelines on Securing Public Web Servers, and the E-Government Act of 2002.”

And substitute the following in lieu thereof:
C.10.2 Web Portal “The Contractor shall develop, host, and maintain a secure, current, scalable, and userfriendly (as defined by such authorities on usability and accessibility as http://usability.gov and http://w3.org) EFAST2 web portal. The portal shall allow users to access a broad array of EFAST2 resources and services at a consolidated location on the Internet. The Contractor shall develop the web portal in accordance with all Government requirements regarding public websites which are cited by the contract and referenced in Attachment N including the OMB Policies for Federal Public Websites, NIST publication 800-44 Guidelines on Securing Public Web Servers, and the E-Government Act of 2002.”

To reflect a wholesale replacement of Section C.10.2 to clarify that the Contractor shall develop the web portal in accordance with all Government requirements regarding public websites as cited in the contract and the above-mentioned Government resources. This change is executed to reflect the changes addressed in Technical Question 44. 5) Under Section C of the Contract Schedule, delete the following paragraph from Section C.10.3.6.2 in its entirety:
C.10.3.6.2 Get Forgotten Credential Authentication “The Contractor’s IREG website shall include a webpage for registered individuals who have forgotten their ID, PIN, and/or password. The website shall have an automated challenge requesting the individual’s email address and secret knowledge information supplied during registration. The Contractor shall treat large numbers of forgotten credential requests as a security incident. If the email address and secret knowledge entered matches a record in the IREG database, the Contractor shall issue an automated email containing a secure link within five (5) minutes. This secure link will take the user to a web page allowing the registered applicant to change their ID, PIN, and/or password. If the email address and/or secret knowledge entered does not match a record in the IREG database, the Contractor shall send an email to the last supplied email address (from the forgotten credential webpage) notifying the individual of the error. The Contractor shall not specify which portion of the credential was incorrect (the email address or secret knowledge) but only state the supplied information did not match the IREG database records and instruct the individual to apply for new credentials by submitting a new IREG application. Batch transmitters would not be able to retrieve their ID or PIN and must re-apply for a new credential if needed.”

And substitute the following in lieu thereof:
C.10.3.6.2 Get Forgotten Credential Authentication “The Contractor’s IREG website shall include a webpage for registered individuals who have forgotten their ID, PIN, and/or password. The website shall have an automated challenge requesting the individual’s email address and secret knowledge information supplied during registration. The Contractor shall treat large numbers of forgotten credential requests as a security incident. If the email address and secret knowledge entered matches a record in the IREG database, the Contractor shall issue an automated email containing a secure link within five (5) minutes. This secure link will take the user to a web page allowing the registered applicant to view their ID, PIN, and/or password. If the email address and/or secret knowledge entered does not match a record in the IREG database, the Contractor shall send an email to the last supplied email address (from the forgotten credential webpage) notifying the individual of the error. The Contractor shall not specify which portion of the credential was incorrect (the email address or secret knowledge) but only state the supplied information did not match the IREG database records and instruct the individual to apply for new credentials by

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submitting a new IREG application. Batch transmitters would not be able to retrieve their ID or PIN and must re-apply for a new credential if needed.”

To reflect a wholesale replacement of Section C.10.3.6.2 to specify that a User ID may only be viewed and not changed in the IREG application. This change is executed to reflect the changes addressed in Technical Question 49. 6) Under Section C of the Contract Schedule, delete the following paragraph from Section C.10.5.10 in its entirety:
C.10.5.10 Software Architecture “Unless otherwise proposed and approved by the Government, the IFILE application shall be an interactive web form-fill application hosted entirely on the public website. This web based application shall present each individual form and schedule in their entirety in a single web page. Each form or schedule shall be on its own page and shall be subject to approval by the Government.”

And substitute the following in lieu thereof:
C.10.5.10 Software Architecture “Unless otherwise proposed and approved by the Government, the IFILE application shall be an interactive web form-fill application hosted entirely on the public website. This web based application shall present each individual form and schedule in their entirety in a single web page. Each form face or schedule face shall be on its own page and shall be subject to Government approval.”

To reflect a wholesale replacement of Section C.10.5.10 to clarify that each form face or schedule face must be on its own page. This change is executed to reflect changes addressed in Technical Question 63. 7) Under Section C of the Contract Schedule, delete the following paragraphs from Section C.10.6 in its entirety:
C.10.6 Software Developer Support Program Third party software plays a vital role in EFAST2. In the current paper-based EFAST program, approximately 90% of all filings are prepared using Government-certified third party software, and that trend is expected to continue in EFAST2. The Contractor shall enable filers to complete, sign, and submit filings and retrieve filing status information using approved third party software. The Contractor shall establish and maintain a support program for EFAST2 software developers and service providers, and test and certify third party software on behalf of the Government. The Contractor’s software developer support program shall include developer registration, access to schemas and edit test specifications, technical assistance, PATS testing, and award of certification credentials to software packages meeting all requirements for approval. Credentials signifying certified software shall be required by IFAS for filing acceptance and validation of web service requests, as described in Section C.10.4.

And substitute the following in lieu thereof:
C.10.6 Software Developer Support Program Third party software plays a vital role in EFAST2. In the current paper-based EFAST program, approximately 90% of all filings are prepared using Government-certified third party software, and that trend is expected to continue in EFAST2. The Contractor shall enable filers to complete, sign, and submit filings and retrieve filing status information using approved third party software. The Contractor shall establish and maintain a support program for EFAST2 software developers and service providers, and test and certify third party software on behalf of the Government. The Contractor shall ensure software developer support and specifications are developed to induce the widest range of participation by software developers. The Contractor shall not limit access to the software developer support program. If the Contractor acts as a filing software provider or transmission software provider, the Contractor must provide

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IFAS software development and software developer support such that the Contractor’s software provider group has no advantage over other software developers (e.g. early software development or certification, shared code, information testing, etc.) The Contractor’s software developer support program shall include developer registration, access to schemas and edit test specifications, technical assistance, PATS testing, and award of certification credentials to software packages meeting all requirements for approval. Credentials signifying certified software shall be required by IFAS for filing acceptance and validation of web service requests, as described in Section C.10.4.

To reflect a wholesale replacement of Section C.10.6 to ensure that software developer support and specifications are developed to induce the widest range of participation by software developers. 8) Under Section C of the Contract Schedule, delete the following paragraph from Section C.13.1.2 in its entirety:
C.13.1.2 Interruptions Beyond Contractor’s Control “The Government will allow an unplanned interruption of up to 24 hours per month for factors beyond the Contractor’s control. By the end of 24 hours the Contractor shall have resumed accepting EFAST2 filings. If any filing was in process and the filing transmitter had completed identification and authentication with EFAST2 at the time of a planned or unplanned discontinuation of EFAST2, the Contractor shall notify the filing transmitter of the status of the filing, allowing the filing transmitter to resubmit the filing. In the event of an unplanned interruption, the Government will allow the loss of data from filings submitted within five minutes prior to the interruption, subject to the following condition: the Contractor shall be able to identify the filers who had submitted filings during that five minute period and shall notify the filer of the loss of data, allowing the filer to resubmit the filing. Other than described here, the Contractor shall suffer no loss of data or access to the system.”

And substitute the following in lieu thereof:
C.13.1.2.1 Interruptions Beyond Contractor’s Control “The Government will allow an unplanned interruption of up to 24 hours per month for factors beyond the Contractor’s control. By the end of 24 hours the Contractor shall have resumed accepting EFAST2 filings. If any filing was in process and the filing transmitter had completed identification and authentication with EFAST2 at the time of a planned or unplanned discontinuation of EFAST2, the Contractor shall notify the filing transmitter of the status of the filing, allowing the filing transmitter to resubmit the filing. In the event of an unplanned interruption, the Government will allow the loss of data from filings submitted within five minutes prior to the interruption, subject to the following condition: the Contractor shall be able to identify the filers who had submitted filings during that five minute period and shall notify the filer of the loss of data, allowing the filer to resubmit the filing. Other than described here, the Contractor shall suffer no loss of data or access to the system.”

To administratively change the section reference from Section C.13.1.2 to Section C.13.1.2.1. 9) Under Section C of the Contract Schedule, delete the following paragraphs from Section C.14.10 in their entirety:
Section C.14.10 Capacity “The Contractor shall develop and manage EFAST2 data and information processes and repositories such that capacities are not exceeded throughout the duration of this contract. The Contractor shall store and manage the full number of plan years of filing data processed during Option Periods II-XI. The Contractor shall populate the IMA with full data from filings received from filers by the Contractor. The Contractor shall design the IMA and other data repositories in an organized and efficient manner. The Contractor shall consider using an XML-enabled, object-relational database or a relational database with tables representing Form 5500 forms and schedules to structure the IMA. The Contractor shall design and size the IMA and other data management elements to accommodate the demands of peak load processing and

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shall consider data processing efficiency, growth over the course of the contract.” performance concerns, and normal

Page 14
database

And substitute the following in lieu thereof:
Section C.14.10 Capacity “The Contractor shall develop and manage EFAST2 data and information processes and repositories such that capacities are not exceeded throughout the duration of this contract. The Contractor shall store and manage the full number of plan years of filing data processed during Option Periods I (2nd Component) through Option Period XI. The Contractor shall populate the IMA with full data from filings received from filers by the Contractor. The Contractor shall design the IMA and other data repositories in an organized and efficient manner. The Contractor shall consider using an XML-enabled, object-relational database or a relational database with tables representing Form 5500 forms and schedules to structure the IMA. The Contractor shall design and size the IMA and other data management elements to accommodate the demands of peak load processing and shall consider data processing efficiency, performance concerns, and normal database growth over the course of the contract.”

To reflect a wholesale replacement of Section C.14.10 to clarify that the Contractor is required to store and manage the full number of plan years of filing data processed during Option Period I (2nd Component) through Option Period XI. This change is executed to reflect the changes addressed in Technical Questions 7 and 47. 10) Under Section C of the Contract Schedule, delete the following paragraph from Section C.15.2.4.1 in its entirety:
C.15.2.4.1 Fonts “The font used for the item # and form labels in facsimiles shall be Helvetica. An exception to this is the font used for the first two digits of the year in the upper right corner on page 1 of each form is Swiss 721 Bold Outline BT. The font for data fields shall be 12 point 10 pitch Courier or Courier New. All alphanumeric type data fields must be printed in upper case.”

And substitute the following in lieu thereof:
C.15.2.4.1 Fonts “The font used for the item # and form labels in facsimiles shall be Helvetica. An exception to this is the font used for the first two digits of the year in the upper right corner on page 1 of each form is Swiss 721 Bold Outline BT. The font for data fields shall be 12 point 10 pitch Courier or Courier New. All alphanumeric type data fields must be printed in the manner specified by the DER output specifications.”

To reflect a wholesale replacement of Section C.15.2.4.1 to remove the requirement that all alphanumeric type data fields be restricted to upper case. The requirement is amended to reflect that all alphanumeric type data fields shall be printed in the manner specified by the DER output specifications. This change is executed to reflect changes addressed in Technical Question 70. 11) Under Section C of the Contract Schedule, delete the following from Section C.15.3.4 in its entirety:
C.15.3.4 Files Pushed to Government

“Daily, the Contractor shall develop filing output and tracking database records according to static Government specifications in Attachment E and push those files to DOL, the IRS, and PBGC. The Contractor shall push files containing the required records to Government servers through a Virtual Private Network (VPN) described in Section C.15.3.4.1. Pushing the files will involve connecting to the Government secure drop box servers through the VPN, FTP-ing files to a specified directory, then renaming the files into the directory. The Contractor shall ensure each pushed file is a reasonable file size for uploading and downloading. If necessary, the Contractor shall create multiple

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files for each drop box to ensure no file sizes are unreasonably large. By 6AM the Contractor shall have completed pushing all files. The Contractor shall have the capability to re-create the pushed files if errors are found or problems arise. The vendor shall have the capability to re-push the files, using the original file names, for up to 30 days after the files are originally distributed.”

And substitute the following in lieu thereof:
“Daily, the Contractor shall develop filing output and tracking database records. Selected records shall be included and formatted in distribution files according to static Government specifications in Attachment E. Distribution files shall be pushed to DOL, IRS, and PBGC as required in Attachment E and in accordance with the Schedule of Deliverables in Section F. The Contractor shall push files containing the required records to Government servers through a Virtual Private Network (VPN) described in Section C.15.3.4.1. Pushing the files will involve connecting to the Government secure drop box servers through the VPN, FTP-ing files to a specified directory, then renaming the files into the directory. The Contractor shall ensure each pushed file is a reasonable file size for uploading and downloading. If necessary, the Contractor shall create multiple files for each drop box to ensure no file sizes are unreasonably large. By 6AM EST the Contractor shall have completed pushing all files. After the required files have been pushed to an agency, the Contractor shall transmit an e-mail notification to that agency’s contact notifying them that their files are ready for pickup. Agency contact information is listed in Attachment E Section 3. The Contractor shall have the capability to re-create the pushed files if errors are found or problems arise. The vendor shall have the capability to re-distribute the files, using the original file names, for up to 30 days after the files are originally distributed.”

To reflect a wholesale replacement of Section C.15.3.4 to eliminate the requirement that files should be pushed daily and clarify that files should be pushed in accordance to Section F and Attachment E. This change is executed to reflect changes addressed in Technical Questions 72 and 104. 12) Under Section C of the Contract Schedule, delete the following paragraph from Section C.22.3.3 in its entirety:
C.22.3.3 Personnel Full Clearance “The estimated completion time for an MBI is one hundred and twenty (120) calendar days from the date of receipt by DOL of the investigatory documents to the completion of the scope of the investigation, when results are favorable. The Contractor is responsible for maintaining an independent copy of the executed Temporary Security Clearance Certification at the Contractor’s facility for subsequent Government inspection and review. The Contractor shall pay the price (estimated to be approximately $450.00 per individual) of the investigation for each person. Within two (2) Federal working days of receiving such certification, the COTR will notify the Contractor in writing of personnel newly certified by OPM to have access to ERISA data.”

And substitute the following in lieu thereof:
C.22.3.3 Personnel Full Clearance “The estimated completion time for an MBI is one hundred and twenty (120) calendar days from the date of receipt by DOL of the investigatory documents to the completion of the scope of the investigation, when results are favorable. The Contractor is responsible for maintaining an independent copy of the executed Temporary Security Clearance Certification at the Contractor’s facility for subsequent Government inspection and review. The Contractor shall pay the price (see http://www.opm.gov/extra/investigate for Federal Investigative Services Billing Rates) of the investigation for each person. Within two (2) Federal working days of receiving such certification, the COTR will notify the Contractor in writing of personnel newly certified by OPM to have access to ERISA data.”

To reflect a wholesale replacement of Section C.22.3.3 to direct the Contractor to http://www.opm.gov/extra/investigate for current MBI prices. This change is executed to reflect changes addressed in Technical Question 85.

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13) Under Section E of the Contract Schedule, delete the following paragraphs from Section E.7.3 in their entirety:
E.7.3 INSPECTION AND ACCEPTANCE OF OPTION PERIOD I (2ND COMPONENT) THROUGH OPTION PERIOD XI PROCESSING DELIVERABLES “During Option Period I (2nd Component) through Option Period XI, the Government will evaluate data disseminated based on the following factors: • Conformance with the data dissemination requirements in Section C.15, and Attachment P (Data Element Requirements) and Attachment E (Interface Requirements Document), and other relevant contract sections. • Determination whether the deliverable fulfills all relevant functional requirements in Section C, Attachment P, Attachment C, Attachment E, and Attachment F, and related contract sections. • Conformance with the performance standards in Section C.2. • Conformance with the security compliance requirements in Section C.22. Each year during Option Period I (2nd Component) through Option Period XI, and before the exercise of the succeeding option period, the Government will conduct an acceptance test of structured data deliverables received during production to ensure that these deliverables can be successfully loaded into the Government’s end user systems. The acceptance test will be based on the validation checks, range checks, and related criteria documented in Attachment P (DER) and Attachment E (IRD). At a minimum, the acceptance test will consist of the following checks: • SPONS-DFE-EIN must have 9 numbers and must not start with 00, 07, 08, 09, 17, 18, 19, 28, 29, 49, 78, 79, 89, 96 or 97 • SPONS-DFE-PN must be 001-999 • TAX-PRD must be valid YYYYMMDD (TAX-PRD will be renamed as Plan Year End Date with valid value of YYYYMMDD) • TRANS-CD must be valid (150, 151, 155, 156, 977) • DOCUMENT-LOCATOR-NUMBER must start with 84, 86, 91, 56, 62, or 72 • DOCUMENT-LOCATOR-NUMBER must have valid doc code, and doc code must match the format of the record • TRANS-DATE must be a valid date (valid date = YYYYMMDD) • RECORD-TYPE-CODE must be valid (C, D, E, I, J, K, L, M, N, O, P, R, S, T, W) • Form 5500 Series record must be present and must always be the first record for a filing • Cannot have more than one Form 5500 Series record for a single filing (can’t have duplicate DOCUMENT-LOCATOR-NUMBERs) The Government will base its decision to exercise each successive option, from Option Period II through Option Period XI, partly on the basis of its review of all production deliverables delivered during the current production option period. Refer to contract Section E.8 for related Functional Capability Test and System Acceptance Test requirements, contract Section C.22 for Security Compliance requirements, and contract Section H.12 for warranty requirements.”

And substitute the following in lieu thereof:
E.7.3 INSPECTION AND ACCEPTANCE OF OPTION PERIOD I (2ND COMPONENT) THROUGH OPTION PERIOD XI PROCESSING DELIVERABLES “During Option Period I (2nd Component) through Option Period XI, the Government will evaluate data disseminated based on the following factors: • Conformance with the data dissemination requirements in Section C.15, and Attachment P (Data Element Requirements) and Attachment E (Interface Requirements Document), and other relevant contract sections. • Determination whether the deliverable fulfills all relevant functional requirements in Section C, Attachment P, Attachment C, Attachment E, and Attachment F, and related contract sections. • Conformance with the performance standards in Section C.2. • Conformance with the security compliance requirements in Section C.22. Each year during Option Period I (2nd Component) through Option Period XI, and before the exercise of the succeeding option period, the Government will conduct an acceptance test of structured data deliverables received during production to ensure that these deliverables can be successfully loaded into the Government’s end user systems. The acceptance test will be based on the validation checks, range checks, and related criteria documented in Attachment P (DER) and Attachment E (IRD). At a minimum, the acceptance test will consist of the following checks:

DOL069RP20266 – Amendment 02
• SPONS-DFE-EIN must have 9 numbers and must not start with 00, 07, 28, 29, 49, 78, 79, 89, 96 or 97 • SPONS-DFE-PN must be 001-999 • TAX-PRD must be valid YYYYMMDD (TAX-PRD will be renamed as Plan valid value of YYYYMMDD) • DOCUMENT-LOCATOR-NUMBER must start with 84, 86, 91, 56, 62, or 72 • DOCUMENT-LOCATOR-NUMBER must have valid doc code, and doc code must the record • SUBMITTED-DATE must be a valid date (valid date = YYYYMMDD) • Form 5500 Series record must be present in a filing. • Cannot have more than one Form 5500 Series record for a single duplicate DOCUMENT-LOCATOR-NUMBERs)

Page 17
08, 09, 17, 18, 19,

Year End Date with

match the format of

filing (can’t have

The Government will base its decision to exercise each successive option, from Option Period II through Option Period XI, partly on the basis of its review of all production deliverables delivered during the current production option period. Refer to contract Section E.8 for related Functional Capability Test and System Acceptance Test requirements, contract Section C.22 for Security Compliance requirements, and contract Section H.12 for warranty requirements.”

To reflect a wholesale replacement of Section E.7.3 to delete variable checks RECORD-TYPE CODE and TRANS-CD. Concurrently, the Trans-Date variable is deleted and replaced by the Submitted-Date variable. Finally, the “first record” check is eliminated. This change is executed to reflect the changes addressed in Technical Questions 90, 91, 92, and 93. 14) Under Section F of the Contract Schedule, delete Section F in its entirety and replace with the attached wholesale replacement of Section F (See Attachment 6 to this Amendment). Explanation of Change: This wholesale replacement reflects changes to the Transmission of Structured Data Records to End Users Deliverable to clarify that the tracking database “push” distribution will occur monthly and shall coincide with the tracking database version used by the Contractor to measure the monthly performance standards. This change is executed to reflect the changes addressed in Technical Questions 37 and 73. 15) Under Section J of the Contract Schedule, delete Section J in its entirety and replace with the attached wholesale replacement of Section J (See Attachment 7 to this Amendment). Explanation of Change: This wholesale replacement updates the List of Attachments to reflect the changes executed in Amendment 02. 16) Under Attachment E of the Contract Schedule, delete Attachment E in its entirety and replace with the attached wholesale replacement of Attachment E (See Attachment 8 to this Amendment). Explanation of Changes: This wholesale replacement reflects changes to Attachment E, Sections 2.1 and 2.1.3 to clarify that the tracking database “push” distribution will occur monthly and shall coincide with the tracking database version used by the Contractor to measure the monthly performance standards. This change is executed to reflect the changes addressed in Technical Questions 37 and 73. This wholesale replacement reflects changes to Attachment E, Sections 2.2 and 2.3 to specify that each Government agency may receive multiple files per

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data set of push files. This change is executed to reflect the changes addressed in Technical Question 99. This wholesale replacement reflects changes to Attachment E, Sections 2.1.1, 2.1.2, 2.2.1, and 2.2.2 to clarify that the File Name shall be sufficiently unique to prevent file name collisions and shall have a “.ZIP” extension. This change is executed to reflect changes addressed in Technical Question 98. This wholesale replacement reflects changes to Attachment E, Section 2.1.5 to delete the phrase “(see Transfer Criteria 2.3.1-2.3.2)” and insert “(see Format Description).” This change is executed to reflect the changes addressed in Technical Question 100. This wholesale replacement reflects changes to Attachment E to add Sections 2.1.3, 2.2.3, and B.29 to clarify the format and structure of the pushed tracking database files addressed in Technical Questions 73 and 75. 16) Under Attachment G of the Contract Schedule, delete the following from Attachment G.2.1 in its entirety:
G.2.1. PATS Test Scenarios “Test scenarios in the PATS Package described in Section C.10.6 shall generally follow the model of IRS Publication 4162. Contractor shall provide up to 10 scenarios, ranging from a simple Short Form filing with no schedules or attachments to complex DFE filings with numerous schedules and attachments. Each scenario shall be defined by a list of forms, schedules, and attachments, with data for each provided in a simple Excel or PDF table using common formatting of numbers, addresses, and dates. • • • • • • • • • • • • All EFAST2 schedules shall be included in at least one scenario. At least one scenario shall include multiple Schedule A’s. At least one scenario shall be for a large defined benefit plan. At least one scenario shall be for a welfare plan. At least one scenario shall be a DFE filing At least one scenario shall be for a terminated plan. At least one scenario shall be a secured/substitute return At least one scenario shall include an amended filing. At least one scenario shall include an extension. At least one scenario shall include an Accountant’s Opinion. At least one scenario shall include a text (not PDF) attachment At least one scenario shall include a user-defined “OtherAttachment” type

Data formats in the PATS Package scenarios shall intentionally contain differences from the values and formats allowed by the EFAST2 schemas and shall comprehensively test the software provider’s ability to understand the schemas, and detect and correct invalid values entered by filers. Examples of data formats presented in the PATS Package shall include: • Hyphens and leading zeros in EIN • Common date formats, such as 1/1/2009 or Jan. 1, 2009 • Commas, dollar signs, and decimal values in Amount fields • Foreign addresses • Telephone numbers with parentheses and hyphens • Accented characters in name or address fields • Literal state or country names (schema requires 2-character codes) • Literal values where schema requires codes • Fields allowed to be blank in filer instructions but required in the schema, e.g. Plan Year Begin and Plan Year End date on Form 5500.”

And substitute the following in lieu thereof:
G.2.1. PATS Test Scenarios “Test scenarios in the PATS Package described in Section C.10.6 shall generally follow the model of IRS Publication 4162. Contractor shall provide up to 10 scenarios, ranging

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from a simple Short Form filing with no schedules or attachments to complex DFE filings with numerous schedules and attachments. Each scenario shall be defined by a list of forms, schedules, and attachments, with data for each provided in a simple Excel or PDF table using common formatting of numbers, addresses, and dates. • • • • • • • • • • • All EFAST2 schedules shall be included in at least one scenario. At least one scenario shall include multiple Schedule A’s. At least one scenario shall be for a large defined benefit plan. At least one scenario shall be for a welfare plan. At least one scenario shall be a DFE filing. At least one scenario shall be for a terminated plan. At least one scenario shall include an amended filing. At least one scenario shall include an extension. At least one scenario shall include an Accountant’s Opinion. At least one scenario shall include a text (not PDF) attachment. At least one scenario shall include a user-defined “OtherAttachment” type.

Data formats in the PATS Package scenarios shall intentionally contain differences from the values and formats allowed by the EFAST2 schemas and shall comprehensively test the software provider’s ability to understand the schemas, and detect and correct invalid values entered by filers. Examples of data formats presented in the PATS Package shall include: • Hyphens and leading zeros in EIN • Common date formats, such as 1/1/2009 or Jan. 1, 2009 • Commas, dollar signs, and decimal values in Amount fields • Foreign addresses • Telephone numbers with parentheses and hyphens • Accented characters in name or address fields • Literal state or country names (schema requires 2-character codes) • Literal values where schema requires codes • Fields allowed to be blank in filer instructions but required in the schema, e.g. Plan Year Begin and Plan Year End date on Form 5500.”

To reflect a wholesale replacement of Attachment G.2.1 to clarify that secured/substitute filings will be submitted solely using the IFILE application. This change is executed to reflect the changes addressed in Technical Question 38. 18) Under Attachment I of the Contract Schedule, delete the following from Attachment I.6.1 in its entirety:
I.6.1 Data Distribution / Timeliness (Performance Standard 6.1) • Unit of Measure: A single output record produced per the requirements in Section C.10.4 and Section C.15, that is available for data dissemination to the Government end users (through “push” or “pull” extracts) or the public (through public disclosure). • Universe: N = All output records produced during the reporting period • Validated Timestamp: Reference Attachment J.2.1 for definition of Validated Timestamp. • Completed Delivery Timestamp: Reference Attachment J.2.1 for definition of Completed Delivery Timestamp. • Unit Calculation: • 1 if (Completed Delivery Timestamp - Validated Timestamp) ≤ Performance Standard 6.1 • 0 if (Completed Delivery Timestamp - Validated Timestamp) > Performance Standard 6.1 • Reporting period: Reported on a monthly (or 4-4-5) basis consistent with Contractor’s invoicing cycle. • Reported Value = ∑ (Unit Calculation) / N * 100.0

And substitute the following in lieu thereof:

I.6.1 Data Distribution / Timeliness (Performance Standard 6.1) • Unit of Measure: A single output record produced per the requirements in Section C.10.4 and Section C.15, that is available for data dissemination to the Government end users (through “push” or “pull” extracts) or the public (through Public Disclosure). • Universe: N = All output records produced during the reporting period

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• Received Timestamp: Reference Attachment J.2.1 for definition of Received Timestamp. • COMPLETED-PROC-TIMESTAMP: Reference Attachment J.2.1 for definition of COMPLETED-PROC-TIMESTAMP. • Unit Calculation: • 1 if (COMPLETED-PROC-TIMESTAMP - Received Timestamp) ≤ Performance Standard 6.1 • 0 if (COMPLETED-PROC-TIMESTAMP - Received Timestamp) > Performance Standard 6.1 • Reporting period: Reported on a monthly (or 4-4-5) basis consistent with Contractor’s invoicing cycle. • Reported Value = ∑ (Unit Calculation) / N * 100.0

To reflect a wholesale replacement of Attachment I.6.1 to clarify that availability, and not delivery, will be used to measure Performance Standard 6.1. This change is executed to reflect changes addressed in Technical Question 103. 19) Under Attachment I of the Contract Schedule, delete the following from Attachment I.6.3 in its entirety:
I.6.3 Data Distribution / Timeliness (Performance Standard 6.3) • Unit of Measure: A single “push” data distribution product delivered per the requirements in Section C.15 and Attachment E. • Universe: N = All “push” data distribution products delivered during the reporting period • Delivery Timestamp: Delivery shall be measured as the timestamp of the notification message sent to the Government indicating that the “push” data distribution product has been generated and is available for pickup by the Government. • Unit Calculation: • 1 if (Delivery Timestamp) ≤ Section F prescribed delivery date / time • 0 if (Delivery Timestamp) > Section F prescribed delivery data / time • Reporting period: Reported on a monthly (or 4-4-5) basis consistent with Contractor’s invoicing cycle. • Reported Value = Σ (Unit Calculation) / N * 100.0

And substitute the following in lieu thereof:
I.6.3.1 Data Distribution / Timeliness (EBSA) (Performance Standard 6.3.1) • • • • Unit of Measure: A single “push” data distribution product delivered per the requirements in Section C.15 and Attachment E to EBSA. Universe: N = All “push” data distribution products delivered to EBSA during the reporting period Completed EBSA Delivery Timestamp: Reference Attachment J.2.1 for definition of Completed EBSA Delivery Timestamp. Unit Calculation: • 1 if (Completed EBSA Delivery Timestamp) ≤ Section F prescribed delivery date / time • 0 if (Completed EBSA Delivery Timestamp) > Section F prescribed delivery date / time Reporting period: Reported on a monthly (or 4-4-5) basis consistent with Contractor’s invoicing cycle. Reported Value = Σ (Unit Calculation) / N * 100.0

• •

I.6.3.2 Data Distribution / Timeliness (IRS) (Performance Standard 6.3.2) • • • • Unit of Measure: A single “push” data distribution product delivered per the requirements in Section C.15 and Attachment E to IRS. Universe: N = All “push” data distribution products delivered to IRS during the reporting period Completed IRS Delivery Timestamp: Reference Attachment J.2.1 for definition of Completed IRS Delivery Timestamp. Unit Calculation: • 1 if (Completed IRS Delivery Timestamp) ≤ Section F prescribed delivery date / time • 0 if (Completed IRS Delivery Timestamp) > Section F prescribed delivery date / time

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Reporting period: Reported on a monthly (or 4-4-5) basis consistent with Contractor’s invoicing cycle. Reported Value = Σ (Unit Calculation) / N * 100.0

I.6.3.3 Data Distribution / Timeliness (PBGC) (Performance Standard 6.3.3) • • • • Unit of Measure: A single “push” data distribution product delivered per the requirements in Section C.15 and Attachment E to PBGC. Universe: N = All “push” data distribution products delivered to PBGC during the reporting period Completed PBGC Delivery Timestamp: Reference Attachment J.2.1 for definition of Completed PBGC Delivery Timestamp. Unit Calculation: • 1 if (Completed PBGC Delivery Timestamp) ≤ Section F prescribed delivery date / time • 0 if (Completed PBGC Delivery Timestamp) > Section F prescribed delivery date / time Reporting period: Reported on a monthly (or 4-4-5) basis consistent with Contractor’s invoicing cycle. Reported Value = Σ (Unit Calculation) / N * 100.0

• •

To reflect a wholesale replacement of Attachment I.6.3 with Attachment I.6.3.1, I.6.3.2, and I.6.3.3 to clarify the calculation of the delivery timestamps. This change is executed to reflect changes addressed in Technical question 104. 20) Under Attachment J of the Contract Schedule, delete Attachment J in its entirety and replace with the attached wholesale replacement of Attachment J (See Attachment 9 to this Amendment). Explanation of Changes: This wholesale replacement reflects changes to Attachment J.2.1 to modify the name and description of four timestamps from delivery to availability, add four binary availability indicators, and clarify the calculation of COMPLETED-PROC-TIMESTAMP to address changes related to Technical Questions 103, 105, and 106. This wholesale replacement also reflects changes to Attachment J.2.1 to add three delivery timestamps to be used in the calculation of Performance Standards 6.3.1, 6.3.2, and 6.3.3 to address changes related to Technical Question 104. 21) Under Attachment P of the Contract Schedule, delete Variables 1092 and 1093 in their entirety and replace with the attached changes pages (See Attachment 10 to this Amendment). Explanation of Change: These change pages clarify that hyphens are not to be removed for DER Variables 1092 and 1093. This change is executed to reflect the changes addressed in Technical Question 110.

EXCEPT AS STATED ABOVE, ALL OTHER TERMS AND CONDITIONS SHALL REMAIN UNCHANGED.

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Attachment 1 Section B Information Technology Description, Cost, And Pricing

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PART I - THE SCHEDULE SECTION B - INFORMATION TECHNOLOGY DESCRIPTION, COST, AND PRICING B.1 INFORMATION TECHNOLOGY DESCRIPTION, COST, AND PRICING

The Contractor shall provide the necessary Information Technology (IT) acquisition, equipment, software, and technical expertise required to design, develop, test, implement, operate, and maintain EFAST2. B.2 COMPENSATION

The contract comprises a 21-month Base Period, an 11-month Option Period I, and ten 1-year options, Option Periods II through XI. B.2.1 Base Period – Prototype System Module, Scaleup, and Certification & Implementation B.2.1.1 Base Period – Contract Type

The Base Period of the contract is Cost Plus Award Fee (CPAF) as defined in subpart 16.305 and 16.405-2 of the Federal Acquisition Regulations. B.2.1.2 Base Period – Period of Performance

The Base Period of the contract is contract award through December 31, 2008. The Base Period will be structured into three distinct time components. These three components, combined, reflect the required 21-month Base Period of Performance for Development, Scaleup, and Certification and Implementation of EFAST2. The Base Period begins with initial development and testing of a system prototype, and ends with certification and implementation of a full-scale processing system authorized to begin operations. The three components of Base Period are described below. The Base Period (1st Component) commences upon award and continues to testing of a prototype EFAST2 system. This component is estimated to continue through December 31, 2007. During this period the Contractor shall design, build, and test a prototype system capable of processing limited volumes, per the requirements in this contract. The Government will conduct a functional capability test (FCT) of the prototype, as described in Section E.8. The Government will evaluate the results of the prototype testing (FCT 1), along with Contractor deliverables and related materials, in determining whether to grant the Contractor Notice-To-Proceed (NTP) to commence with the Base Period (2nd Component), and determining whether to grant the first award fee (AF1), as described in Attachment Q. The Base Period (2nd Component) continues with scaleup of the prototype to full production processing capability and is estimated to continue through July 31, 2008. The Government will conduct a functional capability test of the scaleup, as described in Section E.8. The Government

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will evaluate the results of the scaleup end-to-end test (FCT 2), along with other Contractor products, including deliverables, engineering process artifacts, and related materials, in determining whether to exercise Option Period I and determining whether to grant the second award fee (AF2), as described in Attachment Q. The Base Period (3rd Component) continues with the correction of system problems identified during the prototype and scaleup component phases and is estimated to continue through December 31, 2008. This component is intended to correct all identified defects or deficiencies, including retesting and system regression testing, in order to fully prepare the system for the System Acceptance Test (SAT) and Security Certification. The Government will witness the conduct of SAT of the production system (see Section E.8) and perform a Security Compliance Review. The Government will evaluate the results of SAT and the Security Compliance Review, along with other Contractor products, including deliverables and related materials, in determining whether to grant the third award fee (AF3), as described in Attachment Q. The Government will determine whether to authorize system startup and commencement of EFAST2 production operations based on the following criteria: (1) the observed operational capability of the system in the SAT; (2) the Contractor’s express certification that the security controls designed for the EFAST2 system have been thoroughly tested and that the controls effectively mitigate the threats and vulnerabilities documented in the Contractor’s security documentation; and (3) the Government’s own Security Compliance Review. Should the Government determine that the system is ready for startup, the Government will grant the Contractor official Notice-To-Proceed (NTP) to Option Period I (2nd Component), and the Contractor will commence production operations. B.2.1.3 Base Period – Consideration

The total cost to the Government for the performance of work under this contract shall not exceed $______________, which is composed of a cost of $______________, a base fee of $______________, and an award fee of $______________. The Contractor agrees to use its best efforts to perform all work specified in the Schedule and obligations under this contract within the estimated cost set forth herein, subject to FAR 52.232-20 – Limitation of Cost. B.2.1.4 Base Period – Fee

The Base Period contract shall provide for a fee structure consisting of 2 parts: (1) a base fee established at inception of the contract and (2) an award fee that the Government may award in whole or in part during performance. B.2.1.4.1 Base Period – Base Fee The base fee shall be $______________ or 70% of the total negotiated fee structure. This base fee shall be reimbursed to the Contractor as part of its best-effort performance of the Government’s minimum requirements under this contract.

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B.2.1.4.2 Base Period – Award Fee The Contractor may be eligible for a partial award fee at the conclusion of each component identified under the Base Period. The maximum amount of the Base Period Award Fee that can be awarded in each component will be 33.4% of the total award fee for Component 1, 33.3% of the total award fee for Component 2, and 33.3% of the total award fee for Component 3. The criteria for determining the award fee under each component and the percentage of the respective award fee that may be awarded for each criterion are established in Attachment Q of this contract. The four criteria that will be used to calculate the award fee are as follows: • Critical Error Reports—Critical error reports (ER) may be generated during each identified component under the Base Period of the EFAST2 contract. Critical errors are defined as observed defects or deficiencies that would be detectable by the public end users of the system or that could pose a risk to data or system confidentiality, integrity, or availability. Such critical ERs would be issued in response to FCTs 1 or 2 and/or SAT and would require resolution prior to the commencement of the following component’s period of performance. All critical ERs shall be corrected and retested, including system regression testing, to ensure compliance with the Government’s requirements before proceeding to the following component. Up to 40% of the award fee may be awarded for this criterion. Minor Error Reports—Minor ERs may be generated during each identified component under the Base Period of the EFAST2 contract. Minor errors are defined as observed defects or deficiencies that would not be detectable by the public end users of the system and that would not pose a risk to data or system confidentiality, integrity, or availability. Such minor ERs would be issued in response to FCTs 1 or 2 and/or SAT and would require resolution prior to granting of Notice-To-Proceed (NTP) to Option Period I (2nd Component). All minor ERs shall be corrected and retested, including system regression testing, to ensure compliance with the Government’s requirements before the commencement of production operations. Up to 20% of the award fee may be may be awarded in each component for this criterion. Schedule Performance—Schedule performance shall be demonstrated by the Contractor within the approved EFAST2 Performance Measurement Baseline (PMB). In earned value measurement terms, for each Base Period component period of performance, the cumulative Budgeted Cost of Work Performed (BCWP) shall be equal to or greater than the cumulative Budgeted Cost of Work Scheduled (BCWS). Up to 20% of the award fee may be awarded in each component for this criterion. Cost Performance—Cost performance shall be demonstrated by the Contractor within the approved EFAST2 PMB. In earned value measurement terms, for each Base Period component period of performance, the cumulative Budgeted Cost of Work Performed (BCWP) shall be equal to or greater than the cumulative Actual Cost of Work Performed (ACWP). Up to 20% of the award fee may be awarded in each component for this criterion.

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Within 90 days of the conclusion of each component of the Base Period, the Government will assess the Contractor's performance against the award fee criteria for that component, as specified in Attachment Q of this contract. The Government will calculate the award fee for the component and compensate the Contractor based on the calculation. The award fee shall be $______________ or 30% of the total negotiated fee structure. The award fee may be awarded to the Contractor in whole or in part for fulfillment of Government performance standards without qualification for the measurement period. The awarding of this fee shall be determined by the Government's judgmental evaluation of the Contractor's performance in terms of the criteria stated in the Contract and according to the guidelines set forth in Attachment Q of this contract. B.2.1.5 Base Period – Reimbursement of Costs

Reimbursement shall be made to the Contractor monthly based on actual costs incurred, and contingent upon Government inspection and acceptance of Base Period deliverables listed in Section F received in the month preceding submission of the Contractor’s invoice, and subject to the Section G invoicing instructions in this contract and FAR 52.216-7 — Allowable Cost and Payment. The Contractor also agrees to use its best efforts to perform all work specified in the Schedule and obligations under this contract within the estimated cost set forth herein, subject to FAR 52.232-20 – Limitation of Cost. All Contractor costs associated with the Base Period, including project planning, requirements definition, system design, build, and test, hardware and software acquisition, commercial off-theshelf (COTS) software licenses, documentation, plant acquisition, labor, training, and security certification, shall be built into the total CPAF cost figure proposed by the Contractor under the Base Period. The Contractor shall build all usage fees, maintenance expenses, upgrade costs, and all other ongoing costs associated with computers and other equipment acquired (i.e., purchased or leased) during the Base Period into the Base Period CPAF cost structure provided by the Contractor and incorporated into this contract. The Government does not intend to take title to computers, custom software, COTS licenses, or any other non–Government Furnished Information (GFI) equipment produced and/or obtained, purchased, leased, or rented by the Contractor during performance of the Base Period of this contract. At the end of the Base Period, however, the Government reserves the right to take title to any and all computers, COTS licenses, or other non-GFI equipment obtained, purchased, leased, or rented by the Contractor in execution of this contract. If the Government does elect to take title to such items to transition EFAST2 to another contractor, the Government shall request the Contractor to submit a responsive proposal for the unreimbursed portion of the equipment and software items identified herein.

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Funding is provided for the Base Period of performance as follows: Appropriation Code Amount

B.2.1.6

Base Period – Incremental Funding

Funds in the amount of $______________ are currently available through 09/30/20XX to fund the performance of all work under this contract during its Base Period. The Government’s obligation hereunder for funding the total estimated cost of $______________ for the Contractor’s performance of this covered work is contingent upon the availability of funds. No legal liability on the part of the Government for payment of any money beyond the currently funded limit of $______________ for the performance of this covered work shall arise unless funds are made available to the Contracting Officer for the additional $______________ and notice is given to the Contractor by the Contracting Officer of such funding. The Contractor, however, is entitled to payment only after an appropriately documented invoice is submitted, as stated in Section G.2, Submission of Invoices. B.2.2 Option Period I (1st Component) – Advance Pre-Processing Activities B.2.2.1 Option Period I (1st Component) – Contract Type

Option Period I (1st Component) of the contract is Cost Plus Fixed Fee (CPFF) as defined in subpart 16.306 of the Federal Acquisition Regulations. B.2.2.2 Option Period I (1st Component) – Period of Performance

Option Period I (1st Component) of the contract is August 1, 2008, through December 31, 2008. Option Period I (1st Component) commences upon successful completion of the Base Period (2nd Component) (see Section B), planned for July 31, 2008. Option Period I (1st Component) continues through the successful completion of the Base Period (3rd Component) (see Section B), planned for December 31, 2008. During Option Period I (1st Component) the Contractor shall conduct advance, pre-processing activities necessary to prepare for system startup. B.2.2.3 Option Period I (1st Component) – Consideration

The total cost to the Government for the performance of work under the Option Period I (1st Component) of the contract shall not exceed $______________, which is composed of a cost of $______________ and a fixed fee of $______________. The Contractor agrees to use its best efforts to perform all work specified in the Schedule and obligations under this component of the contract within the estimated cost set forth herein, subject to FAR 52.232-20 – Limitation of Cost and FAR 52.216-08 – Fixed Fee.

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B.2.2.4

Option Period I (1st Component) – Reimbursement of Costs

Reimbursement shall be made to the Contractor monthly based on actual costs incurred, and contingent upon Government inspection and acceptance of the deliverables listed in Section F for Option Period I (1st Component). The deliverables shall be those received by the Government in the month preceding submission of the Contractor’s invoice, subject to the invoicing instructions in Section G of this contract and FAR 52.216-7 — Allowable Cost and Payment. The Contractor also agrees to use its best efforts to perform all work specified in the Schedule and obligations under this component of the contract within the estimated cost set forth herein, subject to FAR 52.232-20 – Limitation of Cost and FAR 52.216-08 – Fixed Fee. All Contractor costs associated with the Option Period I (1st Component) of the contract shall be built into the total CPFF cost figure proposed by the Contractor under Option Period I (1st Component). This includes labor, training, other direct costs (ODC), and other necessary advance, pre-processing activities necessary to prepare for system startup and initial operations and maintenance of the EFAST2 production system during Option Period I (1st Component). The Contractor shall build all usage fees, maintenance expenses, upgrade costs, and all other recurring and/or ongoing costs associated with computers and other non-GFI equipment acquired during the Base Period and the Option Period I (1st Component) that will be incurred during Operations into the Firm Fixed Price (FFP) cost structure proposed by the Contractor and incorporated into this contract for Option Period I (2ndComponent) through Option Period XI. The Government does not intend to take title to computers, custom software, COTS licenses, or any other non–GFI equipment produced and/or obtained, purchased, leased, or rented by the Contractor during performance of Option Period I (1st Component) of this contract. At the end of Option Period I (1st Component), however, the Government reserves the right to take title to any and all computers, COTS licenses, or other non-GFI equipment obtained, purchased, leased, or rented by the Contractor in execution of this contract. If the Government does elect to take title to such items to transition EFAST2 to another contractor, the Government shall request the Contractor to submit a responsive proposal for the unreimbursed portion of the equipment and software items identified herein. No funding has yet been provided for Option Period I (1st Component). B.2.3 Option Period I (2nd Component) through Option Period XI – Operations B.2.3.1 Option Period I (2nd Component through) Option Period XI – Contract Type

Option Period I (2nd Component) through Option Period XI of the contract consist of a Firm Fixed Price (FFP) with Incentive contract structure as defined in subpart 16.204 and 16.403 of the Federal Acquisition Regulations.

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B.2.3.2

Option Period I (2nd Component) through Option Period XI – Periods of Performance

EFAST2 production operations will be purchased in eleven contract option periods, starting with Option Period I (2nd Component) and ending with Option Period XI. Option Period I (2nd Component) commences at system startup with the Contractor’s receipt of the Government’s Notice-To-Proceed (NTP) to production operations. This is planned for December 31, 2008. The following periods of performance are associated with the eleven option periods: • • • • • • • • • • • B.2.3.3 Option Period I (2nd Component) is January 1, 2009, through June 30, 2009. Option Period II is July 1, 2009, through June 30, 2010. Option Period III is July 1, 2010, through June 30, 2011. Option Period IV is July 1, 2011, through June 30, 2012. Option Period V is July 1, 2012, through June 30, 2013. Option Period VI is July 1, 2013, through June 30, 2014. Option Period VII is July 1, 2014, through June 30, 2015. Option Period VIII is July 1, 2015, through June 30, 2016. Option Period IX is July 1, 2016, through June 30, 2017. Option Period X is July 1, 2017, through June 30, 2018. Option Period XI is July 1, 2018, through June 30, 2019. Option Period I (2nd Component) through Option Period XI – Cost and Pricing Schedule

The Government will compensate the Contractor for performance during Option Period I (2nd Component) through Option Period XI of this contract in accordance with the Contract Line Item Number (CLIN) structure and incentive formulas established in the Cost and Pricing Schedule of this contract. The CLIN structure described herein for Option Period I (2nd Component) through Option Period XI segments the negotiated Total Fixed Price (TFP) compensation into three (3) CLINs for each option period. The CLIN structure provides for adjusting the final contract price by application of a formula based on the Contractor's demonstrated ability to meet the performance standards specified in Section C.2 of this contract.

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CLIN 1 represents the payment that shall be billable monthly as reimbursement for all EFAST2 operations, including applicable Customer Support activities, provided that the Contractor meets the performance requirements specified under Section C of the Contract Schedule. The monthly CLIN 1 price shall be one sixth (1/6) of the Total Fixed Price (TFP) base amount for Option Period I (2nd Component), and one twelfth (1/12) for each of Option Period II through Option Period XI. CLIN 2 represents a performance standard incentive payment that shall be billable monthly and is based on the Contractor's demonstrated ability to meet some or all of the performance standards specified in Section C.2 of the contract, as measured and calculated by the Government. The Contractor shall be entitled to a partial incentive payment for meeting some of the performance standards and a full incentive payment for meeting all of the performance standards during the evaluation period. In order to qualify for payment under each subpart of CLIN 2, the performance standard described in Section C.2 corresponding to that subpart must be met without qualification for the measurement period. For purposes of calculating the CLIN 2 payment, each performance standard will be considered of equal weight by the Government towards calculation of the total incentive payment. The sum of all CLIN 2 monthly incentive payments within Option Period II through Option Period XI shall not exceed the Contractor’s declared total incentive amount payment contained in Section B.2.3.3 of this contract. The monthly price of CLIN 2 shall be a maximum of one sixth (1/6) of the Total Fixed Price (TFP) incentive amount for Option Period I (2nd Component), and one twelfth (1/12) for each of Option Period II through Option Period XI. The monthly CLIN 2 price shall be based on a formula used by the Government to measure Contractor compliance with the performance standards specified in Section C.2, per the methodology contained in Attachment I. The incentive amount payment formula used by the Government is contained in Attachment R. CLIN 3 represents the payment that shall be billable monthly as reimbursement for all EFAST2 hardware depreciation and software amortization. The monthly CLIN 3 price shall be one sixth (1/6) of the Total Fixed Price (TFP) depreciation/amortization amount for Option Period I (2nd Component), and one twelfth (1/12) for each of Option Period II through Option Period XI. The methodology to be used to determine the depreciation/amortization amount for each option period is contained in Attachment T. The Government will compensate the Contractor according to the negotiated Total Fixed Price (TFP) compensation for each annual contract period, consisting of a base amount to be billed under CLIN 1, an incentive amount to be billed under CLIN 2, and a depreciation/amortization amount to be billed under CLIN 3. The negotiated Total Fixed Price (TFP) to the Government for the performance of work under Option Period I (2nd Component) of this contract shall not exceed $______________, and shall consist of $______________ base amount to be reimbursed under CLIN 1, a maximum $______________ incentive amount to be reimbursed under CLIN 2, and $______________ depreciation/amortization amount to be reimbursed under CLIN 3. The negotiated Total Fixed Price (TFP) to the Government for the performance of work under Option Period II of this contract shall not exceed $______________, and shall consist of

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$______________ base amount to be reimbursed under CLIN 1, a maximum $______________ incentive amount to be reimbursed under CLIN 2, and $______________ depreciation/amortization amount to be reimbursed under CLIN 3.. The negotiated Total Fixed Price (TFP) to the Government for the performance of work under Option Period III of this contract shall not exceed $______________, and shall consist of $______________ base amount to be reimbursed under CLIN 1, a maximum $______________ incentive amount to be reimbursed under CLIN 2, and $______________ depreciation/amortization amount to be reimbursed under CLIN 3. The negotiated Total Fixed Price (TFP) to the Government for the performance of work under Option Period IV of this contract shall not exceed $______________, and shall consist of $______________ base amount to be reimbursed under CLIN 1, a maximum $______________ incentive amount to be reimbursed under CLIN 2, and $______________ depreciation/amortization amount to be reimbursed under CLIN 3. The negotiated Total Fixed Price (TFP) to the Government for the performance of work under Option Period V of this contract shall not exceed $______________, and shall consist of $______________ base amount to be reimbursed under CLIN 1, a maximum $______________ incentive amount to be reimbursed under CLIN 2, and $______________ depreciation/amortization amount to be reimbursed under CLIN 3.. The negotiated Total Fixed Price (TFP) to the Government for the performance of work under Option Period VI of this contract shall not exceed $______________, and shall consist of $______________ base amount to be reimbursed under CLIN 1, a maximum $______________ incentive amount to be reimbursed under CLIN 2, and $______________ depreciation/amortization amount to be reimbursed under CLIN 3. The negotiated Total Fixed Price (TFP) to the Government for the performance of work under Option Period VII of this contract shall not exceed $______________, and shall consist of $______________ base amount to be reimbursed under CLIN 1, a maximum $______________ incentive amount to be reimbursed under CLIN 2, and $______________ depreciation/amortization amount to be reimbursed under CLIN 3. The negotiated Total Fixed Price (TFP) to the Government for the performance of work under Option Period VIII of this contract shall not exceed $______________, and shall consist of $______________ base amount to be reimbursed under CLIN 1, a maximum $______________ incentive amount to be reimbursed under CLIN 2, and $______________ depreciation/amortization amount to be reimbursed under CLIN 3. The negotiated Total Fixed Price (TFP) to the Government for the performance of work under Option Period IX of this contract shall not exceed $______________, and shall consist of $______________ base amount to be reimbursed under CLIN 1, a maximum $______________ incentive amount to be reimbursed under CLIN 2, and $______________ depreciation/amortization amount to be reimbursed under CLIN 3.

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The negotiated Total Fixed Price (TFP) to the Government for the performance of work under Option Period X of this contract shall not exceed $______________, and shall consist of $______________ base amount to be reimbursed under CLIN 1, a maximum $______________ incentive amount to be reimbursed under CLIN 2, and $______________ depreciation/amortization amount to be reimbursed under CLIN 3. The negotiated Total Fixed Price (TFP) to the Government for the performance of work under Option Period XI of this contract shall not exceed $______________, and shall consist of $______________ base amount to be reimbursed under CLIN 1, a maximum $______________ incentive amount to be reimbursed under CLIN 2, and $______________ depreciation/amortization amount to be reimbursed under CLIN 3. B.2.3.4 Option Period I (2nd Component) through Option Period XI – Compensation

The Contractor shall establish a Total Fixed Price (TFP), consisting of a base amount, an incentive amount, and a depreciation/amortization amount for each of Option Period I (2nd Component) through Option Period XI. Payment shall be monthly or on a quasi-monthly “4-4-5” schedule, depending upon the Contractor's approved accounting structure. In a 4-4-5 schedule, the first month of a quarter consists of the first 4 weeks, the second month of the quarter consists of the next 4 weeks, and the third month of the quarter consists of the remaining 5 weeks. The Government will compensate the Contractor during Option Period I (2nd Component) through Option Period XI according to the prices listed in the Cost and Pricing Schedule Section B.2.3.3. The Government will compensate the Contractor through CLIN 1 for the Firm Fixed Price (FFP) base amount compensation, through CLIN 2 for the Fixed Price Incentive amount compensation, and through CLIN 3 for the FFP depreciation/amortization amount. The Contractor, however, shall be entitled to payment only after an appropriately documented and approved invoice is submitted, as stated in Section G.2, Submission of Invoices. The Government will not provide the Contractor with any compensation during Option Period I (2nd Component) through Option Period XI other than as specified in the Cost and Pricing Schedule. The Contractor shall recover the cost of major hardware items and commercial off-the-shelf (COTS) software licenses required for the EFAST2 system on a depreciation and amortization schedule during Option Period 1 (2nd Component) through Option Period XI. The schedule shall be calculated as described in Attachment T. The cost of such hardware, COTS software, and other non-GFI equipment used by the Contractor under this effort shall be included in the Firm Fixed Price (FFP) CLIN 3 prices of Option Period I (2nd Component) through Option Period XI of the contract. At the end of each of Option Period I (2nd Component) through Option Period XI, the Government reserves the right to take title to any and all computers, custom software, COTS licenses, or other non-GFI equipment produced and/or obtained, purchased, leased, or rented by the Contractor in execution of this contract. If the Government elects to take title to such items to transition EFAST2 to another contractor, the Government will request the Contractor to submit a

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responsive proposal for the unreimbursed portion of the equipment and software items identified herein. No funding has yet been provided for Option Period I (2nd Component) through Option Period XI. B.3 ALLOWABLE COST AND PAYMENT – BASE PERIOD & OPTION PERIOD I (1ST COMPONENT)

The Government will reimburse the Contractor during the Base Period and Option Period I (1st Component) for the costs determined by the Contracting Officer to be allowable in accordance with FAR 52.216-7 – Allowable Cost and Payment and the following provisions: 1. Purchase Orders and Subcontracts The following shall require prior written approval of the Contracting Officer: (a) Purchase or rental of items of non-expendable property having a unit value exceeding $750.00. For the purpose of this contract, non-expendable property means property or equipment having a normal life expectancy of one year or more. (b) All proposed purchase orders or subcontracts that require prior approval in accordance with FAR 52.244-2 — Subcontracts. 2. Consultants Any fee or other payment to consultants in excess of $350 per day requires the prior written authorization of the Contracting Officer. 3. Salaries and Wages (a) Salaries and wages of employees directly employed in performing work required by this contract. (b) Actual wages and fringe benefits. 4. Out-of-Town and/or Overnight Travel Travel and subsistence exclusively in direct performance of this contract shall be reimbursed as follows: (a) The Contractor shall be reimbursed for the cost transportation, lodging, meals, and incidental expenses of personnel who are authorized to undertake out-of-town and/or overnight travel under this contract. Such costs shall be reimbursed in accordance with the established policy of the Contractor and to the extent that they are reasonable and allowable as provided in FAR 31.205-46.

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(b) Costs incurred for lodging, meals, and incidental expenses shall be reimbursed only to the extent that they do not exceed, on a daily basis, the maximum per diem rates in effect at the time of the travel as set forth in the Federal Travel Regulations, Joint Travel Regulations, or Standardized Regulations. (c) Air fare costs in excess of the lowest customary coach or equivalent airfare offered during normal business hours will not be reimbursed unless such accommodations are not available and the Contractor certifies to this fact in the voucher or in other documents for reimbursement. (d) The Contractor shall be reimbursed for the cost of out-of-town travel and/or overnight travel performed by personnel in their privately owned automobiles at the rate set forth in the Federal Travel Regulations at the time of the travel, not to exceed the cost by the most direct economy air route between the points so traveled. If more than one person travels in such automobiles, no additional charge shall be made by the Contractor for such travel. (e) No travel cost for Contractor personnel traveling from place of residence to and from the normally assigned worksite shall be directly reimbursed by the Government. 5. Overtime Overtime, shift, or other incentive premiums require prior written authorization by the Contracting Officer’s Technical Representative (COTR). 6. Indirect Costs Indirect costs shall be determined in accordance with FAR 52.216-7 — Allowable Cost and Payment. Additionally, final annual indirect cost rates and the appropriate allocation bases shall be established in accordance with FAR 42.700 for the period covered by the indirect cost rate proposal. The Contractor shall submit an adequate final indirect cost proposal to the Contracting Officer (or cognizant Federal agency official) and auditor within the 6-month period following the expiration of each of its fiscal years. The Contractor shall support its proposal with adequate supporting data. The proposed rates shall be based on the Contractor’s actual cost experience for that period. The appropriate Government representative and the Contractor shall establish the final indirect cost rates as promptly as practical after receipt of the Contractor’s proposal. The Contractor and the appropriate Government representative shall execute a written negotiated agreement setting forth the final indirect cost rates. The agreement shall specify (i) the agreed-upon final annual indirect cost rates, (ii) the allocation bases to which the rates apply, (iii) the periods for which the rates apply, (iv) any specific indirect cost items treated as direct costs in the settlement, and (v) the affected contract and/or

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subcontract, identifying any with advance agreements or special terms and the applicable rates. The agreement shall not change any monetary ceiling, contract obligation, or specific cost allowance or disallowance provided for in this contract. The negotiated indirect cost agreement is incorporated into the contract upon execution. B.4 ESTIMATED FILING VOLUMES – OPTION PERIOD I (2ND COMPONENT) THROUGH OPTION PERIOD XI

Although the Government does not guarantee any minimum number of filings, the Government will provide all filings received at the designated electronic delivery locations during the dates covered by the executed option periods of this contract. The Government makes no assertion and provides no guarantee regarding estimated filing volumes for Option Period I (2nd Component) through Option Period XI. Historical filing volumes are contained in Attachment A – Return Processing Volumes, and are provided for the limited purpose of assisting Offerors in budgeting and developing their proposals. Although the Government does not expect future filing volumes to deviate appreciably from historical filing volumes, Offerors are forewarned that historical filing volumes may not necessarily be representative of future projected filing volumes. Offerors are encouraged to clearly state the filing volume assumptions underlying the Offeror’s calculations, including minimum and maximum assumptions, and any attendant warranty, guarantee, and cost implications associated with the Offeror’s filing volume assumptions. B.5 CONTRACT AMOUNT INCREASE/DECREASE

The Government maintains the right to incrementally fund this contract at any time in order to provide sufficient funds to cover the anticipated levels of effort required for the remainder of the contract term. Additional funds will be obligated on appropriate contract modifications signed by the Contracting Officer. Such funding modifications will state the existing total contract amount, the amount of increased funding, and the new total contract amount. The Government will also have the right to unilaterally decrease funds for this contract in the same manner as above.

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Attachment 2
Section L Instructions, Conditions, and Notices to Offerors

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PART IV – REPRESENTATIONS AND INSTRUCTIONS SECTION L - INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFERORS

L.1

52.252-1 NOTICE LISTING SOLICITATION PROVISIONS INCORPORATED BY REFERENCE (FEBRUARY 1998)

This solicitation incorporates one or more solicitation provisions by reference, with the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available.

NUMBER 52.215-1 52.222-24 52.222-46

TITLE INSTRUCTIONS TO OFFERORS—COMPETITIVE ACQUISITION (JAN 2004) PREAWARD ON-SITE EQUAL OPPORTUNITY COMPLIANCE REVIEW EVALUATION OF COMPENSATION FOR QUOTATIONS FOR PROFESSIONAL EMPLOYEES

DATE JAN 2004 FEB 1999 FEB 1993

L.2

SINGLE OR MULTIPLE AWARDS

The Government anticipates awarding one contract effective April 1, 2007. L.3 52.215-16 FACILITIES CAPITAL COST OF MONEY

a) Facilities capital cost of money will be an allowable cost under the contemplated contract, if the criteria for allowability in FAR 31.205-10(b) are met. One of the allowability criteria requires the prospective Contractor to propose facilities capital cost of money in its offer. b) If the prospective Contractor does not propose this cost, the resulting contract will include the clause Waiver of Facilities Capital Cost of Money. L.4 TYPE OF CONTRACT

The Government anticipates awarding one contract effective April 1, 2007. The Contract shall be comprised of a Base Period (1st – 3rd Components) CPAF contract, an Option Period I (1st Component) CPFF contract, and an Option Period I (2nd Component)-XI firm fixed price contract with incentives. L.5 52.233-2 SERVICE OF PROTEST

a) Protests, as defined in section 33.101 of the Federal Acquisition Regulation, that are filed directly with an agency, and copies of any protests that are filed with the General Accounting Office (GAO), shall be served on the Contracting Officer (addressed as follows) by obtaining written and dated acknowledgment of receipt from the Contracting Officer: U.S. Department of Labor

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Office of the Assistant Secretary for Administration and Management Procurement Services Center 200 Constitution Avenue, NW Room N-5416 Washington, DC 20210 b) The copy of any protest shall be received in the office designated above within one day of filing a protest with the GAO. L.6 RELEASE OF RESTRICTED DATA

a) Offerors are hereby put on notice that regardless of their use of the legend set forth in FAR 52.215-1(e), “Restriction on Disclosure and Use of Data”, the Government may be required to release certain data contained in the proposal in response to a request for the data under the Freedom of Information Act. The Government’s determination to withhold or disclose a record will be based upon the particular circumstances involving the data in question and whether the data may be exempted from disclosure under the Freedom of Information Act. In accordance with Executive Order 12600 and to the extent permitted by law, the Government will notify the Offeror before it releases restricted data. b) By submitting a proposal or quotation in response to this solicitation: 1. The Offeror acknowledges that the Government may not be able to withhold nor deny access to data requested pursuant to the Act and that the Government’s FOI officials shall make that determination; 2. The Offeror agrees that the Government is not liable for disclosure if the Government has determined that disclosure is required by the Act; 3. The Offeror acknowledges that proposals not resulting in a contract remain subject to the Act; and 4. The Offeror agrees that the Government is not liable for disclosure or use of unmarked data and may use or disclose the data for any purpose, including the release of the information pursuant to requests under the Act. c) Offerors are cautioned that the Government reserves the right to reject any proposal submitted with (1) a restrictive legend or statement differing in substance from the one required by the solicitation provision in FAR 52.215-1(e), “Restriction on Disclosure and Use of Data”, or (2) a statement taking exceptions to the terms of (A) or (B) of the provision. L.7 GENERAL INSTRUCTIONS FOR THE PREPARATION OF PROPOSALS

The Offeror is instructed to provide the materials and support described in Sections L.8 (technical proposal instructions) and L.9 (business proposal instructions) to assist the Government in the conduct of its source selection process.

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The proposal shall be submitted by the Offeror in two volumes in accordance with the following requirements: 1. Volume I - Technical Proposal: 8 paper copies (original and 7 copies) and 1 machine-readable copy in PDF format delivered on CD-ROM. Paper copies of the Offeror’s small business subcontracting plan shall be separately bound as an attachment to the Offeror’s technical proposal. The machine-readable copy in PDF format of the Offeror’s small business subcontracting plan shall be included on the CD-ROM in an easily identifiable and separate folder. Refer to Section L.8 for technical proposal instructions. NO COST AND PRICING DATA SHALL BE PLACED IN VOLUME I. 2. Volume II - Business Proposal: 8 paper copies (original and 7 copies) and 1 machine-readable copy in PDF format delivered on CD-ROM. Refer to Section L.9 for business proposal instructions. NOTE: Volumes I and II shall be sealed in separate envelopes and included in one master package. The RFP number and related Volume numbers outlined above, if applicable, shall be shown in the upper left hand corner of each of the envelopes as well as the master package. Subcontractor sealed packages shall be clearly marked and submitted in accordance with the instructions set forth in this section for the technical and business proposal. The Government reserves the right to change any terms and conditions of this RFP by amendment at any time prior to contract award and to allow Offerors to revise their offers accordingly, as authorized by FAR Part 15. L.8 TECHNICAL PROPOSAL INSTRUCTIONS

The Offeror’s “Volume I - Technical Proposal” shall include the information described in this section. NO COST AND PRICING DATA SHALL BE PLACED IN VOLUME I. L.8.1 EXECUTIVE SUMMARY, OVERVIEW, AND UNDERSTANDING OF THE PROBLEM

This section provides an executive summary, overview, and discussion of the Offeror’s understanding of the problem. At a minimum, this proposal section shall include the following: a) The Offeror’s demonstrated understanding of the major project goals and objectives of EFAST2. (C.1 - C.1.1) b) The Offeror’s demonstrated understanding of the needs of the end users. (C.1.1.1) c) The Offeror’s demonstrated understanding of the key technical issues that will have the largest impact on the success of the project. (C.1.1.2) d) The Offeror’s demonstrated understanding of the project activities by contract period. (C.1.1.3)

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e) A Requirements Traceability Matrix (RTM) that references the section/page in the Offeror’s Technical Proposal on which the requirement(s) of the solicitation are addressed per Attachment B. (All) L.8.2 TECHNICAL APPROACH

This section details the Offeror’s technical approach for meeting the requirements contained in the SOW through the entire system life-cycle in accordance with the Government's established WBS project structure. L.8.2.1 PROJECT APPROACH

This section shall demonstrate the Offeror’s approach to meeting the following general project requirements: a) Project goals and objectives (C.1.1.1) b) System requirements (C.1.1.2) c) Project activities by contract period (C.1.1.3) L.8.2.2 BASE PERIOD APPROACH

This section addresses the Offeror’s approach to designing, building, testing, and certifying the prototype system, and scaling-up the prototype system to full production capacity during the Base Period to meet the requirements in the SOW. BASE PERIOD (1ST COMPONENT) DESCRIBE THE OFFEROR’S APPROACH TO THE FOLLOWING ACTIVITIES: a) Conducting full requirements analysis to ensure that all functional requirements are completely defined. (C.1.2.1.2) b) Developing an Integrated Master Plan with details on the Contractor’s development approach. (C.1.2.1.1) c) Developing a Detailed System Design (DSD) that satisfies all functional requirements and performance standards at both prototype and production processing volumes, including peak periods. (C.1.2.1.3) d) Building a prototype system capable of processing both Contractor and Government proposed tests. (C.1.2.1.4 - C.1.2.1.5) e) Certifying the operational and security readiness of the prototype system. (C.1.2.1.6) Base Period (2nd Component) Describe the Offeror’s approach to the following activities:

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a) Scaling-up the prototype to a fully functional production system. (C.1.2.2.1) b) Testing the scale up production processing system. (C.1.2.2.2) Base Period (3rd Component) Describe the Offeror’s approach to the following activities: a) Addressing defects in the production processing system uncovered during conduct of FCTs and preparing for the System Acceptance Test (SAT). (C.1.2.3.1 - C.1.2.3.2) b) Certifying the operational and security readiness of the scale-up system. (C.1.2.3.3) c) Disposition of the scale-up system. (C.1.2.3.4) L.8.2.3 OPTION PERIOD I APPROACH – ADVANCE PRE-PROCESSING ACTIVITIES, STARTUP, AND PRODUCTION OPERATIONS

This section identifies the Offeror’s approach to advanced, pre-processing activities that shall occur prior to startup operations including the following: Option Period I (1st Component) – Advance Pre-processing Activities a) Recruiting and training sufficient staff to operate EFAST2 and ensuring that all Minimum Background Investigation (MBI) paperwork is properly prepared and submitted to the Government to secure clearances for production processing staff. (C.1.3.1.1) b) Performing advance call center support activities necessary to prepare for production operations. (C.1.3.1.2) c) Performing all advance data distribution and public disclosure pre-processing activities. (C.1.3.1.3) d) Planning and hosting market/stakeholder outreach conferences and producing related materials to prepare stakeholders for EFAST2 processing. (C.1.3.1.4) e) Incorporating potential value-added features, upon request, per Attachment O. (C.1.3.1.5) Option Period I (2nd Component) – Startup, Processing Year 2009 a) Performing system startup and processing Plan Year 2008 and 2009 forms. (C.1.3.2) b) Conducting system shakeout monitoring during the first six months of operations, and identifying and recording all defects that manifest themselves during operations. (C.1.3.2.1, C.1.3.2.2)

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L.8.2.4

PRODUCTION OPERATIONS, MAINTENANCE, AND ROLLOVER APPROACH

This section shall describe the Offeror’s approach to ongoing production operations, maintenance, and annual rollover throughout operations, including the following: a) Operating and maintaining all system functions required by the contract during operations. (C.1.4, C.1.4.1, C.1.4.1.2, C.1.4.2.2, C.1.4.3, C.1.4.3.2, C.1.4.4, C.1.4.4.2, C.1.4.5, C.1.4.5.2, C.1.4.6, C.1.4.6.2, C.1.4.7, C.1.4.7.2, C.1.4.8, C.1.4.8.2, C.1.4.9, C.1.4.9.2, C.1.4.10, C.1.4.10.2, C.1.5 – C.1.15) b) Preparing for and conducting system rollover for subsequent processing year operations. (C.1.4.1.1, C.1.4.2.1, C.1.4.3.1, C.1.4.4.1, C.1.4.5.1, C.1.4.6.1, C.1.4.7.1, C.1.4.8.1, C.1.4.9.1, C.1.4.10.1) c) Incorporating annual forms changes and GFI materials into the system rollover process. (C.17, C.23) L.8.2.5 L.8.2.5.1 SYSTEM COMPONENTS SYSTEM ARCHITECTURE

a) Describe the Offeror’s approach to service availability, including strategies for planned maintenance and disaster recovery. (C.13, C.13.1) b) Describe the Offeror’s approach to load balancing, including the use of a mirrored remote site, and performance monitoring of system usage and capacity. (C.13.2) c) Describe the Offeror’s approach to performance monitoring. (C.13.3) d) Describe the Offeror’s approach to hardware hosting and open hardware architecture in compliance with the requirements of Section C.13. (C.13.4 - C.13.5) e) Discuss the Offeror’s approach to designing EFAST2 to fully support IPv4 and IPv6 internet protocols. (C.13.6) f) Describe the Offeror’s approach to developing security infrastructure and producing of system infrastructure deliverables. (C.13.7 - C.13.8) L.8.2.5.2 SYSTEM INPUTS, PRODUCTION CONTROL / TRACKING / WORKFLOW, PERFORMANCE STANDARDS, AND INVOICING

Describe the Offeror’s approach to the following: a) Receiving and processing Form 5500 returns/reports in electronic form, including both “processable” and “unprocessable” filing submissions. (C.4)

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b) Developing and maintaining a tracking database to measure system performance, and managing tracking database records. (C.6.1 - C.6.3) c) Implementing a tracking database to support supplementary tracking, production control reports and large monthly plan reports. (C.6.4 - C.6.6) d) Reporting the Contractor’s performance against each of the standards listed in Exhibit C.2.1 for both peak and non-peak processing periods. (C.2.1 - C.2.2) e) Generating invoices that will accurately account for factors affecting costs. (G.2) L.8.2.5.3 ELECTRONIC FILING, WEB PORTAL, IREG, AND IFILE

a) Describe the Offeror’s approach to establishing and maintaining an electronic filing system that effectively integrates all the functional electronic/Internet filing component(s) and general requirements described in Section C.10. (C.10 - C.10.1) b) Describe the Offeror’s approach to developing and maintaining a public-facing web portal that is accessible to different user audiences. (C.10.2 - C.10.2.2) c) Demonstrate the Offeror’s approach to designing a user-friendly and organized webpage structure for the EFAST2 web portal. (C.10.2.3) d) Describe the Offeror’s approach to designing a web portal that provides for authenticated individual user login, and access to filing status and other filer specific resources. (C.10.2.4 - C.10.2.5) e) Describe the Offeror’s approach to creating an iterative process for developing and maintaining the web portal. (C.10.2.6, C.10.2.7) f) Describe the Offeror’s approach to designing a web portal that provides accessibility via a wide range of computer configurations, and is easily navigated per the requirements of C.10.2.9. (C.10.2.8 - C.10.2.11) g) Discuss the Offeror’s approach to developing an Internet Registration capability to allow all EFAST2 participants to apply for and receive authenticable credentials to access certain portal functions and electronic signing. (C.10.3 - C.10.3.1) h) Describe the Offeror’s approach to accommodating shared signing. (C.10.3.2) i) Describe the IREG application and instruction materials that the Offeror would develop. (C.10.3.3) j) Describe the process by which IREG will issue access credentials and passwords to all different classes of EFAST2 users/ IREG applicants. (C.10.3.4 - C.10.3.5) k) Describe the Offeror’s approach to managing electronic filing credentials to accurately authenticate various EFAST2 web service requests. (C.10.3.6)

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l) Describe the Offeror’s approach to promoting electronic filing through kick-off postcards. (C.10.3.7) m) Discuss the Offeror’s approach to developing and hosting an Internet filing (IFILE) web application to create, edit and submit complete electronic filing submissions to IFAS. (C.10.5.1) n) Describe the Offeror’s approach to providing IFILE access control, allowing authorized users to author filings. (C.10.5.2 - C.10.5.3) o) Describe the Offeror’s approach to importing and exporting functionality, uploading attachments and assembling, sharing, submitting and viewing filings. (C.10.5.4 C.10.5.9) p) Describe the Offeror’s approach to administering and maintaining the IFILE application and supporting special users’ needs. (C.10.5.10 - C.10.5.16) L.8.2.5.4 IFAS, ENTITY, AND SPECIAL PROCESSING

a) Discuss the Offeror’s approach to developing an Internet filing acceptance server (IFAS) that will accept both single filing submissions and batch filing submissions either via the IFILE application or approved third party software. (C.10.4.1 - C.10.4.2) b) Describe the Offeror’s approach for authenticating and processing web service requests in accordance with the specifications for filing data elements discussed in Section C.10.4.3. (C.10.4.3) c) Discuss the standards to be employed in the Base Period design of the IFAS web service interface, and provide a WSDL specification for IFAS and discuss its major elements and design choices. (C.10.4.4) d) Describe the Offeror’s proposed web service request validation process, including transmitter, request, and software authentication, as well as message processability and virus checking. (C.10.4.5) e) Describe the Offeror’s approach to filing acceptance processing of filings submitted to IFAS, including how the Offeror will integrate filing element validation, edit testing, signature authentication, and tracking activities into a functional whole. (C.10.4.6) f) Describe the Offeror’s approach to delivering filing data to the end users. (C.10.4.7) g) Describe the Offeror’s approach to managing, storing and disseminating IFAS filing status information and acknowledgments. (C.10.4.8) h) Describe the Offeror’s approach to identifying and flagging duplicate and amended filing submissions. (C.11)

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i) Describe the Offeror’s approach to effectively managing special filing concerns that may arise in EFAST2, including prior year filing, retrieval requests, secured substitute filings, and short plan year filings. (C.9) L.8.2.5.5 DATA MANAGEMENT, STORAGE, AND RECORDS MANAGEMENT AND ARCHIVAL

a) Describe the Offeror’s approach to developing a data management process to store and organize Form 5500 return/report information. (C.14 - C.14.1) b) Describe Offeror’s approach to managing data throughout filing processing and monitoring data quality. (C.14.2 - C.14.12) c) Discuss Offeror’s approach to records management and archival, and retaining all EFAST2 data for the life of the contract in NARA compliant facilities. (C.16) L.8.2.5.6 PUBLIC DISCLOSURE AND DATA DISSEMINATION SERVICE

a) Describe the Offeror’s approach to designing a web-based data dissemination service per Section C.15. (C.15) b) Describe the Offeror’s approach for providing varying access control and data dissemination resources to the three major groups of EFAST2 users—the general public, Government users, and the Contractor's contact center staff. (C.15.1 - C.15.7) c) Describe the Offeror’s approach to data dissemination of structured data to government end users as specified in Attachment E. (Attachment E) L.8.2.5.7 THIRD PARTY SOFTWARE DEVELOPER SUPPORT, THIRD PARTY SOFTWARE CERTIFICATION CRITERIA, AND CONTACT CENTER

a) Describe the Offeror’s approach to providing software developer support to assist third party software developers in authoring, preparing and submitting electronic filings to EFAST2. (C.10.6.1 - C.10.6.2, Attachment G) b) Describe the resources that will be provided as part of the Offeror’s software developer support program including stakeholder conferences, filing user guides, and software developer specifications (C.10.6.3 - C.10.6.5). c) Describe the Offeror’s approach to converting Attachment P - Volume 2 XML Schema into applied electronic filing accept/reject criteria. (C.10.6.6) d) Describe the Offeror’s approach to third party software certification, including the Offeror’s approach to conducting/facilitating certification tests (Attachment G), and the full process by which software developers may receive certification of their third party authoring/transmission software. (C.10.6.6 - C.10.6.6.5)

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e) Describe the Offeror’s approach to designing and operating the consolidated contact center in accordance with the requirements of Section C.18. (C.18.1 - C.18.13) f) Describe the Offeror’s approach to contact center monitoring, reporting and training requirements. (C.18.14 - C.18.20.1) L.8.2.5.8 QA, QC, TESTING, AND CM

a) Describe the Offeror’s approach to establishing and maintaining a quality assurance program in accordance with Department of Labor SDLCM and SDLCM division of labor requirements. (C.19.1 - C.19.10) b) Indicate the Software Engineering Institute Capability Maturity Model Integration (SEICMMI) level the Offeror would maintain for EFAST2. (C.19.11) c) Describe the Offeror’s approach to QA reviews, inspections and audits. (C.19.12 C.19.17) d) Describe the Offeror’s approach to QA planning, documentation and reporting. (C.19.18 - C.19.20) e) Describe the Offeror’s approach to developing and maintaining a comprehensive quality control (QC) system. (C.20.1) f) Describe the Offeror’s approach to establishing a separate chain of command between quality control staff and production processing staff to ensure independence. (C.20.1.1) g) Describe the Offeror’s approach to measuring QC performance standards, correcting defects, conducting inspections, and conducting QC briefings. (C.20.2 - C.20.10) h) Describe the Offeror’s proposed QC monitoring procedures to ensure processing and reporting requirements are met. (C.20.11 - C.20.15) i) Describe the Offeror’s approach to comprehensive testing of system components in Base Period and Option Periods I-XI. (C.21.1 - C.21.4) j) Describe the Offeror’s approach to developing a Configuration Management (CM) program to manage system problems, system changes, and requirements changes. (C.25.1 - C.25.5) k) Describe the Offeror’s approach to supporting Government participation in the Offeror’s CM program. (C.25.6) l) Describe the Offeror’s approach to CM documentation, and reporting. (C.25.7 - C.25.10) L.8.3 SECURITY

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a) Describe the Offeror’s approach to developing and maintaining a security program, headed by the ISO, to ensure the confidentiality of EFAST2 data and protection of the system. (C.22) b) The Offeror shall describe its approach to: 1. Meeting Federal security requirements. (C.22.1) 2. Maintaining hardware, software and other system applications security. (C.22.2) 3. Maintaining personnel security. (C.22.3) 4. Reporting and documenting system security status. (C.22.4) L.8.4 MANAGEMENT

This section details the Offeror’s management recruiting, transition and documentation approach for EFAST2. L.8.4.1 INTEGRATED MANAGEMENT SYSTEM, PLANNING DELIVERABLES, AND REPORTING

a) Describe the Offeror’s approach to designing and implementing an integrated management system (IMS) to track the cost and schedule performance of work performed under EFAST2. (C.24.1) b) Describe the Offeror’s plans for developing IMS related project planning deliverables, including: an Integrated Master Plan, an Integrated Master Schedule, a Level 4 Contractor Work Breakdown Structure, a Performance Measurement Baseline, a Contract Performance Report, Integrated Baseline Review, a Contract Funds Status Report, and a Monthly Work and Management Report. (C.24.2 - C.24.9, C.24.12) c) Describe the Offeror’s procedure for notifying the COTR of any problem that could impact the receipt or analysis of data, data entry, electronic transmission, or security of the EFAST2. (C.24.13) L.8.4.2 RISK MANAGEMENT AND PRODUCTION RECRUITING PLAN

The Offeror shall provide the following: a) a Project Risk Management Plan, and b) a Production Recruiting and Training Plan for the project team (C.24.10 - C.24.11). L.8.4.3 TRANSITION PLAN AND COPYRIGHTS

The Offeror shall describe: a) disposition of all necessary materials in order to transition EFAST2 to another vendor at the conclusion of any option period, and b) limiting copyright restrictions per the requirements of C.24.18. (C.24.14, C.24.18) L.8.4.4 DOCUMENTATION

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The Offeror shall describe the procedures it will employ to maintain full system documentation throughout the duration of this contract, and to submit documentation to Government for the purposes of updates, and inspection/acceptance as specified in Section E of the Contract schedule. (C.24.16 - C.24.17) L.8.5 L.8.5.1 PAST PERFORMANCE PAST PERFORMANCE AND CORPORATE CAPABILITIES

This section details the Offeror’s past experience and success with projects and contracts similar to EFAST2. a) Describe the Offeror’s specific past performance as it relates to the ability of the company to successfully carry out the requirements of this contract. b) Describe the experience of the organizational unit that would service this contract as evidenced by the number of contracts in the past five years, dollar volume and contract type. c) Describe demonstrated ability to provide backup personnel on an as-needed basis in the event of key or other significant personnel loss. d) Describe the years of industry experience for the staff that would service this contract. e) Provide signed letters of availability and commitment from all personnel not currently employed by the Offeror, and consulting and subcontracting agreements with all consultants and subcontractors proposed to be used by the Offeror. L.8.5.2 PROJECT DESCRIPTIONS

a) The Offeror shall submit a list and detailed description of three (3) projects or contracts active or completed by the corporate organizations that would service this contract or a proposed subcontractor, which are relevant to the specifications contained in Section C and which have a total contract value of $2.5 million or more. The Offeror shall do this by furnishing synopses of previous projects that are similar or directly related to the work to be performed under the proposed contract. Each synopsis shall include: 1. The name and address of the client for whom the work was performed 2. The general nature and scope of the work 3. The period during which the work was performed categorized by areas listed in L.8.5.2.a.2 4. The total number of hours billed to the project 5. The identity of the key personnel assigned to the project and their positions

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6. The dollar value of the project 7. A description of the major products or services produced that were accepted by the customer 8. The name and telephone number of two persons in the client's organization who are knowledgeable about the Offeror's performance on the project 9. The contract number and/or delivery order number under which the Offeror performed the prescribed work for the Government b) The Offeror shall provide a concise description of each project or contract and shall demonstrate successful recent1 and relevant2 experience with the following specific areas: 1. Design, development, testing, and operation of large-scale, XML based electronic document processing systems, web portal development, and electronic signature administration. 2. Production control and tracking of filings or similar electronic documents. 3. Electronic/Internet filing back-end processing, or transmission of data, receipt acknowledgement, and edit testing. 4. Data management Government sites. and secure telecommunications/Internet connectivity to

5. Continuity of operations and system architecture techniques to prevent or minimize service disruptions. 6. Web-based data dissemination. 7. Third Party Software Developer and contact center support. 8. Quality assurance and quality control. L.8.5.3 CONTRACTOR PERFORMANCE EVALUATION SURVEY

The Government intends to survey all of the Project Managers and Contract Administrators for past projects referenced in the Offeror’s Technical Proposal, regarding the Offeror’s past performance. (Using the Survey in Attachment U)

1

"Recent experience" is defined as having occurred within five years of the issuance of the RFP.

"Relevant experience" is defined as having processed large volumes of filings comparable to those required of this project, preferably for a Governmental client.

2

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To aid in the Government’s survey, the Offeror shall provide additional information for each of the contracts or projects listed in its offer. This information will be used to determine Offeror’s ability to accomplish the required tasks and also to assist the Contracting Officer in determining price realism and reasonableness. For each of the three (3) past project descriptions required in Section L.8.5.2, provide the following additional information in the following format (limited to one page for each project): Project Title: Project Description: Contract Number: Period of Performance: Key Personnel Involved: Government Points of Contract: An Operational URL: L.8.6 KEY PERSONNEL

The Offeror’s technical proposal shall include the following: a) Names, proposed duties, and qualifications (including resumes) meeting or exceeding each of the key personnel position requirements identified in Section C.3.6 for: • Project Manager • Computer Systems Analyst • Chief Quality control specialist • Information Security Officer • Systems Administrator • System Test Engineer • Configuration Management Specialist b) Names, proposed duties, and qualifications (including resumes) warranted by the Offeror's detailed analysis of the requirements for up to 5 additional personnel. (C.3.7) L.8.7 SMALL BUSINESS SUBCONTRACTING UTILIZATION PLAN

The Offeror shall submit a Small Business Subcontracting Utilization Plan that shall be considered part of the technical proposal. The Small Business Subcontracting Utilization Plan shall be submitted in accordance with Section I.2, FAR Clause 52.219-9. At least 10% of the total contract award shall be subcontracted. 1) Of the subcontracting portion of the award, at least 60% will be awarded to small businesses; 2) 11 % of the subcontracting portion of the award to small disadvantaged business; 3) 7% of the subcontracting portion of the award to women-owned small business; 4) 3% of the subcontracting portion of the award to HUBZone small business; 5) 3% of the subcontracting portion of the award to veteran-owned small business; 6) 3% of the subcontracting portion of the award to service-disabled veteran-owned small business. Small business categories are not mutually exclusive; subcontract dollars may be attributed to as many categories as are applicable.

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Note: The Contracting Officer shall advise the Offeror of any deficiencies in the plan and request submission of a revised plan by a specific date. An acceptable sub-contracting plan is required to be eligible for award. Offers that are received from small businesses in accordance with NAICS 541511 and a size standard of $23,000,000 are exempt from the subcontracting utilization plan requirements. L.9 BUSINESS PROPOSAL INSTRUCTIONS

The Offeror’s “Volume II - Business Proposal” shall be structured according to the instructions in format outlined below and in conformance with the CWBS structure and contract requirements specified in the Contract Schedule. The Offeror’s business proposal shall be fully supported by cost and pricing data adequate to establish the reasonableness of the proposed amount and to otherwise meet the requirements for certified cost or pricing data under FAR 15.406-2. Unless otherwise noted, all elements contributing to cost, including categories and amounts of labor, materials, indirect costs or overhead rates, travel, computer time, and other cost and pricing data shall follow the cost breakout instructions contained in FAR 15.408 Table 15-2. The following information shall be included in the Business Proposal. L.9.1. ADMINISTRATIVE DATA AND GENERAL INSTRUCTIONS Unless otherwise noted, Offerors shall provide business proposal information in the manner prescribed by Table 15-2, I. General Instructions, of FAR 15.408. The following information is required in addition to the FAR 15.408 Table 15-2 required items: a) The names, titles, and signatures of representative(s) authorized to conduct negotiations and to contractually bind the Offeror’s organization. b) The name and address of Offeror’s (and subcontractor's if applicable) place of business including the street address and the names and addresses of owner and operator of facility if other than the Offeror; c) The name, address and telephone number of the Offeror’s (and subcontractor's, if applicable) cognizant Government audit agency, if the Offeror (and subcontractor, if applicable) has a cognizant Government audit agency. d) A copy of the Offeror’s (and subcontractor's if applicable) most recently negotiated indirect cost rate agreement with the Government, if the Offeror (and subcontractor, if applicable) has an indirect cost rate agreement with the Government. e) A statement that the Offeror has the necessary financial capacity, working capital and other resources to perform the contract without assistance from any outside source (if not, indicate the amount required and the anticipated source). f) The Offeror’s most recent balance sheet and income statement. g) A copy of each fully executed contingent subcontract and/or consulting agreement, if the Offeror proposes to use subcontractors and/or consultants. Also furnish copies of letters of commitment from all individuals not currently employed by the Offeror.

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h) A copy of cost or pricing data from subcontractor(s) and/or consultant(s) submitted as a sealed package. i) As soon as practicable after final agreement on price or an earlier date agreed to by the parties, but before the award resulting from the proposal, the Offeror shall, under the conditions stated in FAR 15.406-2, submit a Certificate of Current Cost or Pricing Data. j) If the Offeror has reached an agreement with Government representatives on use of forward pricing rates/factors, the Offeror should identify the agreement, include a copy, and describe its nature. The Offeror shall furnish a copy of the letter from the Offeror’s cognizant auditing agency determining the provisional overhead rates for the period of performance; a copy of the letter from the Offeror’s cognizant auditing agency determining the actual overhead rates for the previous three years; and an explanation of any variances between the approved provisional rates and rates used in the budgets for the Base Period (CPAF) and Option Period I (1st Component) (CPFF). k) The Offeror shall ensure that the cost and pricing data in the business proposal shall be consistent with and support other sections of the proposal. All commitments in the technical proposal that affect the Offeror’s cost proposal shall be discussed and quantified in the cost and pricing data. Any assumptions made by the Offeror regarding future improvements in the processing speed for any hardware/software, etc., must be substantiated. l) By submitting its proposal, the Offeror grants the Contracting Officer or an authorized representative the right to examine records that formed the basis for the pricing proposal. That examination can take place at any time before award. It may include those books, records, documents, and other types of factual information (regardless of form or whether the information is specifically referenced or included in the proposal as the basis for pricing) that will permit an adequate evaluation of the proposed price.
m) Offerors, at a minimum, shall submit a business proposal fully supported by cost and pricing data (in accordance with FAR 15.406-2) which is adequate to establish the reasonableness of the proposed cost and price for Base Period and Option Period I (1st Component). Categories and amounts for labor, materials, travel, computer time, other direct costs, indirect costs, subcontract/consultant costs, fringe, burden, overhead, general and administrative costs, and fee are required.

n) The Offeror shall supply a business proposal index, appropriately referenced, of all the cost or pricing data and information accompanying or identified in the proposal. In addition, the Offeror shall annotate any future additions, amendments, and/or revisions, up to the date of agreement on price, or an earlier date agreed upon by the parties, on a supplemental index. L.9.2 OFFEROR’S REPRESENTATIONS AND CERTIFICATIONS The Offeror shall complete and submit SECTION K, Representations, Certifications and Other Statements of Offerors, of this Request for Proposal.

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L.9.3 COST AND PRICING DATA -- CPAF PRICING DATA (BASE PERIOD) AND CPFF PRICING DATA (OPTION PERIOD I (1ST COMPONENT)) For each CPAF contract period (Base Period) and CPFF contract period (Option Period I (1st Component)), the Offeror shall submit cost and pricing data that builds up to the total compensation figures required by Section B. The Offeror’s detailed cost and pricing data breakout shall be structured according to the Government's approved CWBS structure contained in Exhibit C.24.1 at level 3 or greater. The Offeror shall identify and justify any deviations from the Government's CWBS structure intended to clarify the cost and pricing data breakout. The Offeror’s cost and pricing data breakout shall have the following characteristics: a) Section B Compensation Base Period (CPAF) -- The Offeror shall complete and submit the total compensation figures required by Section B.2.1.3, which are: 1) total cost, 2) cost, 3) base fee and 4) maximum award fee; and Section B.2.1.4, which are: 1) base fee, and 2) award fee. To be considered for award, the Offeror shall provide a sufficiently detailed cost and pricing data breakout to support the entered figures. b) Section B Compensation Option Period I (1st Component) (CPFF) -- The Offeror shall complete and submit the total compensation figures required by Section B.2.2.3, which are: 1) total cost, 2) cost, and 3) fixed fee. To be considered for award, the Offeror shall provide a sufficiently detailed cost and pricing data breakout to support the entered figures c) Cost and Pricing Summary -- The Offeror shall complete and submit summary cost and pricing data that sums to the total compensation figures entered in Section B. The summary cost and pricing data shall provide a summary breakout of all costs, loading factors, and fee. All prices shall be rounded to the nearest cent and shall be fully discounted billable prices reflecting all discounts owed to the Government. d) CWBS Level 1 Cost and Pricing Summary Breakout -- The Offeror shall complete and submit a summary table cost and pricing breakout at CWBS level 1 that maps to and sums to the total compensation figures entered in Section B. e) CWBS Level 3 Cost and Pricing Detailed Breakout -- The Offeror shall complete and submit a detailed contract cost and pricing data breakout at CWBS level 3 (or higher) that maps to and sums to the total compensation figures entered in Section B. The cost and pricing data breakout shall follow the instructions contained in Section L.9.5. Include subtotals that sum to CWBS level 1 and that sum to the total compensation figures entered in Section B. The Offeror shall supply sufficiently descriptive cost and pricing supporting documentation at CWBS level 3 (or higher), and traceable to all requirements and deliverables required by the Contract. At a minimum, the cost and pricing data breakout shall include labor, hardware, software, COTS, subcontractor/consultant costs, other Offeror’s costs, applied loading factors, and fee (base fee and award fee). f) Bill of Materials (BOM) Cost and Pricing Detailed Breakout -- The Offeror shall supply a detailed bill of materials (BOM) that describes all equipment required for the project, including description, purchase price, and number of units required during each contract

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period (Base Period and Option Period I (1st Component)). The Offeror shall supply sufficiently descriptive identifying labels for individual items of equipment or property that costs in excess of $1,000 that will be required to fulfill the requirements of the contract. The BOM cost and pricing data detailed breakout shall follow the instructions contained in Section L.9.6. g) Labor Workloading Plan / Matrix -- The Offeror shall include a Labor Workloading Plan / Matrix which is consistent with the proposed CWBS and Section B. This detailed plan or matrix shall reflect all proposed direct labor hours with prime contractor and subcontractor hours separately identified. Individual labor categories proposed shall be titled using Section C.3 labor category titles or a cross reference table provided matching proposed contractor labor categories to Section C.3 labor category titles. The labor workloading plan / matrix should exactly map to the hours table included in the technical proposal. h) Total Compensation Plan -- The Offeror shall document the total compensation plan setting forth the salaries and fringe benefits proposed for the professional and production employees who are proposed to work under the contract. i) Performance Measurement Baseline (PMB) -- The Offeror shall make every effort to map its internal cost and pricing structure to the Government's approved CWBS structure, and to establish a cost and pricing structure conducive to priming the Offeror’s proposed integrated management system (IMS) Performance Measurement Baseline (PMB), and supporting the Offeror’s proposed structured cost accounting procedures and practices, and supporting the Department's Integrated Baseline Reviews (IBR). L.9.4 COST AND PRICING DATA -- FFP PRICING DATA (OPTION PERIOD I (2ND COMPONENT) -XI) For each FFP contract period (Option Periods I (2nd Component) through XI), the Offeror shall submit cost and pricing data that builds up to the total compensation figures required by Section B. The Offeror’s detailed cost and pricing data shall be structured according to the Government's approved CWBS structure in Exhibit C.24.1 at level 3 or greater. The Offeror shall identify and justify any deviations from the Government's CWBS structure intended to clarify the cost and pricing data breakout. a) Section B Compensation -- The Offeror shall complete and submit the total compensation figures required by Section B.2.3.3, which are: 1) total fixed price (TFP), 2) base amount to be reimbursed under CLIN 1, 3) a maximum incentive amount to be reimbursed under CLIN 2, and 4) a maximum amount to be reimbursed under CLIN 3. To be considered for award, the Offeror shall provide a sufficiently descriptive cost and pricing data breakout to support the entered figures. b) Cost and Pricing Summary -- The Offeror shall complete and submit summary cost and pricing data that sums to the total compensation figures entered in Section B. The summary cost and pricing data shall provide a summary breakout of all costs, loading factors, fee, base amount to be reimbursed under CLIN 1, maximum incentive amount to be reimbursed under CLIN 2, and maximum amount to be reimbursed under CLIN 3.

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The summary cost and pricing data shall sum to the total Section B compensation figures for Option Periods I (2nd Component) through XI. All prices shall be rounded to the nearest cent and shall be fully discounted billable prices reflecting all discounts owed to the Government. c) CWBS Level 1 Cost and Pricing Summary Breakout -- The Offeror shall submit a summary table at CWBS level 1 that sums to the total compensation figures entered in Section B. d) CWBS Level 3 Cost and Pricing Detailed Breakout -- The Offeror shall complete and submit a detailed contract cost and pricing data breakout at CWBS level 3 (or higher) that maps to and sums to the total compensation figures entered in Section B. The cost and pricing data breakout shall follow the instructions contained in Section L.9.5. Include subtotals that sum to CWBS level 1 and that sum to the total compensation figures entered in Section B. The Offeror shall supply sufficiently descriptive cost and pricing supporting documentation at CWBS level 3 (or higher), and traceable to all requirements and deliverables required by the Contract. At a minimum, the cost and pricing data breakout shall include labor, hardware, software, COTS, subcontractor/consultant costs, other Offeror’s costs, applied loading factors, and fee. e) Bill of Materials (BOM) Cost and Pricing Detailed Breakout -- The Offeror shall supply a detailed bill of materials (BOM) that describes all equipment required for the project, including description, purchase price, and number of units required during each contract period (Option I (2nd Component) through XI). The Offeror shall supply sufficiently descriptive identifying labels for individual items of equipment or property that costs in excess of $1,000 that will be required to fulfill the requirements of the contract. The BOM cost and pricing data breakout shall follow the instructions contained in Section L.9.6. f) Labor Workloading Plan / Matrix -- The Offeror shall include a Labor Workloading Plan / Matrix which is consistent with the proposed CWBS and Section B. This detailed plan or matrix shall reflect all proposed direct labor hours with prime contractor and subcontractor hours separately identified. Individual labor categories proposed shall be titled using Section C.3 labor category titles or a cross reference table provided matching proposed contractor labor categories to Section C.3 labor category titles. The labor workloading plan / matrix should exactly map to the hours table included in the technical proposal. g) Total Compensation Plan -- The Offeror shall document the total compensation plan setting forth the salaries and fringe benefits proposed for the professional and production employees who are proposed to work under the contract. L.9.5 COST AND PRICING DATA -- DETAILED BASES OF ESTIMATE (BOES) The Offeror shall supply a specific, detailed contract cost and pricing data breakout at CWBS level 3 or greater that sums to the total compensation figures entered in Section B. Unless otherwise noted, all elements contributing to cost, including categories and amounts of labor, materials, indirect costs or overheads, travel, computer time, etc., shall follow the cost breakout

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instructions contained in Table 15-2 of FAR 15.408. At a minimum, the cost and pricing data breakout shall include labor, hardware, software, COTS subcontractor/consultant costs, other Offeror’s costs, applied loading factors, and fee. For each CWBS Level 3 (or higher) element, the Offeror shall provide specific cost and pricing data sufficiently detailed for Government review. The precise format of the cost and pricing data shall be at the Offeror’s discretion, but shall include the following information in addition to the information required by FAR 15.408 Table 15-2: a) The Offeror’s costs shall include all requirements and items to be delivered under the Contract. b) Using the CWBS Level 3 structure in Section C the Offeror shall delineate each and every item that shall be provided under this solicitation. If an item is proposed at no additional charge (e.g., the price is included in another item), “NSP” (not separately priced) shall be denoted.

c) Offerors shall include the proper allocation of any purchasing or indirect expenses for material or equipment purchases. All costs, including administrative, required for performance of the contract shall be included in the Cost and Pricing Schedule Summary. d) The Offeror shall develop unit costs based on estimated volumes and throughput and shall develop costs in such a way that the Offeror is reimbursed for its costs regardless of the volume of filings that it actually processes. The Offeror’s cost and pricing data shall reflect peak and non-peak processing assumptions and any economies of scale available. e) An Offeror’s proposed cost and pricing data shall include all necessary expertise and supplies required to meet all of the requirements of this RFP. The Offeror shall be bound by the fixed prices offered within their Business Proposal. Offeror’s are reminded that the format and content of Form 5500 series reports may change over the course of the contract and therefore rollover activities should be priced accordingly. f) The Offeror shall furnish cost element breakdowns detailing the costs provided in the Cost and Price Proposal. These breakdowns, or Bases of Estimate (BOE) documents, shall provide the Government with detailed information to support and justify the costs being proposed for each CWBS element breakout of the CLINs. The Contractor should provide a detailed basis of estimate for each CWBS level 3 element provided in the Cost and Pricing Schedule Summary. These Bases of Estimate documents should provide the items listed below. 1. Materials--Provide a consolidated priced summary of individual material quantities included in the various tasks, orders, or contract line items being proposed and the basis for pricing (vendor quotes, invoice prices, etc.). Include raw materials, parts, components, assemblies, and services to be produced or performed by others. For all items proposed, identify the item and show the source, quantity, and price. Conduct price analyses of all subcontractor proposals. Conduct cost analyses for all subcontracts when cost or pricing data are submitted by the subcontractor. Include these analyses as part of your own cost or pricing data submissions for subcontracts expected to exceed the appropriate threshold in FAR 15.403-4. Submit the subcontractor cost or pricing data as part of your own cost or pricing data as required

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in paragraph IIA(2) of FAR 15.408 Table 15-2. These requirements also apply to all subcontractors if required to submit cost or pricing data. (1) Adequate Price Competition. Provide data showing the degree of competition and the basis for establishing the source and reasonableness of price for those acquisitions (such as subcontracts, purchase orders, material order, etc.) exceeding, or expected to exceed, the appropriate threshold set forth at FAR 15.403-4 priced on the basis of adequate price competition. For interorganizational transfers priced at other than the cost of comparable competitive commercial work of the division, subsidiary, or affiliate of the contractor, explain the pricing method (see FAR 31.205-26(e)). (2) All Other. Obtain cost or pricing data from prospective sources for those acquisitions (such as subcontracts, purchase orders, material order, etc.) exceeding the threshold set forth in FAR 15.403-4 and not otherwise exempt, in accordance with FAR 15.403-1(b) (i.e., adequate price competition, commercial items, prices set by law or regulation or waiver). Also provide data showing the basis for establishing source and reasonableness of price. In addition, provide a summary of your cost analysis and a copy of cost or pricing data submitted by the prospective source in support of each subcontract, or purchase order that is the lower of either $10,000,000 or more, or both more than the pertinent cost or pricing data threshold and more than 10 percent of the prime contractor's proposed price. The Contracting Officer may require you to submit cost or pricing data in support of proposals in lower amounts. Subcontractor cost or pricing data must be accurate, complete and current as of the date of final price agreement, or an earlier date agreed upon by the parties, given on the prime contractor's Certificate of Current Cost or Pricing Data. The prime contractor is responsible for updating a prospective subcontractor's data. For standard commercial items fabricated by the Offeror that are generally stocked in inventory, provide a separate cost breakdown, if priced based on cost. For interorganizational transfers priced at cost, provide a separate breakdown of cost elements. Analyze the cost or pricing data and submit the results of your analysis of the prospective source's proposal. When submission of a prospective source's cost or pricing data is required as described in this paragraph, it must be included along with your own cost or pricing data submission, as part of your own cost or pricing data. You must also submit any other cost or pricing data obtained from a subcontractor, either actually or by specific identification, along with the results of any analysis performed on that data.
2. Direct Labor--Provide a time-phased (e.g., monthly, quarterly, etc.) breakdown of labor hours, rates, and cost by appropriate category, and furnish bases for estimates. 3. Indirect Costs--Indicate how the Offeror has computed and applied its indirect costs, including cost breakdowns. Showing trend and budgetary data, to provide a basis for evaluating the reasonableness of proposed rates. Indicate the rates used [by the Offeror] and provide an appropriate explanation. 4. Other Costs--List all other costs not otherwise included in the categories described above (e.g., special tooling, travel, computer and consultant services, preservation, packaging and packing, spoilage and rework, and Federal excise tax on finished articles) and provide bases for pricing.

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5. Royalties--If more than $250, provide the following information on a separate page for each separate royalty or license fee: name and address of licensor; date of license agreement; patent numbers, patent application serial numbers, or other basis on which the royalty is payable; brief description (including any part or model numbers of each contract item or component on which the royalty is payable); percentage or dollar rate of royalty per unit; unit price of contract item; number of units; and total dollar amount of royalties. In addition, if specifically requested by the contracting officer, provide a copy of the current license agreement and identification of applicable claims of specific patents. (See FAR 27.204 and 31.205-37). 6. Facilities Capital Cost of Money--When the Offeror elects to claim facilities capital cost of money as an allowable cost, the Offeror must submit Form CASB-CMF and show the calculation of the proposed amount (see FAR 31.205-10). 7. Subcontractor/consultant costs -- Where applicable, the Offeror shall itemize, describe, and cost the functions to be carried out by subcontractor/consultants, and shall clearly indicate the subcontractor/consultant that will carry out the function. g) The Basis of Estimate for each CWBS element shall include cost and pricing data that are verifiable and factual and otherwise as defined at FAR 2.101. This data shall be accompanied by any/all information necessary to explain how the contractor arrived at its costs/estimates. This information includes the following and should be highly visible within the proposal: the judgmental factors applied and the mathematical or other methods used in the estimate, including those used in projecting from known data; and the nature and amount of any contingencies included in the proposed price. h) The Bases of Estimate documents shall also include a brief Statement of Work / Task reference that describes the task to be performed under the CWBS element. The Contractor is expected to address each provision the Contract Schedule Statement of Work provided in Section C of the Contract Schedule. i) At a minimum, the Offeror shall submit a separate BOE for each CWBS Level 3 element for all Contract Periods. The cost information shall be provided in table form, while the justification of assumptions for each cost element should be provided in paragraph/bullet point form.

j) The Offeror shall include reference information in each BOE. This reference information should include the CWBS number, the CLIN, the Period of Performance, and any applicable volumes associated with the CWBS element.
k) The Offeror should make available all applicable cost and pricing data to the Government with information necessary to assist the Government’s review. As additional information becomes available to the Offeror this information should be promptly submitted to the Government in a way that clearly identifies the information being provided and how it relates to the previously submitted cost and pricing proposal. The requirement to submit cost or pricing data continues up to the time of agreement on price, or another date agreed upon between the parties if applicable.

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l) The Offeror’s business proposal shall represent the Offeror’s best efforts and experience with costing the functions described in the Contract. The requirement for submission of cost or pricing data is met when all accurate cost or pricing data reasonably available to the Offeror have been submitted, either actually or by specific identification, to the Contracting Officer or an authorized representative. As later information comes into the Offeror’s possession, it should be submitted promptly to the Contracting Officer in a manner that clearly shows how the information relates to the Offeror’s business proposal. The requirement for submission of cost or pricing data continues up to the time of agreement on price, or an earlier date agreed upon between the parties if applicable. Inconsistencies, whether real or apparent, between promised performance and cost or price, should be explained in the proposal. For example, if the intended use of a new and innovative production technique is the basis for an abnormally low estimate, the nature of these techniques and their impact on cost or price should be explained, or if a corporate policy decision has been made to absorb a portion of the estimated cost that should be stated in the proposal. Any significant inconsistency, if unexplained, raises a fundamental issue as to the Offeror’s understanding of the nature and scope of the work required and of his financial ability to perform the contract. The burden of proof as to cost credibility rests with the Offeror. L.9.6 COST AND PRICING DATA -- BILL OF MATERIALS (BOM) The Contractor shall provide consolidated information on the hardware/firmware, software (COTS and custom), and material items that it proposes to use in the performance of the contract requirements. This information should be in spreadsheet format and should include and account for the items listed below. 1. Hardware/firmware-- The Offeror shall provide a high-level description of each hardware item that will be used in the Offeror’s proposed system. This information should include a description of the item, the date of purchase (if applicable), the purpose of the item, the unit cost, depreciation schedule, and the total proposed cost and the cost per Option Period. The Offeror shall also provide a brief narrative description for each proposed hardware item, including the make, model, speed, cost, how it will be used in the proposed system, and any other applicable details, such as applicable service level agreements. 2. Software (COTS and Custom) -- The Offeror shall provide a high-level description of each software item that will be used by the Offeror’s proposed system. This description should include the purpose and/or or how it will be used, the period of the license, the hardware item on which it resides, the type of license (i.e. limited or perpetual), the number of licenses, the amortization period, the unit cost(s), the total proposed cost and the cost per Option Period. The Offeror shall also provide a brief narrative description for each software item being used, including a description of utilization and any other applicable details, such as characteristics of the licensing agreements. 3. Materials-- The Offeror shall provide a detailed description of the materials and other equipment item that will be used by the Offeror’s proposed system, including printers, fax machines, copiers, cleaning supplies and network peripherals. This description should include total proposed cost of each item, and the cost per Option Period.

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In addition to providing the above information on Hardware, Software, Materials, the Offeror shall provide a Bill of Materials Cost Summary that separately totals the cost of Hardware, Software and materials by Option Period. The Offeror’s Bill of Materials shall be consistent with and support all other sections of the Offeror’s Technical proposal. The Hardware and Software items proposed shall agree with the Offeror’s proposed system architecture, and any other system engineering documents that are submitted in the Offeror’s Technical Proposal. L.9.7 PROPERTY AND EQUIPMENT It is Government policy that Offerors shall provide all equipment and facilities necessary for performance of this contract, however, in some instances, an exception may be granted to furnish Government-owned property or to authorize purchase with contract funds. The Contractor shall include the cost of the use of such plant, computers, and equipment into the prices proposed in the Cost and Pricing Schedule Summary as described in Sections L.9.3 and L.9.4. The Government will not furnish, nor fund the purchase of, any plant, computers, or equipment required under this contract, except as described in Attachment T and Section B of the contract. The Offeror shall present the method of computing the usage, maintenance, upgrade, and replacement costs of plant, computers, and other equipment in the cost estimates for all periods of performance. Additionally, the Offeror shall identify all Government-owned property in its possession and all property acquired using Federal funds, to which Offeror has title, that is proposed to be used in the performance of the prospective contract. L.9.8 RESPONSIBILITY OF PROSPECTIVE CAPABILITY STATEMENTS) CONTRACTOR (FINANCIAL

The Offeror shall demonstrate (prior to contract award) their responsibility in meeting the Government’s requirements. The Offeror shall indicate whether they have the financial capacity, working capital and other resources to perform the requirements of the contract without assistance from an outside source. If not, the Offeror shall indicate the amount of resources required and the anticipate source of those additional resources. The Offeror shall also demonstrate its ability to meet the Government’s identified performance standards and deliverables schedule, as specified by Section C.2 and Section F of the Contract Schedule. L.9.8.1 FAR 9.104-1 GENERAL STANDARDS The following clauses from FAR 9.104-1, General Standards, will be used by the Government in analyzing the responsibility and capability of the Offeror: To be determined responsible, a prospective contractor must—

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(a) Have adequate financial resources to perform the contract, or the ability to obtain them (see 9.104-3(a)); (b) Be able to comply with the required or proposed delivery or performance schedule, taking into consideration all existing commercial and governmental business commitments; (c) Have a satisfactory performance record (see 9.104-3(b) and Subpart 42.15). A prospective contractor shall not be determined responsible or nonresponsible solely on the basis of a lack of relevant performance history, except as provided in 9.104-2; (d) Have a satisfactory record of integrity and business ethics. (e) Have the necessary organization, experience, accounting and operational controls, and technical skills, or the ability to obtain them (including, as appropriate, such elements as production control procedures, property control systems, quality assurance measures, and safety programs applicable to materials to be produced or services to be performed by the prospective contractor and subcontractors). (See 9.104-3(a).) (f) Have the necessary production, construction, and technical equipment and facilities, or the ability to obtain them (see 9.104-3(a)); and (g) Be otherwise qualified and eligible to receive an award under applicable laws and regulations. L.9.8.2 FAR 9.105-1 OBTAINING INFORMATION

The following clauses from FAR 9.105-1, Obtaining Information, will be used by the Government in analyzing the responsibility and capability of the Offeror: (c) In making the determination of responsibility (see 9.104-1(c)), the contracting officer shall consider relevant past performance information (see Subpart 42.15). In addition, the contracting officer should use the following sources of information to support such determinations: (1) The Excluded Parties List System maintained in accordance with Subpart 9.4. (2) Records and experience data, including verifiable knowledge of personnel within the contracting office, audit offices, contract administration offices, and other contracting offices. (3) The prospective contractor—including bid or proposal information, questionnaire replies, financial data, information on production equipment, and personnel information. (4) Commercial sources of supplier information of a type offered to buyers in the private sector. (5) Preaward survey reports (see 9.106). (6) Other sources such as publications; suppliers, subcontractors, and customers of the prospective contractor; financial institutions; Government agencies; and business and trade associations. (7) If the contract is for construction, the contracting officer may consider performance evaluation reports (see 36.201(c)(2)). (d) Contracting offices and cognizant contract administration offices that become aware of circumstances casting doubt on a contractor’s ability to perform contracts successfully shall promptly exchange relevant information. L.9.8.3 FINANCIAL STATEMENT

The Government will consider the adequacy of the Offeror’s current, audited financial statement for the company as a whole, and for the organizational unit that would service this contract, if available, in analyzing the responsibility and capability of the Offeror.

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EFAST2 RFP Section L, Page 28 of 30

L.9.8.4

HOLIDAYS, OVERTIME, AND HOURS OF OPERATION

The Offeror shall specify its holiday schedule, overtime policy, and standard hours of operation.

L.9.8.5

LABOR RATE AND INDIRECT RATE VERIFICATION

The Offeror shall forward a separate copy of the Offeror’s "Business Proposal" to the Offeror’s cognizant federal audit agency office by the same due date and time applicable under this RFP for the main proposal. This copy of the Offeror’s "Business Proposal" shall be conveyed through a separate transmittal letter, which includes the following guidance text for the audit office: The U.S. Department of Labor, Office of the Assistant Secretary for Administration and Management, Procurement Services Center, Rm. N-5416, 200 Constitution Avenue, N.W. Washington D.C. 20210 requests that your office review this cost proposal for labor and indirect rates verification. Please forward your response to the above address - ATTN: ERIC VOGT by December 27, 2006. L.10 AMENDMENTS TO PROPOSALS

The Government will consider as non-responsive offers composed of an original offer plus a separate amendment to the original offer. Each Offeror shall submit a single offer, without amendment, in order to be considered for award.

L.11

REFERENCE MATERIALS

A list of all materials available in the reference library is in Attachment H of this RFP. Attachment H will not be included in the RFP solicitation package, but will be available to Offerors upon request. Offerors wishing to review these materials should contact Paula Sheelor at Sheelor.Paula@dol.gov with a verification of their intent to submit responsive proposals. Attachment H will be delivered in a separate CD ROM. L.12 REQUEST FOR CLARIFICATION

Any clarification requested by an Offeror regarding the meaning or interpretation of the RFP, drawings, specifications, etc. are to be referred to Sonya Carrion at Carrion.Sonya@dol.gov or U.S. Department of Labor, Office of the Assistant Secretary for Administration and Management, Office of Procurement Services, N-5416 200 Constitution Avenue, NW, Washington, DC 20210-001. All future requests for information concerning this solicitation submitted after September 30, 2006 shall be directed to Paula Sheelor at Sheelor.Paula@dol.gov. All questions shall be received by the contracting officer no later than 5:00 P.M. Eastern Standard Time on September 22, 2006. The Government will respond to all questions in writing, and shall distribute its responses to all organizations who have submitted a Notice of Intent to the Procurement Services Center at the address specified. L.13 PREPROPOSAL CONFERENCE

The Government may consider convening a pre-proposal conference at a date and time to be named. A transcript of the conference would be provided to all prospective Offerors, should such a conference occur. Remarks and explanations at the conference shall not qualify the terms of the

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EFAST2 RFP Section L, Page 29 of 30

solicitation. Terms of the solicitation and specifications remain unchanged unless the solicitation is amended in writing. Offerors may submit additional requests for clarification resulting from the discussion at the conference. Such questions shall be submitted in writing to: U.S. Department of Labor Office of the Assistant Secretary for Administration and Management Procurement Services Center 200 Constitution Avenue, NW Room N-5416 Washington, DC Attn.: Eric Vogt The Government will distribute its clarification question responses to all Offerors. L.14 BEST AND FINAL OFFERS

The Government intends to evaluate proposals and award a contract without discussions with offerors (except for clarifications). Therefore, the offeror’s initial proposal should contain the offeror’s best terms from a cost or price and technical standpoint. The Government reserves the right to conduct discussions if the Contracting Officer later determines them to be necessary. . L.15 CONTRACT AWARD

Funds are not presently available for any contract resulting from this Solicitation. The Government’s obligations under any resulting contract are contingent on the availability of appropriated funds from which payment for contract purposes can be made. The Government will not pay or reimburse offerors for any costs associated with their proposals. No legal liability on the part of the Government for any payment may arise until funds are made available to the Contracting Officer.

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DOL069RP20266 Amendment 02 - Attachment 3

EFAST2 RFP Attachment B, Page 1 of 12

Attachment 3
Attachment B Requirements Traceability Matrix

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Location

Section Proposal

Section C

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L.8.1

EXECUTIVE SUMMARY, OVERVIEW, AND UNDERSTANDING OF THE PROBLEM This section provides an executive summary, overview, and discussion of the Offeror’s understanding of the problem. At a minimum, this proposal section shall include the following: a) The Offeror’s demonstrated understanding of the major project goals and objectives of EFAST2. b) The Offeror’s demonstrated understanding of the needs of the end users

C.1 - C.1.1 C.1.1.1 C.1.2 C.1.1.3 All

c) The Offeror’s demonstrated understanding of the key technical issues that will have the largest impact on the success of the project d) The Offeror’s demonstrated understanding of the project activities by contract period e) A Requirements Traceability Matrix (RTM) that references the section/page in the Offeror’s Technical Proposal on which the requirement(s) of the solicitation are addressed per Attachment B TECHNICAL APPROACH Project Approach

L.8.2

L.8.2.1

This section shall demonstrate the Offeror’s approach to meeting the following general project requirements: a) Project goals and objectives

C.1.1.1 C.1.1.2 C.1.1.3

b) System requirements

c) Project activities by contract period

L.8.2.2 Base Period - First Component

Base Period Approach

Describe the Offeror’s approach to the following activities:

C.1.2.1.2 C.1.2.1.1 C.1.2.1.3 C.1.2.1.4 -C.1.2.1.5 C.1.2.1.6

a) Conducting full requirements analysis to ensure that all functional requirements are completely defined b) Developing an Integrated Master Plan with details on the Contractor’s development approach c) Developing a Detailed System Design (DSD) that satisfies all functional requirements and performance standards at both prototype and production processing volumes, including peak periods d) Building a prototype system capable of processing both Contractor and Government proposed tests e) Certifying the operational and security readiness of the prototype system

Base Period - Second Component

Describe the Offeror’s approach to the following activities:

a) Scaling-up the prototype to a fully functional production system

C.1.2.2.1 C.1.2.2.2

EFAST2 RFP Attachment B, Page 3 of 12

b) Testing the scale up production processing system

Base Period - Third Component

Describe the Offeror’s approach to the following activities:

DOL069RP20266 Amendment 02 - Attachment 3

a) Addressing defects in the production processing system uncovered during conduct of FCTs and preparing for the System Acceptance Test (SAT)

C.1.2.3.1 - C.1.2.3.2 C.1.2.3.3 C.1.2.3.4

b) Certifying the operational and security readiness of the scale-up system

c) Disposition of the scale-up system

L.8.2.3

Option Period I Approach – Advance Pre-processing Activities, Startup, and Production Operations This section identifies the Offeror’s approach to advanced, pre-processing activities that shall occur prior to startup operations including the following:

First Component - Advance Pre-processing Activities

C.1.3.1.1

C.1.3.1.2 C.1.3.1.3 C.1.3.1.4 C.1.3.1.5, O

a) Recruiting and training sufficient staff to operate EFAST2 and ensuring that all Minimum Background Investigation (MBI) paperwork is properly prepared and submitted to the Government to secure clearances for production processing staff b) Performing advance call center support activities necessary to prepare for production operations c) Performing all advance data distribution and public disclosure pre-processing activities d) Planning and hosting market/stakeholder outreach conferences and producing related materials to prepare stakeholders for EFAST2 processing

e) Incorporating potential value-added features, upon request, per Attachment O

Second Component - Advance Pre-processing Activities

a) Performing system startup and processing Plan Year 2008 and 2009 forms

C.1.3.2 C.1.3.2.1, C.1.3.2.2

b) Conducting system shakeout monitoring during the first six months of operations, and identifying and recording all defects that manifest themselves during operations

L.8.2.4

Production Operations, Maintenance, and Rollover Approach

This section shall describe the Offeror’s approach to ongoing production operations, maintenance, and annual rollover throughout operations, including the following: a) Operating and maintaining all system functions required by the contract during operations

C.1.4, C.1.4.1, C.1.4.1.2, C.1.4.2, C.1.4.2.2, C.1.4.3, C.1.4.3.2, C.1.4.4, C.1.4.4.2, C.1.4.5, C.1.4.5.2, C.1.4.6, C.1.4.6.2, C.1.4.7, C.1.4.7.2, C.1.4.8, C.1.4.8.2, C.1.4.9, C.1.4.9.2, C.1.4.10, C.1.4.10.2, C.1.5 - C.1.15

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DOL069RP20266 Amendment 02 - Attachment 3

b) Preparing for and conducting system rollover for subsequent processing year operations

C.1.4.1.1, C.1.4.2.1, C.1.4.3.1, C.1.4.4.1, C.1.4.5.1, C.1.4.6.1, C.1.4.7.1, C.1.4.8.1, C.1.4.9.1, C.1.4.10.1 C.17, C.23

c) Incorporating annual forms changes and GFI materials into the system rollover process SYSTEM COMPONENTS System Architecture

L.8.2.5

L.8.2.5.1

a) Describe the Offeror’s approach to service availability, including strategies for C.13, C.13.1 planned maintenance and disaster recovery b) Describe the Offeror’s approach to load balancing, including the use of a C.13.2 mirrored remote site, and performance monitoring of system usage and capacity

c) Describe the Offeror’s approach to performance monitoring

C.13.3 C.13.4 - C.13.5 C.13.6 C.13.7 - C.13.8

d) Describe the Offeror’s approach to hardware hosting and open hardware architecture in compliance with the requirements of Section C.13 e) Discuss the Offeror’s approach to designing EFAST2 to fully support IPv4 and IPv6 internet protocols f) Describe the Offeror’s approach to developing security infrastructure and producing of system infrastructure deliverables

L.8.2.5.2

System Inputs, Production Control / Tracking / Workflow, Performance Standards, and Invoicing Describe the Offeror’s approach to the following:

a) Receiving and processing Form 5500 returns/reports in electronic form, C.4 including both “processable” and “unprocessable” filing submissions b) Developing and maintaining a tracking database to measure system C.6.1 - C.6.3 performance, and managing tracking database records c) Implementing a tracking database to support supplementary tracking, production C.6.4 - C.6.6 control reports and large monthly plan reports d) Reporting the Contractor’s performance against each of the standards listed in C.2.1 - C.2.2 Exhibit C.2.1 for both peak and non-peak processing periods e) Generating invoices that will accurately account for factors affecting costs G.2

L.8.2.5.3

Electronic filing, Web Portal, IREG, and IFILE

a) Describe the Offeror’s approach to establishing and maintaining an electronic C.10 - C.10.1 filing system that effectively integrates all the functional electronic/Internet filing component(s) and general requirements described in Section C.10

b) Describe the Offeror’s approach to developing and maintaining a public-facing C.10.2 - C.10.2.2 web portal that is accessible to different user audiences c) Demonstrate the Offeror’s approach to designing a user-friendly and organized C.10.2.3 webpage structure for the EFAST2 web portal d) Describe the Offeror’s approach to designing a web portal that provides for C.10.2.4 - C.10.2.5 authenticated individual user login, and access to filing status and other filer specific resources

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e) Describe the Offeror’s approach to creating an iterative process for developing C.10.2.6 - C.10.2.7 and maintaining the web portal f) Describe the Offeror’s approach to designing a web portal that provides C.10.2.8 - C.10.2.11 accessibility via a wide range of computer configurations, and is easily navigated per the requirements of C.10.2.9 g) Discuss the Offeror’s approach to developing an Internet Filing Registration C.10.3 - C.10.3.1 (IREG) capability to allow all EFAST2 participants to apply for and receive authenticable credentials to access certain portal functions and electronic signing h) Describe the Offeror’s approach to accommodating shared signing in the IREG C.10.3.2 application I) Describe the IREG application and instruction materials that the Offeror would C.10.3.3 develop j) Describe the process by which IREG will issue access credentials and C.10.3.4 - C.10.3.5 passwords to all different classes of EFAST2 users/ IREG applicants k) Describe the Offeror’s approach to managing electronic filing credentials to C.10.3.6 accurately authenticate various EFAST2 web service requests l) Describe the Offeror’s approach to promoting electronic filing through kick-off C.10.3.7 postcards m) Discuss the Offeror’s approach to developing and hosting an Internet filing C.10.5.1 (IFILE) web application to create, edit and submit complete electronic filing submissions to IFAS n) Describe the Offeror’s approach to providing IFILE access control, allowing C.10.5.2 - C.10.5.3 authorized users to author filings o) Describe the Offeror’s approach to importing and exporting functionality, C.10.5.4 - C.10.5.9 uploading attachments and assembling, sharing, submitting and viewing filings

p) Describe the Offeror’s approach to administering and maintaining the IFILE application and supporting special users’ needs

C.10.5.10 - C.10.5.16

L.8.2.5.4

IFAS, Entity, and Special Processing

a) Discuss the Offeror’s approach to developing an Internet filing acceptance server (IFAS) that will accept both single filing submissions and batch filing submissions either via the IFILE application or approved third party software

C.10.4.1 - C.10.4.2

C.10.4.3 C.10.4.4 C.10.4.5 C.10.4.6

b) Describe the Offeror’s approach for authenticating and processing web service requests in accordance with the specifications for filing data elements discussed in Section C.10.4.3 c) Discuss the standards to be employed in the Base Period design of the IFAS web service interface, and provide a WSDL specification for IFAS and discuss its major elements and design choices d) Describe the Offeror’s proposed web service request validation process, including transmitter, request, and software authentication, as well as message processability and virus checking e) Describe the Offeror’s approach to filing acceptance processing of filings submitted to IFAS, including how the Offeror will integrate filing element validation, edit testing, signature authentication, and tracking activities into a functional whole f) Describe the Offeror’s approach to delivering filing data to the end users

C.10.4.7 C.10.4.8

EFAST2 RFP Attachment B, Page 6 of 12

g) Describe the Offeror’s approach to managing, storing and disseminating IFAS filing status information and acknowledgments

DOL069RP20266 Amendment 02 - Attachment 3

h) Describe the Offeror’s approach to identifying and flagging duplicate and C.11 amended filing submissions I) Describe the Offeror’s approach to effectively managing special filing concerns C.9 that may arise in EFAST2, including prior year filing, retrieval requests, secured substitute filings, and short plan year filings

L.8.2.5.5

Data Management, Storage, and Records Management and Archival

a) Describe the Offeror’s approach to developing a data management system to C.14.1 store and organize Form 5500 return/report information b) Describe Offeror’s approach to managing data throughout filing processing and C.14.2 - C.14.12 monitoring data quality c) Discuss Offeror’s approach to records management and archival, and retaining C.16 all EFAST2 data for the life of the contract in NARA compliant facilities

L.8.2.5.6

Public Disclosure and Data Dissemination Service

C.15, Att E C.15 C.15.1 - C.15.7

a) Describe the Offeror’s approach to designing a web-based data dissemination service per Section C.15 b) Describe the Offeror’s approach for providing varying access control and data dissemination resources to the three major groups of EFAST2 users—the general public, Government users, and the Contractor's contact center staff

c) Describe the Offeror’s approach to data dissemination of structured data to government end users as specified in Attachment E

Attachment E

L.8.2.5.7

a)

b)

c)

d)

Third Party Software Developer Support, Third Party Software Certification Criteria, and Contact Center Describe the Offeror’s approach to providing software developer support to C.10.6.1 - C.10.6.2, G assist third party software developers in authoring, preparing and submitting electronic filings to EFAST2 Describe the resources that will be provided as part of the Offeror’s software C.10.6.3 - C.10.6.5 developer support program including stakeholder conferences, filing user guides, and software developer specifications Describe the Offeror’s approach to converting Attachment P - Volume 2 XML C.10.6.6 Schema into applied electronic filing accept/reject criteria Describe the Offeror’s approach to third party software certification, including the C.10.6.6 - C.10.6.6.5 Offeror’s approach to conducting/facilitating certification tests (Attachment G), and the full process by which software developers may receive certification of their third party authoring/transmission software

e) Describe the Offeror’s approach to designing and operating the consolidated contact center in accordance with the requirements of Section C.18

C.18.1 - C.18.13 C.18.14 - C.18.20.1

f) Describe the Offeror’s approach to contact center monitoring, reporting and training requirements QA, QC, Testing, and CM

L.8.2.5.8

EFAST2 RFP Attachment B, Page 7 of 12

a) Describe the Offeror’s approach to establishing and maintaining a quality assurance program in accordance with Department of Labor SDLCM and SDLCM division of labor requirements

C.19.1 - C.19.10

b) Indicate the Software Engineering Institute Capability Maturity Model (SEI-CMM) C.19.11 level for the Offeror would maintain for EFAST2 c) Describe the Offeror’s approach to QA reviews, inspections and audits C.19.12 - C.19.17

DOL069RP20266 Amendment 02 - Attachment 3

d) Describe the Offeror’s approach to QA planning, documentation and reporting

C.19.18 - C.19.20

e) Describe the Offeror’s approach to developing and maintaining a comprehensive C.20.1 quality control (QC) system f) Describe the Offeror’s approach to establishing a separate chain of command C.20.1.1 between quality control staff and production processing staff to ensure independence g) Describe the Offeror’s approach to measuring QC performance standards, C.20.2 - C.20.10 correcting defects, conducting inspections, and conducting QC briefings

C.20.11 - C.20.15 C.21.1 - C.21.4 C.25.1 - C.25.5 C.25.6 C.25.7 - C.25.10

h) Describe the Offeror’s proposed QC monitoring procedures to ensure processing and reporting requirements are met I) Describe the Offeror’s approach to comprehensive unit testing of system components in Base Period and Option Periods I-XI j) Describe the Offeror’s approach to developing a Configuration Management (CM) program to manage system problems, system changes, and requirements changes k) Describe the Offeror’s approach to supporting Government participation in the Offeror’s CM program l) Describe the Offeror’s approach to CM documentation, and reporting

L.8.3

SECURITY

a) Describe the Offeror’s approach to developing and maintaining a security program, headed by the ISO, to ensure the confidentiality of EFAST2 data and protection of the system b) The Offeror shall describe its approach to:

C.22

1) Meeting Federal security requirements

C.22.1 C.22.2 C.22.3 C.22.4

2) Maintaining hardware, software and other system applications security

3) Maintaining personnel security

4) Reporting and documenting system security status

L.8.4

MANAGEMENT

L.8.4.1

Integrated Management System, Planning Deliverables, and Reporting

a) Describe the Offeror’s approach to designing and implementing an integrated C.24.1 management system (IMS) to track the cost and schedule performance of work performed under EFAST2 b) Describe the Offeror’s plans for developing IMS related project planning C.24.2 - C.24.9, C.24.12 deliverables, including: an Integrated Master Plan, an Integrated Master Schedule, a Level 4 Contractor Work Breakdown Structure, a Performance Measurement Baseline, a Contract Performance Report, Integrated Baseline Review, a Contract Funds Status Report, and a Monthly Work and Management Report

EFAST2 RFP Attachment B, Page 8 of 12

c) Describe the Offeror’s procedure for notifying the COTR of any problem that C.24.13 could impact the receipt or analysis of data, data entry, electronic transmission, or security of the EFAST2

DOL069RP20266 Amendment 02 - Attachment 3

L.8.4.2

Risk Management and Production Recruiting Plan

The Offeror shall provide the following:

a) Project Risk Management Plan

C.24.10 C.24.11

b) Production Recruiting and Training Plan

L.8.4.3

Transition Plan and Copyrights

The Offeror shall describe:

a) Disposition of all necessary materials in order to transition EFAST2 to another vendor at the conclusion of any option period b) Limiting copyright restrictions per the requirements of C.24.18

C.24.14 C.24.18

L.8.4.4

Documentation

a) The Offeror shall describe the procedures it will employ to maintain full system documentation throughout the duration of this contract, and to submit documentation to Government for the purposes of updates, and inspection/acceptance as specified in Section E of the Contract schedule

C.24.16 - C.24.17

L.8.5

PAST PERFORMANCE

L.8.5.1

Past Performance and Corporate Capabilities

Describe the Offeror’s specific past performance as it relates to the ability of the company to successfully carry out the requirements of this contract.

a)

N/A N/A N/A N/A

b)

c)

d)

e) Project Descriptions

Describe the experience of the organizational unit that would service this contract as evidenced by the number of contracts in the past five years, dollar volume and contract type. Describe demonstrated ability to provide backup personnel on an as-needed basis in the event of key or other significant personnel loss. Describe the years of industry experience for the staff that would service this contract. Provide signed letters of availability and commitment from all personnel not currently employed by the Offeror, and consulting and subcontracting agreements with all consultants and subcontractors proposed to be used by the Offeror.

N/A
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L.8.5.2

DOL069RP20266 Amendment 02 - Attachment 3

a)

The Offeror shall submit a list and detailed description of three (3) projects or contracts active or completed by the corporate organizations that would service this contract or a proposed subcontractor, which are relevant to the specifications contained in Section C and which have a total contract value of $2.5 million or more. The Offeror shall do this by furnishing synopses of previous projects that are similar or directly related to the work to be performed under the proposed contract. Each synopsis shall include:

N/A N/A N/A

1) The name and address of the client for whom the work was performed

2) The general nature and scope of the work

The period during which the work was performed categorized by areas listed in 3) L.8.5.2.a.2 N/A 4) The total number of hours billed to the project N/A

The identity of the key personnel assigned to the project and their positions

5)

N/A N/A

6) The dollar value of the project

A description of the major products or services produced that were accepted by 7) the customer N/A The name and telephone number of two persons in the client's organization who are knowledgeable about the Offeror's performance on the project 8) N/A

The contract number and/or delivery order number under which the Offeror 9) performed the prescribed work for the Government

N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A

The Offeror shall provide a concise description of each project or contract and shall demonstrate successful recent and relevant experience with the following b) specific areas: Design, development, testing, and operation of large-scale, XML based electronic document processing systems, web portal development, and 1) electronic signature administration. Production control and tracking of filings or similar electronic documents. 2)

Electronic/Internet filing back-end processing, or transmission of data, receipt 3) acknowledgement, and edit testing. Data management and secure telecommunications/Internet connectivity to 4) Government sites. Continuity of operations and system architecture techniques to prevent or 5) minimize service disruptions. 6) Web-based data dissemination.

7) Third Party Software Developer and contact center support.

8) Quality assurance and quality control.

L.8.5.3

Contractor Performance Evaluation Survey

For each of the three (3) past project descriptions required in Section L.8.5.2, provide the following additional information in the following format (limited to one a) page for each project): N/A 1) Project Title: N/A

EFAST2 RFP Attachment B, Page 10 of 12

2) Project Description:

N/A

3) Contract Number: 4) Period of Performance:

N/A N/A N/A N/A N/A
KEY PERSONNEL

DOL069RP20266 Amendment 02 - Attachment 3

5) Key Personnel Involved: 6) Government Points of Contract:

7) An Operational URL:

L.8.6

The Offeror’s technical proposal shall include names, proposed duties, and qualifications (including resumes) meeting or exceeding each of the key a) personnel position requirements identified in Section C.3.6 for: 1) Project Manager

C.3.6.1 C.3.6.2 C.3.6.3 C.3.6.4 C.3.6.5 C.3.6.6 C.3.6.7 C.3.7

2) Computer Systems Analyst

3) Chief Quality Control Specialist

4) Information Security Officer

5) Systems Administrator

6) System Test Engineer

7) Configuration Management Specialist

Names, proposed duties, and qualifications (including resumes) warranted by the Offeror's detailed analysis of the requirements for up to 5 additional b) personnel.

SMALL BUSINESS SUBCONTRACTING UTILIZATION PLAN

L.8.7

The Offeror shall submit a Small Business Subcontracting Utilization Plan that shall be considered part of the technical proposal. The Small Business Subcontracting Utilization Plan shall be submitted in accordance with Section I.2, FAR Clause 52.219-9. At least 10% of the total contract award shall be subcontracted. 1) Of the subcontracting portion of the award, at least 60% will be awarded to small businesses; 2) 11 % of the subcontracting portion of the award to small disadvantaged business; 3) 7% of the subcontracting portion of the award to women-owned small business; 4) 3% of the subcontracting portion of the award to HUBZone small business; 5) 3% of the subcontracting portion of the award to veteran-owned small business; 6) 3% of the subcontracting portion of the award to service-disabled veteran-owned small business. Small business categories are not mutually exclusive; subcontract dollars may be attributed to as many categories as are applicable. Offers that are received from small businesses in accordance with NAICS 541511 and a size standard of a) $23,000,000 are exempt from the subcontracting utilization plan requirements.

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Attachment 4
Attachment Q Cost Plus Award Fee Evaluation Criteria

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ATTACHMENT Q. COST PLUS AWARD FEE EVALUATION CRITERIA

Q.1

CRITERIA FOR BASE PERIOD CPAF AWARD FEE 1

The Contractor may be eligible for a partial award fee at the conclusion of the Base Period (1st Component). The maximum amount of the award fee to be considered under this component is equal to 33.4% of the total award fee structure established under the Base Period and identified under Section B.2.1.4.2 of the Contract Schedule. The criteria for determining the award fee under the Base Period (1st Component) include the Contractor’s successful completion of a Functional Capability Test of the prototype system (FCT 1) and satisfaction of the following: • Critical Error Reports—Critical error reports (ER) may be generated during the Base Period (1st Component). Critical errors are defined as observed defects or deficiencies that would be detectable by the public end users of the system or that could pose a risk to data or system confidentiality, integrity, or availability. Such critical ERs would be issued in response to FCT 1 and would require resolution prior to the commencement of the Base Period (2nd Component). All critical ERs shall be corrected and retested, including system regression testing, to ensure compliance with the Government’s requirements before proceeding to the Base Period (2nd Component). Up to 40% of the first award fee (AF1) may be awarded for this criterion. Minor Error Reports—Minor ERs may be generated during Base Period (1st Component). Minor errors are defined as observed defects or deficiencies that would not be detectable by the public end users of the system and that would not pose a risk to data or system confidentiality, integrity, or availability. Such minor ERs would be issued in response to FCT 1 and would require resolution prior to granting of Notice-To-Proceed (NTP) to Option Period 1 (2nd Component). All minor ERs shall be corrected and retested, including system regression testing, to ensure compliance with the Government’s requirements before the commencement of production operations. Up to 20% of the first award fee (AF1) may be awarded for this criterion. Schedule Performance—Schedule performance shall be demonstrated by the Contractor within the approved EFAST2 Performance Measurement Baseline (PMB). In earned value measurement terms, for the Base Period (1st Component) period of performance, the cumulative Budgeted Cost of Work Performed (BCWP) shall be equal to or greater than the cumulative Budgeted Cost of Work Scheduled (BCWS). Up to 20% of the first award fee (AF1) may be awarded for this criterion. Cost Performance—Cost performance shall be demonstrated by the Contractor within the approved EFAST2 PMB. In earned value measurement terms, for the Base Period (1st Component) period of performance, the cumulative Budgeted Cost of Work Performed (BCWP) shall be equal to or greater than the cumulative Actual Cost of Work Performed (ACWP). Up to 20% of the first award fee (AF1) may be awarded for this criterion.

DOL069RP20266 Amendment 02 - Attachment 4

EFAST2 RFP Attachment 4, Page 4 of 6

Within 90 days of the conclusion of the Base Period (1st Component), the Government will assess the Contractor's performance against the award fee criteria listed above. The Government will calculate the award fee and compensate the Contractor based on the calculation. In the event that the Government's AF1 calculation results in a partial award fee payment (i.e., less than one-third of the total award fee associated with the Base Period), then the Government will notify the Contractor of the areas of performance shortfall resulting in a partial award fee. The Contractor may be eligible to recover the full first award fee by demonstrating progress against the areas of performance shortfall during the Base Period (2nd Component). Within 90 days of the conclusion of the Base Period (2nd Component), the Government will consider and may compensate the Contractor for demonstrated progress against the areas of performance shortfall identified at the end of the Base Period (1st Component). Q.2 CRITERIA FOR BASE PERIOD CPAF AWARD FEE 2

The Contractor may be eligible for a partial award fee at the conclusion of the Base Period (2nd Component). The maximum amount of the award fee to be considered under this component is equal to 33.3% of the total award fee identified under Section B.2.1.4.2 of the Contract Schedule. The criteria for determining the award fee under the Base Period (2nd Component) include the Contractor’s successful completion of a Functional Capability Test of the scaled up system (FCT 2) and satisfaction of the following: • Critical Error Reports—Critical ERs may be generated during Base Period (2nd Component). Such critical ERs would be issued in response to FCT 2 and would require resolution prior to the commencement of the Base Period (3rd Component). All critical ERs shall be corrected and retested, including system regression testing, to ensure compliance with the Government’s requirements before proceeding to the Base Period (3rd Component). Up to 40% of the second award fee (AF2) may be awarded for this criterion. Minor Error Reports—Minor ERs may be generated during Base Period (2nd Component). Such minor ERs would be issued in response to FCT 2 and would require resolution prior to granting of Notice-To-Proceed (NTP) to Option Period 1 (2nd Component). All minor ERs shall be corrected and retested, including system regression testing, to ensure compliance with the Government’s requirements before the commencement of production operations. Up to 20% of the second award fee (AF2) may be awarded for this criterion. Schedule Performance—Schedule performance shall be demonstrated by the Contractor within the approved EFAST2 PMB. In earned value measurement terms, for the Base Period (2nd Component) period of performance, the cumulative Budgeted Cost of Work Performed (BCWP) shall be equal to or greater than the cumulative Budgeted Cost of Work Scheduled (BCWS). Up to 20% of the second award fee (AF2) may be awarded for this criterion.

DOL069RP20266 Amendment 02 - Attachment 4

EFAST2 RFP Attachment 4, Page 5 of 6

Cost Performance—Cost performance shall be demonstrated by the Contractor within the approved EFAST2 PMB. In earned value measurement terms, for the Base Period (2nd Component) period of performance, the cumulative Budgeted Cost of Work Performed (BCWP) shall be equal to or greater than the cumulative Actual Cost of Work Performed (ACWP). Up to 20% of the second award fee (AF2) may be awarded for this criterion.

Within 90 days of the conclusion of the Base Period (2nd Component), the Government will assess the Contractor's performance against the award fee criteria listed above. The Government will calculate the award fee and compensate the Contractor based on the calculation. In the event that the Government's AF2 calculation results in a partial award fee payment (i.e., less than one-third of the total award fee associated with the Base Period), then the Government will notify the Contractor of the areas of performance shortfall resulting in a partial award fee. The Contractor may be eligible to recover the full second award fee by demonstrating progress against the areas of performance shortfall during the Base Period (3rd Component). Within 90 days of the conclusion of the Base Period (3rd Component), the Government will consider and may compensate the Contractor for demonstrated progress against the areas of performance shortfall identified at the end of the Base Period (1st and 2nd Components). Q.3 CRITERIA FOR BASE PERIOD CPAF AWARD FEE 3

The Contractor may be eligible for a partial award fee at the conclusion of the Base Period (3rd Component). The maximum amount of the award fee to be considered under this component is equal to 33.3% of the total award fee identified under Section B.2.1.4.2 of the Contract Schedule. The criteria for determining the award fee under the Base Period (3rd Component) include the Contractor’s successful completion of a System Acceptance Test (SAT) and satisfaction of the following: • Critical Error Reports—Critical ERs may be generated during the Base Period (3rd Component). Such critical ERs would be issued in response to SAT and would require resolution prior to granting of Notice-To-Proceed (NTP) to Option Period 1 (2nd Component). All critical ERs shall be corrected and retested, including system regression testing, to ensure compliance with the Government’s requirements before commencement of production operations. Up to 40% of the third award fee (AF3) may be awarded for this criterion. Minor Error Reports—Minor ERs may be generated during the Base Period (3rd Component). Such minor ERs would be issued in response to SAT and would require resolution prior to granting of Notice-To-Proceed (NTP) to Option Period 1 (2nd Component). All minor ERs shall be corrected and retested, including system regression testing, to ensure compliance with the Government’s requirements before the commencement of production operations. Up to 20% of the third award fee (AF3) may be awarded for this criterion.

DOL069RP20266 Amendment 02 - Attachment 4

EFAST2 RFP Attachment 4, Page 6 of 6

Schedule Performance—Schedule performance shall be demonstrated by the Contractor within the approved EFAST2 PMB. In earned value measurement terms, for the Base Period (3rd Component) period of performance, the cumulative Budgeted Cost of Work Performed (BCWP) shall be equal to or greater than the cumulative Budgeted Cost of Work Scheduled (BCWS). Up to 20% of the third award fee (AF3) may be awarded for this criterion. Cost Performance—Cost performance shall be demonstrated by the Contractor within the approved EFAST2 PMB. In earned value measurement terms, for the Base Period (3rd Component) period of performance, the cumulative Budgeted Cost of Work Performed (BCWP) shall be equal to or greater than the cumulative Actual Cost of Work Performed (ACWP). Up to 20% of the third award fee (AF3) may be awarded for this criterion.

Within 90 days of the conclusion of the Base Period (3rd Component), the Government will assess the Contractor's performance against the award fee criteria listed above. The Government will calculate the award fee and compensate the Contractor based on the calculation. In the event that the Government's AF3 calculation results in a partial award fee payment (i.e., less than one-third of the total award fee associated with the Base Period), then the Government will notify the Contractor of the areas of performance shortfall resulting in a partial award fee. The Contractor may be eligible to recover the full third award fee by demonstrating progress against the areas of performance shortfall during Option Period I (2nd Component). Within 90 days of the conclusion of Option Period I (2nd Component), the Government will consider and may compensate the Contractor for demonstrated progress against the areas of performance shortfall identified at the end of the Base Period (1st, 2nd, and 3rd Components).

DOL069RP20266 Amendment 02 - Attachment 5

EFAST2 RFP Attachment T, Page 1 of 6

Attachment 5
Attachment T Hardware and Software Cost REIMBURSEMENT

DOL069RP20266 Amendment 02 - Attachment 5

EFAST2 RFP Attachment T, Page 2 of 6

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DOL069RP20266 Amendment 02 - Attachment 5

EFAST2 RFP Attachment T, Page 3 of 6

Attachment T Hardware and Software Cost REIMBURSEMENT T-1 RECOVERY OF HARDWARE & COTS SOFTWARE COSTS

The Contractor shall acquire and support the hardware and commercial off-the-shelf (COTS) software required for production operations of EFAST2. The Government will not own the hardware or the COTS software, except as described in Section B of the contract. The Government will retain ownership to any custom software developed on the EFAST2 contract. The Contractor will be authorized to recover the cost of hardware and COTS software acquisition and support, including the cost of annual or on-going maintenance provided by a third party vendor. The Contractor shall recover the cost of major hardware items, COTS software licenses, and associated third party support required for the EFAST2 production system through depreciation and amortization during Option Period I 2nd Component through Option Period XI. At the Contractor’s option, the Contractor may recover as an expense the cost of hardware, COTS software, and associated third party support required to develop the prototype system. If recovered as an expense, these costs shall be invoiced during the Base Period, unless delayed invoicing is expressly approved by the Contracting Officer. T-1.1 Scheduling of Depreciation/Amortization Costs Hardware and COTS software costs that are to be recovered through depreciation or amortization shall be appropriately scheduled. Usually, such costs are recovered over a three (3) year depreciation/amortization schedule. High-cost items are sometimes depreciated over a five (5) year schedule. The Contractor shall choose an appropriate schedule for each item. The Contractor shall develop a consolidated schedule that shows the planned depreciation/amortization schedule for all major equipment and COTS software items. The consolidated schedule shall identify when each item is projected to be added to the inventory. The Contractor shall provide the consolidated schedule with the contractor’s proposal. When additional hardware or COTS software is added to the inventory, the Contractor shall provide the Government with an updated consolidated schedule. The depreciation or amortization schedule for an item shall start in the same reporting period (i.e., month) as the item is entered into service for EFAST2 by the Contractor. The Contractor’s failure to properly schedule depreciation or amortization will restrict the Contractor’s ability to claim full compensation. T-1.2 Invoicing For Payment of Hardware & COTS Software Costs During Option Period I 2nd Component through Option Period XI, hardware and COTS software costs, including third party support costs, shall be invoiced by the Contractor against Contract

DOL069RP20266 Amendment 02 - Attachment 5

EFAST2 RFP Attachment T, Page 4 of 6

Line Item Number (CLIN) 3 of the Firm Fixed Price (FFP) Component, in accordance with Section B of the Contract. Within 45 days following entry of an item into service for the EFAST2 system, the Contractor shall invoice for the first installment of the depreciation allowance or amortization allowance (e.g., 1/36th or 1/60th of the item cost). Each month thereafter, the Contractor shall invoice for the proportional monthly allowance (e.g., 1/36th or 1/60th of the item cost) until the item is fully depreciated or amortized and the total item cost has been recovered. The Option Period I 2nd Component invoice amounts for hardware depreciation and COTS software amortization may vary based on the items in the active inventory and those additional hardware and COTS software items being added during the option period. The Contractor’s failure to fully invoice for scheduled depreciation and amortization during the option period without prior approval of the Government shall negate the Contractor’s right to claim for the amount not invoiced in a later option period. During Option Period I 2nd Component through Option Period XI, all non-major material costs (e.g., printer cartridges, print drums) shall be invoiced at 1/12th of the annual negotiated estimate for such items for each option period. Adjustments for additional, extraordinary expenditures for such items must be expressly approved in advance by the Contracting Officer. Costs for such items shall be invoiced with 45 days of the end of the option period. The Government retains the right to direct the Contractor to delay the invoicing of hardware and/or COTS software costs. If the Government does direct a delay in such invoicing, the Contractor will be able to recover these costs after the Government’s period of delay has ended. In that case, the Contractor shall submit an appropriate invoice within 45 days of the end of the delay. CLIN 3 of the FFP Component of each option period is established for the recovery of hardware and COTS software costs required to support the EFAST2 system. The following costs are to be tracked separately by the Contractor, subject to review by the Government: (a) Hardware Expensed (b) Replacement Parts (c) Hardware Maintenance and Support (d) COTS Software Maintenance (e) COTS Software Support (f) Hardware Depreciation Allowance

(g) COTS Software Amortization Allowance

DOL069RP20266 Amendment 02 - Attachment 5

EFAST2 RFP Attachment T, Page 5 of 6

The Replacement Parts category shall cover costs incurred for replacing hard disk drives, monitors, keyboards, motherboards, and other non-major hardware items. The Hardware Expensed and Replacement Parts costs shall be invoiced when they are incurred. The Hardware Maintenance and Support, COTS Software Maintenance, and COTS Software Support categories shall be invoiced on a monthly schedule at 1/12th of the annual negotiated estimate for such items for each option period. The Hardware Depreciation Allowance and the Software Amortization Allowance costs shall be invoiced in accordance with the Contractor’s depreciation and amortization schedules. T-2 TRACKING DOCUMENTATION

The Government will pay for hardware and COTS software based on the invoiced amounts. Before paying the invoice, the Government may evaluate the invoice to determine that the invoiced amounts accurately reflect the agreed-to hardware and COTS software expenses, depreciation, and amortization. The Contractor shall maintain documentation to support the invoices for hardware and COTS software costs. These documents shall be made available to the Government for review, as requested by the Contracting Officer’s Technical Representative (COTR). The following documentation shall be maintained by the Contractor: (a) Hardware Bill of Material – showing the status of all ordered items. (b) Hardware Expensed Log – for tracking all expensed items. (c) Hardware Depreciation Log – for tracking the monthly depreciation allowance. (d) Hardware Maintenance Log – for tracking monthly maintenance costs. (e) Hardware Replacement or Additions Log – for tracking equipment replacements and additions. (f) Hardware Inventory – showing the initial inventory, with updates, as required.

(g) Software Bill of Material – showing the status of all ordered items. (h) Software Amortization Log – for tracking the monthly amortization allowance. (i) Software Maintenance Log – for tracking monthly maintenance costs, including support. Software Inventory – showing the initial inventory, with updates, as required.

(j)

DOL069RP20266 Amendment 02 - Attachment 5

EFAST2 RFP Attachment T, Page 6 of 6

T-3

HARDWARE REFRESH

The Contractor shall provide the Government with an equipment refresh schedule that identifies the hardware items or types of items to be replaced, upgraded, or refurbished and an estimated cost of each item or item type. The Government retains the right to lengthen or shorten the refresh schedule or provide the Contractor with a directed hardware refresh schedule. Cost recovery methods for refresh items will be as outlined herein for the initial EFAST2 system hardware. T-4 BILLING CYCLE

The billing cycle for this contract will be monthly. The date for submission of invoices will be determined at contract award. Items added, replaced, upgraded, or deleted during the first 15 days of a reporting cycle may be included in the current month’s invoice but shall be invoiced no later than the next month’s invoice.

DOL069RP20266 Amendment 02 - Attachment 6

EFAST2 RFP Section F, Page 1 of 28

Attachment 6
Section F Deliveries or Performance

DOL069RP20266 Amendment 02 - Attachment 6

EFAST2 RFP Section F, Page 2 of 28

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EFAST2 RFP Section F, Page 3 of 28

PART I - THE SCHEDULE SECTION F - DELIVERIES OR PERFORMANCE

F.1

52.252-2 Clauses Incorporated by Reference

This contract incorporates one or more clauses by reference, with the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available. Clauses may be electronically accessed at http://www.arnet.gov/far F.2 F.3 52.242-15 Stop-Work Order (August 1989) [Incorporated by Reference] Period of Performance

Refer to Exhibit C.1.1.1 for definitions of relevant EFAST2 Periods of Performance as described in this section. F.4 Delivery Medium

The Contractor shall deliver all documentation deliverables in both paper and electronic (PDF) format. The Contractor shall deliver all media deliverables in the media specified in the Statement of Work. F.5 Schedule of Deliverables

The Contractor shall furnish to the Program Office the items listed in the Schedule of Deliverables by the listed due date. The Contractor shall notify the Program Office of all deliveries by submitting a signed certification to the Program Office notifying the Program Office that the deliverable has been submitted in accordance with the requirements of this Contract. Deliverable dates that fall on a Government holiday, a Saturday, or Sunday, shall be due on the next business day. F.6 Use of Contractor Internal Documentation to Satisfy Section F Deliverable Requirements

The deliverable documentation requirements for this project are listed in Section F, with cross-references provided to the Contract clause describing the specific deliverable. The Contractor may submit internal documentation required to meet company system development guidelines as a substitute for comparable documentation required under Section F, as described in Section C.19, provided the Contractor provides adequate justification for the proposed substitution and receives Contracting Officer approval in writing for the substitution. The Contractor shall request Contracting Officer permission to submit substitute documentation, and clearly identify the substitute deliverable and the deliverable being substituted. Substitute deliverables shall be subject to the Section E inspection and acceptance procedures.

DOL069RP20266 Amendment 02 - Attachment 6

EFAST2 RFP Section F, Page 4 of 28

SCHEDULE OF DELIVERABLES Base Period -- Contract Award to 12/31/2008 Planning, Requirements Review, Design, Development, Testing, Certification, Implementation, and Disposition Num Item Description of Deliverable
Base Period (1st Component) Prototype Award through 12/31/2007 Draft Integrated Master Plan Integrated Master Plan Draft Integrated Master Schedule Integrated Master Schedule Draft Contract Work Breakdown Structure Draft CWBS Draft CWBS Dictionary Draft CWBS-to-SOW Traceability Matrix Contract Work Breakdown Structure CWBS CWBS Dictionary CWBS-to-SOW Traceability Matrix Draft Performance Measurement Baseline Performance Measurement Baseline Draft Project Risk Management Plan Project Risk Management Plan Contract Performance Report Contract Funds Status Report Monthly Work and Management Report Report on progress, problems, schedule, plans and cost Security Progress Report Quality Assurance Report Contact Center Call Report List of Third Party Software Developer Certifications Notification to COTR of Problems, Errors, or Breach of Security Draft Security Risk Assessment Security Risk Assessment Production Recruiting and Training Plan Requirements Traceability Matrix (RTM) Quality Assurance Plan Draft Quality Control Procedures Manual Quality Control Procedures Manual Configuration Management Plan Draft Detailed System Design Detailed System Design Third Party Software Test Plan & Certification Procedures Procedures for Web Review & Approval Web Portal Design 1st Iteration 2nd Iteration IFILE Functional Specification Draft System Security Plan System Security Plan Final Plan Year 2008 and Plan Year 2009 Form / Schedule Proofs PDF Files Source Files Government & Contractor User Authorization and Credentials Draft IFILE / Test Filing Tool IFILE / Test Filing Tool IFILE User's Guide Contingency Plan (Continuity of Operations Plan) -- Initial COOP Test Plan Software Developer Specification

Quantity

Due Date

Section Reference

D1 F1 D2 F2 D3 1 2 3 F3 1 2 3 D4 F4 D5 F5 6 7 8 1 2 3 4 5 9 D10 F10 11 12 13 D14 F14 15 D16 F16 17 18 19 1 2 20 D21 F21 22 1 2 23 D24 F24 25 26 1 2 27

1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1

5/1/2007 6/30/2007 5/1/2007 6/30/2007 5/1/2007 5/1/2007 5/1/2007 6/30/2007 6/30/2007 6/30/2007 5/1/2007 6/30/2007 5/1/2007 6/30/2007 Monthly Monthly Monthly Monthly Monthly Monthly Monthly As Needed 5/1/2007 6/15/2007 6/15/2007 6/15/2007 6/15/2007 5/1/2007 6/15/2007 6/15/2007 5/1/2007 6/15/2007 6/15/2007 6/15/2007 6/30/2007 9/30/2007 7/1/2007 7/1/2007 8/15/2007 8/1/2007 8/1/2007 8/1/2007 8/1/2007 9/15/2007 9/15/2007 11/1/2007 11/1/2007

C.24.3 C.24.4

C.24.5 C.24.5 C.24.5 C.24.6 C.24.10 C.24.7 C.24.9 C.24.12 C.24.12, C.22.4.1 C.24.12, C.19.19 C.24.12, C.18.17 C.24.12, C.10.6.6.4 C.24.13 C.22.4.2.2 C.24.11 C.25.9 C.19.18 C.20.15.2 C.25.8 C.1.2.1.3 C.10.6.6.4 C.10.2.11 C.10.2.6 C.10.2.6 C.10.5.14 C.22.4.2.1 C.17.3 C.17.3 C.10.3.4 C.10.5.15 C.10.5.13 C.22.4.2.3 C.22.4.2.3

DOL069RP20266 Amendment 02 - Attachment 6

EFAST2 RFP Section F, Page 5 of 28

SCHEDULE OF DELIVERABLES Base Period -- Contract Award to 12/31/2008 Planning, Requirements Review, Design, Development, Testing, Certification, Implementation, and Disposition Num Item Description of Deliverable
1 2 3 28 1 2 3 29 30 31 32 1 2 33 1 2 Software Developer User's Guide and Specifications Transmission File Structure XML DER Vol 1 & 2 Participant Acceptance Testing System (PATS) Package PATS Application PATS Procedures and Certification Criteria PATS Test Filings Third Party Software Developer Conference Materials System Test Plan(s) System Test Report(s) Prototype Operational Readiness Declaration Checklist Certification FCT #1 -- Test Prototype Agency-specific distributions Other FCT outputs Base Period (2nd Component) Scale up 1/1/2008 through 7/31/2008 Integrated Master Schedule Update Contract Performance Report Contract Funds Status Report Monthly Work and Management Report Report on progress, problems, schedule, plans and cost Security Progress Report Quality Assurance Report Contact Center Call Report List of Third Party Software Developer Certifications Notification to COTR of Problems, Errors, or Breach of Security Detailed System Design Update Implementation Plan HW / SW Refresh Plan Service Level Agreement IFILE / Test Filing Tool Update IFILE User's Guide Update EFAST2 Guide for Filers & Service Providers Annual Security Risk Assessment Project Risk Management Plan Update Draft System Documentation System Documentation Contact Center Operational Procedures Manual Data Dissemination Service (DDS) User's Guide(s) Public User Guide Government User Guide Government End User Customer Satisfaction Survey Operating Capacity Report Current Operating Capacity System Sizing Analysis Benchmark Report System Test Plan(s) System Test Report(s) Scale up Operational Readiness Declaration Checklist Certification FCT #2 -- Scale up End-to-End Test Agency-specific distributions Other FCT outputs

Quantity
1 1 1 1 1 1 1 1 1 1 1 1 1

Due Date
12/1/2007 12/1/2007 12/1/2007 12/1/2007 12/1/2007 12/1/2007 12/1/2007 As Proposed As Proposed 12/1/2007 12/1/2007 12/8/2007 12/8/2007

Section Reference
C.10.6.5 C.10.6.5 C.10.6.5 C.10.6.6.3 C.10.6.6.3 C.10.6.6.3 C.10.6.3 C.21.3.1 C.21.3.3 C.21.3.8 C.21.3.9 E.8.3, E.8.5 E.8.1.1

34 35 36 37 1 2 3 4 5 38 39 40 41 42 43 44 45 46 47 D48 F48 49 50 1 2 51 52 1 2 53 54 55 56 1 2 57 1 2

1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1

1/15/2008 Monthly Monthly Monthly Monthly Monthly Monthly Monthly As Needed 1/15/2008 3/15/2008 3/15/2008 4/15/2008 5/1/2008 5/1/2008 5/1/2008 6/1/2008 6/1/2008 4/15/2008 6/1/2008 6/1/2008 6/1/2008 6/1/2008 6/30/2008 7/15/2008 7/15/2008 7/15/2008 As Proposed As Proposed 6/16/2008 6/16/2008 7/1/2008 7/1/2008

C.24.3 C.24.7 C.24.9 C.24.12 C.24.12, C.22.4.1 C.24.12, C.19.19 C.24.12, C.18.17 C.24.12, C.10.6.6.4 C.24.13 C.1.2.1.3 C.21.3.2 C.17.4 C.13.8.1 C.10.5.15 C.10.5.13 C.10.6.4 C.22.4.2.2 C.24.10 C.17.2 C.18.20 C.15.7 C.15.7 C.20.16 C.13.8.3.1 C.13.8.3.2 C.13.8.4 C.21.3.1 C.21.3.3 C.21.3.8 C.21.3.9 E.8.3, E.8.5 E.8.1.2

DOL069RP20266 Amendment 02 - Attachment 6

EFAST2 RFP Section F, Page 6 of 28

SCHEDULE OF DELIVERABLES Base Period -- Contract Award to 12/31/2008 Planning, Requirements Review, Design, Development, Testing, Certification, Implementation, and Disposition Num Item Description of Deliverable
Base Period (3rd Component) SAT 8/1/2008 through 12/31/2008 Integrated Master Schedule Update Contract Performance Report Contract Funds Status Report Monthly Work and Management Report Report on progress, problems, schedule, plans and cost Security Progress Report Quality Assurance Report Contact Center Call Report List of Third Party Software Developer Certifications Notification to COTR of Problems, Errors, or Breach of Security COOP Test Report -- Initial SAT and Operational Readiness Declaration Checklist Certification SAT Agency-specific distribution products Other SAT outputs Base Year Disposition/Closeout Plan Transition Plan Source Code Program materials, documentation, media, GFI, and equipment Other Key Base Period Activities Integrated Baseline Review (IBR) Base Period In-Process Review Requirements Clarification Meetings Third Party Software Developer Conference Security Compliance Review Personnel Clearances Functional Capability Test #1 Functional Capability Test #2 Systems Acceptance Test

Quantity

Due Date

Section Reference

58 59 60 61 1 2 3 4 5 62 63 64 1 2 65 1 2 66 1 2 3

1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1

8/1/2008 Monthly Monthly Monthly Monthly Monthly Monthly Monthly As Needed 9/1/2008 9/1/2008 9/1/2008 9/18/2008 9/18/2008 12/21/2008 12/21/2008 12/21/2008

C.24.3 C.24.7 C.24.9 C.24.12 C.24.12, C.22.4.1 C.24.12, C.19.19 C.24.12, C.18.17 C.24.12, C.10.6.6.4 C.24.13 C.22.4.2.3 C.21.3.8 C.21.3.9 E.8.3, E.8.5 E.8.1.3 C.24.14 C.24.14 C.24.14 C.24.8 E.8.1.5 C.1.2.1.2 C.10.6.3 C.8.1.4, C.22.1.4 C.22.3 E.8.1.1 E.8.1.2 E.8.1.3

DOL069RP20266 Amendment 02 - Attachment 6

EFAST2 RFP Section F, Page 7 of 28

SCHEDULE OF DELIVERABLES Option Period I -- 8/1/2008 to 6/30/2009 Advance Pre-processing activities, Startup, Processing Num Item Description of Deliverable
Option Period I (1st Component) Advance Pre-processing 8/1/2008 through 12/31/2008 Integrated Master Schedule Update Contract Work Breakdown Structure Update CWBS Update CWBS Dictionary Update CWBS-to-SOW Traceability Matrix Update Performance Measurement Baseline Update Contract Performance Report Monthly Work and Management Report (sample) Report on progress, problems, schedule, plans and cost Security Progress Report Quality Assurance Report Contact Center Call Report List of Third Party Software Developer Certifications Notification to COTR of Problems, Errors, or Breach of Security Annual System Security Plan Implementation Plan Stakeholder Outreach Conference Materials Production Recruiting and Training Plan Electronic Filing Kickoff Postcard Fixed-Price Invoice (sample) PC Reports (sample) Quality Control Reports (sample) Contact Center Daily Report (sample) Call Center Service Ticket (sample) Transmission of Structured Data Records to End Users (sample) EBSA XML Return Transaction File EBSA Structured Return Transaction File IRS XML Return Transaction File IRS Structured Return Transaction File PBGC XML Return Transaction File PBGC Structured Return Transaction File PBGC Control File EBSA Tracking Database snapshot IRS Tracking Database snapshot EBSA Annual XML Archive File EBSA Annual E-Mail Archive File Contingency Plan (Continuity of Operations Plan) -- Update I COOP Test Plan Certification and Warranty Documentation replacement pages Option Period I (2nd Component) Startup Processing 1/1/2009 through 6/30/2009 Draft Project Risk Management Plan Project Risk Management Plan Monthly Work and Management Report Report on progress, problems, schedule, plans and cost Security Progress Report Quality Assurance Report Contact Center Call Report List of Third Party Software Developer Certifications Notification to COTR of Problems, Errors, or Breach of Security Contact Center Daily Report PC Reports

Quantity

Due Date

Section Reference

101 102 1 2 3 103 104 105 1 2 3 4 5 106 107 108 109 110 111 112 113 114 115 116 117 1 2 3 4 5 6 7 8 9 10 11 118 1 2 119 120

1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1

8/15/2008 8/15/2008 8/15/2008 8/15/2008 8/15/2008 Monthly 9/1/2008 9/1/2008 9/1/2008 9/1/2008 9/1/2008 As Needed 8/15/2008 8/15/2008 8/15/2008 8/15/2008 9/1/2008 9/1/2008 9/15/2008 9/15/2008 9/15/2008 9/15/2008 10/15/2008 10/15/2008 10/15/2008 10/15/2008 10/15/2008 10/15/2008 10/15/2008 10/15/2008 10/15/2008 10/15/2008 10/15/2008 11/1/2008 11/1/2008 10/15/2008 As Needed

C.24.3 C.24.5 C.24.5 C.24.5 C.24.6 C.24.7 C.24.12 C.24.12, C.22.4.1 C.24.12, C.19.19 C.24.12, C.18.17 C.24.12, C.10.6.6.4 C.24.13 C.22.4.2.1 C.21.3.2 C.1.3.1.4 C.24.11 C.10.3.7 C.6.5 C.20.15.1 C.18.18 C.18.2 C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.16.3, Attachment E C.16.3, C.18.9, Attachment E C.22.4.2.3 C.22.4.2.3 H.12 C.24.16

D121 F121 122 1 2 3 4 5 123 124 125

1 1 1 1 1 1 1 1 1 1

2/1/2009 3/15/2009 Monthly Monthly Monthly Monthly Monthly As Needed Daily Weekly

C.24.9 C.24.12 C.24.12, C.22.4.1 C.24.12, C.19.19 C.24.12, C.18.17 C.24.12, C.10.6.6.4 C.24.13 C.18.18 C.6.5

DOL069RP20266 Amendment 02 - Attachment 6

EFAST2 RFP Section F, Page 8 of 28

SCHEDULE OF DELIVERABLES Option Period I -- 8/1/2008 to 6/30/2009 Advance Pre-processing activities, Startup, Processing Num
126 127 128 129 130 131 132 1 2 3 4 5 6 7 8 9 10 11 133 134 D135 F135 D136 F136 137 138 139 140 D141 F141 D142 F142 143 1 2 144 145 146 147 148 1 2 3

Item Description of Deliverable
Quality Control Reports System Performance Report Large Plan Monthly Report Listing of Government & Contractor Users with Credentials Record Retrieval Documentation replacement pages Transmission of Structured Data Records to End Users EBSA XML Return Transaction File EBSA Structured Return Transaction File IRS XML Return Transaction File IRS Structured Return Transaction File PBGC XML Return Transaction File PBGC Structured Return Transaction File PBGC Control File EBSA Tracking Database snapshot IRS Tracking Database snapshot EBSA Annual XML Archive File EBSA Annual E-Mail Archive File Requirements Traceability Matrix (RTM) Quality Assurance Plan Draft Detailed System Design Detailed System Design Draft Quality Control Procedures Manual Quality Control Procedures Manual HW / SW Refresh Plan Configuration Management Plan Service Level Agreement Annual Requirements Analysis Report Draft Security Risk Assessment Security Risk Assessment Draft System Documentation System Documentation Operating Capacity Report Current Operating Capacity System Sizing Analysis Benchmark Report Government End User Customer Satisfaction Survey System Test Plan(s) System Test Report(s) Option Period I Disposition/Closeout Plan Transition Plan Source Code Program materials, documentation, media, GFI, and equipment Other Key Option Period I Activities Stakeholder Outreach Conference Personnel Clearances Government Testing and Reviews Processing Compliance Reviews

Quantity
1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1

Due Date
Monthly Monthly Monthly Monthly As Needed As Needed Daily Daily Daily Daily Weekly Weekly Weekly Monthly Monthly 6/30/2009 6/30/2009 3/15/2009 3/15/2009 2/1/2009 3/15/2009 2/15/2009 4/1/2009 4/1/2009 4/1/2009 4/15/2009 5/1/2009 4/15/2009 6/1/2009 4/15/2009 6/1/2009 6/30/2009 6/30/2009 6/30/2009 6/30/2009 As Proposed As Proposed 6/1/2009 6/1/2009 6/1/2009

Section Reference
C.20.15.1 C.13.8.5, C.14.4.3 C.6.6 C.10.3.4 C.9.2 C.24.16 C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.16.3, Attachment E C.16.3, C.18.9, Attachment E C.25.9 C.19.18 C.1.2.1.3 C.20.15.2 C.17.4 C.25.8 C.13.8.1 C.25.10 C.22.4.2.2 C.17.4 C.13.8.3.1 C.13.8.3.2 C.13.8.4 C.20.16 C.21.4.1 C.21.4.2 C.24.14 C.24.14 C.24.14 C.1.3.1.4 C.22.3 E.8.2 E.9

DOL069RP20266 Amendment 02 - Attachment 6

EFAST2 RFP Section F, Page 9 of 28

SCHEDULE OF DELIVERABLES Option Period II -- 7/01/2009 to 6/30/2010 Processing Year 2009 Operations, Rollover to Processing Year 2010 Num Item Description of Deliverable
Processing Year 2009 7/1/2009 through 6/30/2010 Draft Project Risk Management Plan Project Risk Management Plan Monthly Work and Management Report Report on progress, problems, schedule, and plans Security Progress Report Quality Assurance Report Contact Center Call Report List of Third Party Software Developer Certifications Notification to COTR of Problems, Errors, or Breach of Security Contact Center Daily Report PC Reports Quality Control Reports System Performance Report Large Plan Monthly Report Listing of Government & Contractor Users with Credentials Record Retrieval Documentation replacement pages Transmission of Structured Data Records to End Users EBSA XML Return Transaction File EBSA Structured Return Transaction File IRS XML Return Transaction File IRS Structured Return Transaction File PBGC XML Return Transaction File PBGC Structured Return Transaction File PBGC Control File EBSA Tracking Database snapshot IRS Tracking Database snapshot EBSA Annual XML Archive File EBSA Annual E-Mail Archive File Quality Assurance Plan Final Plan Year 2010 Form / Schedule Proofs PDF Files Source Files Detailed System Design Configuration Management Plan System Security Plan Production Recruiting and Training Plan COOP Test Report -- Update I Quality Control Procedures Manual HW / SW Refresh Plan Implementation Plan Annual Requirements Analysis Report Contingency Plan (Continuity of Operations Plan) -- Update II COOP Test Plan Operational Readiness Declaration Checklist Certification SAT Agency-specific distribution products Other SAT outputs Certification and Warranty IFILE Functional Specification Draft IFILE / Test Filing Tool

Quantity

Due Date

Section Reference

D201 F201 202 1 2 3 4 5 203 204 205 206 207 208 209 210 211 212 1 2 3 4 5 6 7 8 9 10 11 213 214 1 2 215 216 217 218 219 220 221 222 223 224 1 2 225 1 2 226 1 2 227 228 D229

1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1

8/1/2009 9/15/2009 Monthly Monthly Monthly Quarterly Monthly Monthly As Needed Daily Weekly Monthly Monthly Monthly Monthly As Needed As Needed Daily Daily Daily Daily Weekly Weekly Weekly Monthly Monthly 6/30/2010 6/30/2010 8/1/2009 8/1/2009 8/1/2009 8/1/2009 8/1/2009 8/1/2009 8/15/2009 9/1/2009 10/1/2009 10/1/2009 11/1/2009 11/1/2009 11/1/2009 11/1/2009 11/1/2009 11/1/2009 11/15/2009 11/15/2009 12/1/2009 2/1/2010 1/15/2010

C.24.10 C.24.12 C.24.12 C.24.12, C.22.4.1 C.24.12, C.19.19 C.24.12, C.18.17 C.24.12, C.10.6.6.4 C.24.13 C.18.18 C.6.5 C.20.15.1 C.13.8.5, C.14.4.3 C.6.6 C.10.3.4 C.9.2 C.24.16 C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.16.3, Attachment E C.16.3, C.18.9, Attachment E C.19.18 C.17.3 C.17.3 C.1.2.1.3 C.25.8 C.22.4.2.1 C.24.11 C.22.4.2.3 C.20.15.2 C.17.4 C.21.3.2 C.25.10 C.22.4.2.3 C.22.4.2.3 C.21.3.8 C.21.3.9 E.8.3, E.8.5 E.8.1.3 H.12 C.10.5.14

DOL069RP20266 Amendment 02 - Attachment 6

EFAST2 RFP Section F, Page 10 of 28

SCHEDULE OF DELIVERABLES Option Period II -- 7/01/2009 to 6/30/2010 Processing Year 2009 Operations, Rollover to Processing Year 2010 Num
F229 230 231 232 233 1 2 234 235 236 237 238 1 2 3 239 1 2 3 240 D241 F241 D242 F242 243 1 2 244 245 246 1 2 3

Item Description of Deliverable
IFILE / Test Filing Tool Requirements Traceability Matrix (RTM) IFILE User's Guide EFAST2 Guide for Filers & Service Providers Data Dissemination Service (DDS) User's Guide(s) Public User Guide Government User Guide System Test Plan(s) System Test Report(s) Contact Center Operational Procedures Manual Service Level Agreement Software Developer Specification Software Developer User's Guide and Specifications Transmission File Structure XML DER Vol 1 & 2 Participant Acceptance Testing System (PATS) Package PATS Application PATS Procedures and Certification Criteria PATS Test Filings Third Party Software Developer Conference Materials Draft Security Risk Assessment Security Risk Assessment Draft System Documentation System Documentation Operating Capacity Report Current Operating Capacity System Sizing Analysis Benchmark Report Government End User Customer Satisfaction Survey Option Period II Disposition/Closeout Plan Transition Plan Source Code Program materials, documentation, media, GFI, and equipment Other Key Option Period II Activities Third Party Software Developer Conference Quarterly Quality Control Briefings Personnel Clearances Government Testing and Reviews Processing Compliance Reviews Systems Acceptance Test

Quantity
1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1

Due Date
3/1/2010 3/15/2010 3/15/2010 3/15/2010 3/15/2010 3/15/2010 As Proposed As Proposed 4/15/2010 4/15/2010 4/15/2010 4/15/2010 4/15/2010 4/15/2010 4/15/2010 4/15/2010 4/15/2010 4/15/2010 6/1/2010 4/15/2010 6/1/2010 6/30/2010 6/30/2010 6/30/2010 6/30/2010 6/30/2010 6/30/2010 6/30/2010

Section Reference
C.10.5.15 C.25.9 C.10.5.13 C.10.6.4 C.15.7 C.15.7 C.21.3.1 C.21.3.3 C.18.20 C.13.8.1 C.10.6.5 C.10.6.5 C.10.6.5 C.10.6.6.3 C.10.6.6.3 C.10.6.6.3 C.10.6.3 C.22.4.2.2 C.17.2 C.13.8.3.1 C.13.8.3.2 C.13.8.4 C.20.16 C.24.14 C.24.14 C.24.14 C.10.6.3 C.20.7 C.22.3 E.8.2 E.9 E.8.1.3

DOL069RP20266 Amendment 02 - Attachment 6

EFAST2 RFP Section F, Page 11 of 28

SCHEDULE OF DELIVERABLES Option Period III -- 7/01/2010 to 6/30/2011 Processing Year 2010 Operations, Rollover to Processing Year 2011 Num Item Description of Deliverable
Processing Year 2010 7/1/2010 through 6/30/2011 Draft Project Risk Management Plan Project Risk Management Plan Monthly Work and Management Report Report on progress, problems, schedule, and plans Security Progress Report Quality Assurance Report Contact Center Call Report List of Third Party Software Developer Certifications Notification to COTR of Problems, Errors, or Breach of Security Contact Center Daily Report PC Reports Quality Control Reports System Performance Report Large Plan Monthly Report Listing of Government & Contractor Users with Credentials Record Retrieval Documentation replacement pages Transmission of Structured Data Records to End Users EBSA XML Return Transaction File EBSA Structured Return Transaction File IRS XML Return Transaction File IRS Structured Return Transaction File PBGC XML Return Transaction File PBGC Structured Return Transaction File PBGC Control File EBSA Tracking Database snapshot IRS Tracking Database snapshot EBSA Annual XML Archive File EBSA Annual E-Mail Archive File Quality Assurance Plan Final Plan Year 2011 Form / Schedule Proofs PDF Files Source Files Detailed System Design Configuration Management Plan System Security Plan Production Recruiting and Training Plan COOP Test Report -- Update II Quality Control Procedures Manual HW / SW Refresh Plan Implementation Plan Annual Requirements Analysis Report Contingency Plan (Continuity of Operations Plan) -- Update III COOP Test Plan Operational Readiness Declaration Checklist Certification SAT Agency-specific distribution products Other SAT outputs Certification and Warranty IFILE Functional Specification Draft IFILE / Test Filing Tool

Quantity

Due Date

Section Reference

D301 F301 302 1 2 3 4 5 303 304 305 306 307 308 309 310 311 312 1 2 3 4 5 6 7 8 9 10 11 313 314 1 2 315 316 317 318 319 320 321 322 323 324 1 2 325 1 2 326 1 2 327 328 D329

1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1

8/1/2010 9/15/2010 Monthly Monthly Monthly Quarterly Monthly Monthly As Needed Daily Weekly Monthly Monthly Monthly Monthly As Needed As Needed Daily Daily Daily Daily Weekly Weekly Weekly Monthly Monthly 6/30/2011 6/30/2011 8/1/2010 8/1/2010 8/1/2010 8/1/2010 8/1/2010 8/1/2010 8/15/2010 9/1/2010 10/1/2010 10/1/2010 11/1/2010 11/1/2010 11/1/2010 11/1/2010 11/1/2010 11/1/2010 11/15/2010 11/15/2010 12/1/2010 2/1/2011 1/15/2011

C.24.10 C.24.12 C.24.12 C.24.12, C.22.4.1 C.24.12, C.19.19 C.24.12, C.18.17 C.24.12, C.10.6.6.4 C.24.13 C.18.18 C.6.5 C.20.15.1 C.13.8.5, C.14.4.3 C.6.6 C.10.3.4 C.9.2 C.24.16 C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.16.3, Attachment E C.16.3, C.18.9, Attachment E C.19.18 C.17.3 C.17.3 C.1.2.1.3 C.25.8 C.22.4.2.1 C.24.11 C.22.4.2.3 C.20.15.2 C.17.4 C.21.3.2 C.25.10 C.22.4.2.3 C.22.4.2.3 C.21.3.8 C.21.3.9 E.8.3, E.8.5 E.8.1.3 H.12 C.10.5.14

DOL069RP20266 Amendment 02 - Attachment 6

EFAST2 RFP Section F, Page 12 of 28

SCHEDULE OF DELIVERABLES Option Period III -- 7/01/2010 to 6/30/2011 Processing Year 2010 Operations, Rollover to Processing Year 2011 Num
F329 330 331 332 333 1 2 334 335 336 337 338 1 2 3 339 1 2 3 340 D341 F341 D342 F342 343 1 2 344 345 346 1 2 3

Item Description of Deliverable
IFILE / Test Filing Tool Requirements Traceability Matrix (RTM) IFILE User's Guide EFAST2 Guide for Filers & Service Providers Data Dissemination Service (DDS) User's Guide(s) Public User Guide Government User Guide System Test Plan(s) System Test Report(s) Contact Center Operational Procedures Manual Service Level Agreement Software Developer Specification Software Developer User's Guide and Specifications Transmission File Structure XML DER Vol 1 & 2 Participant Acceptance Testing System (PATS) Package PATS Application PATS Procedures and Certification Criteria PATS Test Filings Third Party Software Developer Conference Materials Draft Security Risk Assessment Security Risk Assessment Draft System Documentation System Documentation Operating Capacity Report Current Operating Capacity System Sizing Analysis Benchmark Report Government End User Customer Satisfaction Survey Option Period III Disposition/Closeout Plan Transition Plan Source Code Program materials, documentation, media, GFI, and equipment Other Key Option Period III Activities Third Party Software Developer Conference Quarterly Quality Control Briefings Personnel Clearances Government Testing and Reviews Processing Compliance Reviews Systems Acceptance Test

Quantity
1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1

Due Date
3/1/2011 3/15/2011 3/15/2011 3/15/2011 3/15/2011 3/15/2011 As Proposed As Proposed 4/15/2011 4/15/2011 4/15/2011 4/15/2011 4/15/2011 4/15/2011 4/15/2011 4/15/2011 4/15/2011 4/15/2011 6/1/2011 4/15/2011 6/1/2011 6/30/2011 6/30/2011 6/30/2011 6/30/2011 6/30/2011 6/30/2011 6/30/2011

Section Reference
C.10.5.15 C.25.9 C.10.5.13 C.10.6.4 C.15.7 C.15.7 C.21.3.1 C.21.3.3 C.18.20 C.13.8.1 C.10.6.5 C.10.6.5 C.10.6.5 C.10.6.6.3 C.10.6.6.3 C.10.6.6.3 C.10.6.3 C.22.4.2.2 C.17.2 C.13.8.3.1 C.13.8.3.2 C.13.8.4 C.20.16 C.24.14 C.24.14 C.24.14 C.10.6.3 C.20.7 C.22.3 E.8.2 E.9 E.8.1.3

DOL069RP20266 Amendment 02 - Attachment 6

EFAST2 RFP Section F, Page 13 of 28

SCHEDULE OF DELIVERABLES Option Period IV -- 7/01/2011 to 6/30/2012 Processing Year 2011 Operations, Rollover to Processing Year 2012 Num Item Description of Deliverable
Processing Year 2011 7/1/2011 through 6/30/2012 Draft Project Risk Management Plan Project Risk Management Plan Monthly Work and Management Report Report on progress, problems, schedule, and plans Security Progress Report Quality Assurance Report Contact Center Call Report List of Third Party Software Developer Certifications Notification to COTR of Problems, Errors, or Breach of Security Contact Center Daily Report PC Reports Quality Control Reports System Performance Report Large Plan Monthly Report Listing of Government & Contractor Users with Credentials Record Retrieval Documentation replacement pages Transmission of Structured Data Records to End Users EBSA XML Return Transaction File EBSA Structured Return Transaction File IRS XML Return Transaction File IRS Structured Return Transaction File PBGC XML Return Transaction File PBGC Structured Return Transaction File PBGC Control File EBSA Tracking Database snapshot IRS Tracking Database snapsho EBSA Annual XML Archive File EBSA Annual E-Mail Archive File Quality Assurance Plan Final Plan Year 2012 Form / Schedule Proofs PDF Files Source Files Detailed System Design Configuration Management Plan System Security Plan Production Recruiting and Training Plan COOP Test Report -- Update III Quality Control Procedures Manual HW / SW Refresh Plan Implementation Plan Annual Requirements Analysis Report Contingency Plan (Continuity of Operations Plan) -- Update IV COOP Test Plan Operational Readiness Declaration Checklist Certification SAT Agency-specific distribution products Other SAT outputs Certification and Warranty IFILE Functional Specification Draft IFILE / Test Filing Tool

Quantity

Due Date

Section Reference

D401 F401 402 1 2 3 4 5 403 404 405 406 407 408 409 410 411 412 1 2 3 4 5 6 7 8 9 10 11 413 414 1 2 415 416 417 418 419 420 421 422 423 424 1 2 425 1 2 426 1 2 427 428 D429

1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1

8/1/2011 9/15/2011 Monthly Monthly Monthly Quarterly Monthly Monthly As Needed Daily Weekly Monthly Monthly Monthly Monthly As Needed As Needed Daily Daily Daily Daily Weekly Weekly Weekly Monthly Monthly 6/30/2012 6/30/2012 8/1/2011 8/1/2011 8/1/2011 8/1/2011 8/1/2011 8/1/2011 8/15/2011 9/1/2011 10/1/2011 10/1/2011 11/1/2011 11/1/2011 11/1/2011 11/1/2011 11/1/2011 11/1/2011 11/15/2011 11/15/2011 12/1/2011 2/1/2012 1/15/2012

C.24.10 C.24.12 C.24.12 C.24.12, C.22.4.1 C.24.12, C.19.19 C.24.12, C.18.17 C.24.12, C.10.6.6.4 C.24.13 C.18.18 C.6.5 C.20.15.1 C.13.8.5, C.14.4.3 C.6.6 C.10.3.4 C.9.2 C.24.16 C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.16.3, Attachment E C.16.3, C.18.9, Attachment E C.19.18 C.17.3 C.17.3 C.1.2.1.3 C.25.8 C.22.4.2.1 C.24.11 C.22.4.2.3 C.20.15.2 C.17.4 C.21.3.2 C.25.10 C.22.4.2.3 C.22.4.2.3 C.21.3.8 C.21.3.9 E.8.3, E.8.5 E.8.1.3 H.12 C.10.5.14

DOL069RP20266 Amendment 02 - Attachment 6

EFAST2 RFP Section F, Page 14 of 28

SCHEDULE OF DELIVERABLES Option Period IV -- 7/01/2011 to 6/30/2012 Processing Year 2011 Operations, Rollover to Processing Year 2012 Num
F429 430 431 432 433 1 2 434 435 436 437 438 1 2 3 439 1 2 3 440 D441 F441 D442 F442 443 1 2 444 445 446 1 2 3

Item Description of Deliverable
IFILE / Test Filing Tool Requirements Traceability Matrix (RTM) IFILE User's Guide EFAST2 Guide for Filers & Service Providers Data Dissemination Service (DDS) User's Guide(s) Public User Guide Government User Guide System Test Plan(s) System Test Report(s) Contact Center Operational Procedures Manual Service Level Agreement Software Developer Specification Software Developer User's Guide and Specifications Transmission File Structure XML DER Vol 1 & 2 Participant Acceptance Testing System (PATS) Package PATS Application PATS Procedures and Certification Criteria PATS Test Filings Third Party Software Developer Conference Materials Draft Security Risk Assessment Security Risk Assessment Draft System Documentation System Documentation Operating Capacity Report Current Operating Capacity System Sizing Analysis Benchmark Report Government End User Customer Satisfaction Survey Option Period IV Disposition/Closeout Plan Transition Plan Source Code Program materials, documentation, media, GFI, and equipment Other Key Option Period IV Activities Third Party Software Developer Conference Quarterly Quality Control Briefings Personnel Clearances Government Testing and Reviews Processing Compliance Reviews Systems Acceptance Test

Quantity
1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1

Due Date
3/1/2012 3/15/2012 3/15/2012 3/15/2012 3/15/2012 3/15/2012 As Proposed As Proposed 4/15/2012 4/15/2012 4/15/2012 4/15/2012 4/15/2012 4/15/2012 4/15/2012 4/15/2012 4/15/2012 4/15/2012 6/1/2012 4/15/2012 6/1/2012 6/30/2012 6/30/2012 6/30/2012 6/30/2012 6/30/2012 6/30/2012 6/30/2012

Section Reference
C.10.5.15 C.25.9 C.10.5.13 C.10.6.4 C.15.7 C.15.7 C.21.3.1 C.21.3.3 C.18.20 C.13.8.1 C.10.6.5 C.10.6.5 C.10.6.5 C.10.6.6.3 C.10.6.6.3 C.10.6.6.3 C.10.6.3 C.22.4.2.2 C.17.2 C.13.8.3.1 C.13.8.3.2 C.13.8.4 C.20.16 C.24.14 C.24.14 C.24.14 C.10.6.3 C.20.7 C.22.3 E.8.2 E.9 E.8.1.3

DOL069RP20266 Amendment 02 - Attachment 6

EFAST2 RFP Section F, Page 15 of 28

SCHEDULE OF DELIVERABLES Option Period V -- 7/01/2012 to 6/30/2013 Processing Year 2012 Operations, Rollover to Processing Year 2013 Num Item Description of Deliverable
Processing Year 2012 7/1/2012 through 6/30/2013 Draft Project Risk Management Plan Project Risk Management Plan Monthly Work and Management Report Report on progress, problems, schedule, and plans Security Progress Report Quality Assurance Report Contact Center Call Report List of Third Party Software Developer Certifications Notification to COTR of Problems, Errors, or Breach of Security Contact Center Daily Report PC Reports Quality Control Reports System Performance Report Large Plan Monthly Report Listing of Government & Contractor Users with Credentials Record Retrieval Documentation replacement pages Transmission of Structured Data Records to End Users EBSA XML Return Transaction File EBSA Structured Return Transaction File IRS XML Return Transaction File IRS Structured Return Transaction File PBGC XML Return Transaction File PBGC Structured Return Transaction File PBGC Control File EBSA Tracking Database snapshot IRS Tracking Database snapshot EBSA Annual XML Archive File EBSA Annual E-Mail Archive File Quality Assurance Plan Final Plan Year 2013 Form / Schedule Proofs PDF Files Source Files Detailed System Design Configuration Management Plan System Security Plan Production Recruiting and Training Plan COOP Test Report -- Update IV Quality Control Procedures Manual HW / SW Refresh Plan Implementation Plan Annual Requirements Analysis Report Contingency Plan (Continuity of Operations Plan) -- Update V COOP Test Plan Operational Readiness Declaration Checklist Certification SAT Agency-specific distribution products Other SAT outputs Certification and Warranty IFILE Functional Specification Draft IFILE / Test Filing Tool

Quantity

Due Date

Section Reference

D501 F501 502 1 2 3 4 5 503 504 505 506 507 508 509 510 511 512 1 2 3 4 5 6 7 8 9 10 11 513 514 1 2 515 516 517 518 519 520 521 522 523 524 1 2 525 1 2 526 1 2 527 528 D529

1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1

8/1/2012 9/15/2012 Monthly Monthly Monthly Quarterly Monthly Monthly As Needed Daily Weekly Monthly Monthly Monthly Monthly As Needed As Needed Daily Daily Daily Daily Weekly Weekly Weekly Monthly Monthly 6/30/2013 6/30/2013 8/1/2012 8/1/2012 8/1/2012 8/1/2012 8/1/2012 8/1/2012 8/15/2012 9/1/2012 10/1/2012 10/1/2012 11/1/2012 11/1/2012 11/1/2012 11/1/2012 11/1/2012 11/1/2012 11/15/2012 11/15/2012 12/1/2012 2/1/2013 1/15/2013

C.24.10 C.24.12 C.24.12 C.24.12, C.22.4.1 C.24.12, C.19.19 C.24.12, C.18.17 C.24.12, C.10.6.6.4 C.24.13 C.18.18 C.6.5 C.20.15.1 C.13.8.5, C.14.4.3 C.6.6 C.10.3.4 C.9.2 C.24.16 C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.16.3, Attachment E C.16.3, C.18.9, Attachment E C.19.18 C.17.3 C.17.3 C.1.2.1.3 C.25.8 C.22.4.2.1 C.24.11 C.22.4.2.3 C.20.15.2 C.17.4 C.21.3.2 C.25.10 C.22.4.2.3 C.22.4.2.3 C.21.3.8 C.21.3.9 E.8.3, E.8.5 E.8.1.3 H.12 C.10.5.14

DOL069RP20266 Amendment 02 - Attachment 6

EFAST2 RFP Section F, Page 16 of 28

SCHEDULE OF DELIVERABLES Option Period V -- 7/01/2012 to 6/30/2013 Processing Year 2012 Operations, Rollover to Processing Year 2013 Num
F529 530 531 532 533 1 2 534 535 536 537 538 1 2 3 539 1 2 3 540 D541 F541 D542 F542 543 1 2 544 545 546 1 2 3

Item Description of Deliverable
IFILE / Test Filing Tool Requirements Traceability Matrix (RTM) IFILE User's Guide EFAST2 Guide for Filers & Service Providers Data Dissemination Service (DDS) User's Guide(s) Public User Guide Government User Guide System Test Plan(s) System Test Report(s) Contact Center Operational Procedures Manual Service Level Agreement Software Developer Specification Software Developer User's Guide and Specifications Transmission File Structure XML DER Vol 1 & 2 Participant Acceptance Testing System (PATS) Package PATS Application PATS Procedures and Certification Criteria PATS Test Filings Third Party Software Developer Conference Materials Draft Security Risk Assessment Security Risk Assessment Draft System Documentation System Documentation Operating Capacity Report Current Operating Capacity System Sizing Analysis Benchmark Report Government End User Customer Satisfaction Survey Option Period V Disposition/Closeout Plan Transition Plan Source Code Program materials, documentation, media, GFI, and equipment Other Key Option Period V Activities Third Party Software Developer Conference Quarterly Quality Control Briefings Personnel Clearances Government Testing and Reviews Processing Compliance Reviews Systems Acceptance Test

Quantity
1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1

Due Date
3/1/2013 3/15/2013 3/15/2013 3/15/2013 3/15/2013 3/15/2013 As Proposed As Proposed 4/15/2013 4/15/2013 4/15/2013 4/15/2013 4/15/2013 4/15/2013 4/15/2013 4/15/2013 4/15/2013 4/15/2013 6/1/2013 4/15/2013 6/1/2013 6/30/2013 6/30/2013 6/30/2013 6/30/2013 6/30/2013 6/30/2013 6/30/2013

Section Reference
C.10.5.15 C.25.9 C.10.5.13 C.10.6.4 C.15.7 C.15.7 C.21.3.1 C.21.3.3 C.18.20 C.13.8.1 C.10.6.5 C.10.6.5 C.10.6.5 C.10.6.6.3 C.10.6.6.3 C.10.6.6.3 C.10.6.3 C.22.4.2.2 C.17.2 C.13.8.3.1 C.13.8.3.2 C.13.8.4 C.20.16 C.24.14 C.24.14 C.24.14 C.10.6.3 C.20.7 C.22.3 E.8.2 E.9 E.8.1.3

DOL069RP20266 Amendment 02 - Attachment 6

EFAST2 RFP Section F, Page 17 of 28

SCHEDULE OF DELIVERABLES Option Period VI -- 7/01/2013 to 6/30/2014 Processing Year 2013 Operations, Rollover to Processing Year 2014 Num Item Description of Deliverable
Processing Year 2013 7/1/2013 through 6/30/2014 Draft Project Risk Management Plan Project Risk Management Plan Monthly Work and Management Report Report on progress, problems, schedule, and plans Security Progress Report Quality Assurance Report Contact Center Call Report List of Third Party Software Developer Certifications Notification to COTR of Problems, Errors, or Breach of Security Contact Center Daily Report PC Reports Quality Control Reports System Performance Report Large Plan Monthly Report Listing of Government & Contractor Users with Credentials Record Retrieval Documentation replacement pages Transmission of Structured Data Records to End Users EBSA XML Return Transaction File EBSA Structured Return Transaction File IRS XML Return Transaction File IRS Structured Return Transaction File PBGC XML Return Transaction File PBGC Structured Return Transaction File PBGC Control File EBSA Tracking Database snapshot IRS Tracking Database snapshot EBSA Annual XML Archive File EBSA Annual E-Mail Archive File Quality Assurance Plan Final Plan Year 2014 Form / Schedule Proofs PDF Files Source Files Detailed System Design Configuration Management Plan System Security Plan Production Recruiting and Training Plan COOP Test Report -- Update V Quality Control Procedures Manual HW / SW Refresh Plan Implementation Plan Annual Requirements Analysis Report Contingency Plan (Continuity of Operations Plan) -- Update VI COOP Test Plan Operational Readiness Declaration Checklist Certification SAT Agency-specific distribution products Other SAT outputs Certification and Warranty IFILE Functional Specification

Quantity

Due Date

Section Reference

D601 F601 602 1 2 3 4 5 603 604 605 606 607 608 609 610 611 612 1 2 3 4 5 6 7 8 9 10 11 613 614 1 2 615 616 617 618 619 620 621 622 623 624 1 2 625 1 2 626 1 2 627 628

1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1

8/1/2013 9/15/2013 Monthly Monthly Monthly Quarterly Monthly Monthly As Needed Daily Weekly Monthly Monthly Monthly Monthly As Needed As Needed Daily Daily Daily Daily Weekly Weekly Weekly Monthly Monthly 6/30/2014 6/30/2014 8/1/2013 8/1/2013 8/1/2013 8/1/2013 8/1/2013 8/1/2013 8/15/2013 9/1/2013 10/1/2013 10/1/2013 11/1/2013 11/1/2013 11/1/2013 11/1/2013 11/1/2013 11/1/2013 11/15/2013 11/15/2013 12/1/2013 2/1/2014

C.24.10 C.24.12 C.24.12 C.24.12, C.22.4.1 C.24.12, C.19.19 C.24.12, C.18.17 C.24.12, C.10.6.6.4 C.24.13 C.18.18 C.6.5 C.20.15.1 C.13.8.5, C.14.4.3 C.6.6 C.10.3.4 C.9.2 C.24.16 C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.16.3, Attachment E C.16.3, C.18.9, Attachment E C.19.18 C.17.3 C.17.3 C.1.2.1.3 C.25.8 C.22.4.2.1 C.24.11 C.22.4.2.3 C.20.15.2 C.17.4 C.21.3.2 C.25.10 C.22.4.2.3 C.22.4.2.3 C.21.3.8 C.21.3.9 E.8.3, E.8.5 E.8.1.3 H.12 C.10.5.14

DOL069RP20266 Amendment 02 - Attachment 6

EFAST2 RFP Section F, Page 18 of 28

SCHEDULE OF DELIVERABLES Option Period VI -- 7/01/2013 to 6/30/2014 Processing Year 2013 Operations, Rollover to Processing Year 2014 Num Item Description of Deliverable
D629 F629 630 631 632 633 1 2 634 635 636 637 638 1 2 3 639 1 2 3 640 D641 F641 D642 F642 643 1 2 644 645 646 1 2 3 Draft IFILE / Test Filing Tool IFILE / Test Filing Tool Requirements Traceability Matrix (RTM) IFILE User's Guide EFAST2 Guide for Filers & Service Providers Data Dissemination Service (DDS) User's Guide(s) Public User Guide Government User Guide System Test Plan(s) System Test Report(s) Contact Center Operational Procedures Manual Service Level Agreement Software Developer Specification Software Developer User's Guide and Specifications Transmission File Structure XML DER Vol 1 & 2 Participant Acceptance Testing System (PATS) Package PATS Application PATS Procedures and Certification Criteria PATS Test Filings Third Party Software Developer Conference Materials Draft Security Risk Assessment Security Risk Assessment Draft System Documentation System Documentation Operating Capacity Report Current Operating Capacity System Sizing Analysis Benchmark Report Government End User Customer Satisfaction Survey Option Period VI Disposition/Closeout Plan Transition Plan Source Code Program materials, documentation, media, GFI, and equipment Other Key Option Period VI Activities Third Party Software Developer Conference Quarterly Quality Control Briefings Personnel Clearances Government Testing and Reviews Processing Compliance Reviews Systems Acceptance Test

Quantity
1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1

Due Date
1/15/2014 3/1/2014 3/15/2014 3/15/2014 3/15/2014 3/15/2014 3/15/2014 As Proposed As Proposed 4/15/2014 4/15/2014 4/15/2014 4/15/2014 4/15/2014 4/15/2014 4/15/2014 4/15/2014 4/15/2014 4/15/2014 6/1/2014 4/15/2014 6/1/2014 6/30/2014 6/30/2014 6/30/2014 6/30/2014 6/30/2014 6/30/2014 6/30/2014

Section Reference
C.10.5.15 C.25.9 C.10.5.13 C.10.6.4 C.15.7 C.15.7 C.21.3.1 C.21.3.3 C.18.20 C.13.8.1 C.10.6.5 C.10.6.5 C.10.6.5 C.10.6.6.3 C.10.6.6.3 C.10.6.6.3 C.10.6.3 C.22.4.2.2 C.17.2 C.13.8.3.1 C.13.8.3.2 C.13.8.4 C.20.16 C.24.14 C.24.14 C.24.14 C.10.6.3 C.20.7 C.22.3 E.8.2 E.9 E.8.1.3

DOL069RP20266 Amendment 02 - Attachment 6

EFAST2 RFP Section F, Page 19 of 28

SCHEDULE OF DELIVERABLES Option Period VII -- 7/01/2014 to 6/30/2015 Processing Year 2014 Operations, Rollover to Processing Year 2015 Num Item Description of Deliverable
Processing Year 2014 7/1/2014 through 6/30/2015 Draft Project Risk Management Plan Project Risk Management Plan Monthly Work and Management Report Report on progress, problems, schedule, and plans Security Progress Report Quality Assurance Report Contact Center Call Report List of Third Party Software Developer Certifications Notification to COTR of Problems, Errors, or Breach of Security Contact Center Daily Report PC Reports Quality Control Reports System Performance Report Large Plan Monthly Report Listing of Government & Contractor Users with Credentials Record Retrieval Documentation replacement pages Transmission of Structured Data Records to End Users EBSA XML Return Transaction File EBSA Structured Return Transaction File IRS XML Return Transaction File IRS Structured Return Transaction File PBGC XML Return Transaction File PBGC Structured Return Transaction File PBGC Control File EBSA Tracking Database snapshot IRS Tracking Database snapshot EBSA Annual XML Archive File EBSA Annual E-Mail Archive File Quality Assurance Plan Final Plan Year 2015 Form / Schedule Proofs PDF Files Source Files Detailed System Design Configuration Management Plan System Security Plan Production Recruiting and Training Plan COOP Test Report -- Update VI Quality Control Procedures Manual HW / SW Refresh Plan Implementation Plan Annual Requirements Analysis Report Contingency Plan (Continuity of Operations Plan) -- Update VII COOP Test Plan Operational Readiness Declaration Checklist Certification SAT Agency-specific distribution products Other SAT outputs Certification and Warranty IFILE Functional Specification Draft IFILE / Test Filing Tool

Quantity

Due Date

Section Reference

D701 F701 702 1 2 3 4 5 703 704 705 706 707 708 709 710 711 712 1 2 3 4 5 6 7 8 9 10 11 713 714 1 2 715 716 717 718 719 720 721 722 723 724 1 2 725 1 2 726 1 2 727 728 D729

1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1

8/1/2014 9/15/2014 Monthly Monthly Monthly Quarterly Monthly Monthly As Needed Daily Weekly Monthly Monthly Monthly Monthly As Needed As Needed Daily Daily Daily Daily Weekly Weekly Weekly Monthly Monthly 6/30/2015 6/30/2015 8/1/2014 8/1/2014 8/1/2014 8/1/2014 8/1/2014 8/1/2014 8/15/2014 9/1/2014 10/1/2014 10/1/2014 11/1/2014 11/1/2014 11/1/2014 11/1/2014 11/1/2014 11/1/2014 11/15/2014 11/15/2014 12/1/2014 2/1/2015 1/15/2015

C.24.10 C.24.12 C.24.12 C.24.12, C.22.4.1 C.24.12, C.19.19 C.24.12, C.18.17 C.24.12, C.10.6.6.4 C.24.13 C.18.18 C.6.5 C.20.15.1 C.13.8.5, C.14.4.3 C.6.6 C.10.3.4 C.9.2 C.24.16 C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.16.3, Attachment E C.16.3, C.18.9, Attachment E C.19.18 C.17.3 C.17.3 C.1.2.1.3 C.25.8 C.22.4.2.1 C.24.11 C.22.4.2.3 C.20.15.2 C.17.4 C.21.3.2 C.25.10 C.22.4.2.3 C.22.4.2.3 C.21.3.8 C.21.3.9 E.8.3, E.8.5 E.8.1.3 H.12 C.10.5.14

DOL069RP20266 Amendment 02 - Attachment 6

EFAST2 RFP Section F, Page 20 of 28

SCHEDULE OF DELIVERABLES Option Period VII -- 7/01/2014 to 6/30/2015 Processing Year 2014 Operations, Rollover to Processing Year 2015 Num
F729 730 731 732 733 1 2 734 735 736 737 738 1 2 3 739 1 2 3 740 D741 F741 D742 F742 743 1 2 744 745 746 1 2 3

Item Description of Deliverable
IFILE / Test Filing Tool Requirements Traceability Matrix (RTM) IFILE User's Guide EFAST2 Guide for Filers & Service Providers Data Dissemination Service (DDS) User's Guide(s) Public User Guide Government User Guide System Test Plan(s) System Test Report(s) Contact Center Operational Procedures Manual Service Level Agreement Software Developer Specification Software Developer User's Guide and Specifications Transmission File Structure XML DER Vol 1 & 2 Participant Acceptance Testing System (PATS) Package PATS Application PATS Procedures and Certification Criteria PATS Test Filings Third Party Software Developer Conference Materials Draft Security Risk Assessment Security Risk Assessment Draft System Documentation System Documentation Operating Capacity Report Current Operating Capacity System Sizing Analysis Benchmark Report Government End User Customer Satisfaction Survey Option Period VII Disposition/Closeout Plan Transition Plan Source Code Program materials, documentation, media, GFI, and equipment Other Key Option Period VII Activities Third Party Software Developer Conference Quarterly Quality Control Briefings Personnel Clearances Government Testing and Reviews Processing Compliance Reviews Systems Acceptance Test

Quantity
1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1

Due Date
3/1/2015 3/15/2015 3/15/2015 3/15/2015 3/15/2015 3/15/2015 As Proposed As Proposed 4/15/2015 4/15/2015 4/15/2015 4/15/2015 4/15/2015 4/15/2015 4/15/2015 4/15/2015 4/15/2015 4/15/2015 6/1/2015 4/15/2015 6/1/2015 6/30/2015 6/30/2015 6/30/2015 6/30/2015 6/30/2015 6/30/2015 6/30/2015

Section Reference
C.10.5.15 C.25.9 C.10.5.13 C.10.6.4 C.15.7 C.15.7 C.21.3.1 C.21.3.3 C.18.20 C.13.8.1 C.10.6.5 C.10.6.5 C.10.6.5 C.10.6.6.3 C.10.6.6.3 C.10.6.6.3 C.10.6.3 C.22.4.2.2 C.17.2 C.13.8.3.1 C.13.8.3.2 C.13.8.4 C.20.16 C.24.14 C.24.14 C.24.14 C.10.6.3 C.20.7 C.22.3 E.8.2 E.9 E.8.1.3

DOL069RP20266 Amendment 02 - Attachment 6

EFAST2 RFP Section F, Page 21 of 28

SCHEDULE OF DELIVERABLES Option Period VIII -- 7/01/2015 to 6/30/2016 Processing Year 2015 Operations, Rollover to Processing Year 2016 Num Item Description of Deliverable
Processing Year 2015 7/1/2015 through 6/30/2016 Draft Project Risk Management Plan Project Risk Management Plan Monthly Work and Management Report Report on progress, problems, schedule, and plans Security Progress Report Quality Assurance Report Contact Center Call Report List of Third Party Software Developer Certifications Notification to COTR of Problems, Errors, or Breach of Security Contact Center Daily Report PC Reports Quality Control Reports System Performance Report Large Plan Monthly Report Listing of Government & Contractor Users with Credentials Record Retrieval Documentation replacement pages Transmission of Structured Data Records to End Users EBSA XML Return Transaction File EBSA Structured Return Transaction File IRS XML Return Transaction File IRS Structured Return Transaction File PBGC XML Return Transaction File PBGC Structured Return Transaction File PBGC Control File EBSA Tracking Database snapshot IRS Tracking Database snapshot EBSA Annual XML Archive File EBSA Annual E-Mail Archive File Quality Assurance Plan Final Plan Year 2016 Form / Schedule Proofs PDF Files Source Files Detailed System Design Configuration Management Plan System Security Plan Production Recruiting and Training Plan COOP Test Report -- Update VII Quality Control Procedures Manual HW / SW Refresh Plan Implementation Plan Annual Requirements Analysis Report Contingency Plan (Continuity of Operations Plan) -- Update VIII COOP Test Plan Operational Readiness Declaration Checklist Certification SAT Agency-specific distribution products Other SAT outputs Certification and Warranty IFILE Functional Specification Draft IFILE / Test Filing Tool

Quantity

Due Date

Section Reference

D801 F801 802 1 2 3 4 5 803 804 805 806 807 808 809 810 811 812 1 2 3 4 5 6 7 8 9 10 11 813 814 1 2 815 816 817 818 819 820 821 822 823 824 1 2 825 1 2 826 1 2 827 828 D829

1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1

8/1/2015 9/15/2015 Monthly Monthly Monthly Quarterly Monthly Monthly As Needed Daily Weekly Monthly Monthly Monthly Monthly As Needed As Needed Daily Daily Daily Daily Weekly Weekly Weekly Monthly Monthly 6/30/2016 6/30/2016 8/1/2015 8/1/2015 8/1/2015 8/1/2015 8/1/2015 8/1/2015 8/15/2015 9/1/2015 10/1/2015 10/1/2015 11/1/2015 11/1/2015 11/1/2015 11/1/2015 11/1/2015 11/1/2015 11/15/2015 11/15/2015 12/1/2015 2/1/2016 1/15/2016

C.24.10 C.24.12 C.24.12 C.24.12, C.22.4.1 C.24.12, C.19.19 C.24.12, C.18.17 C.24.12, C.10.6.6.4 C.24.13 C.18.18 C.6.5 C.20.15.1 C.13.8.5, C.14.4.3 C.6.6 C.10.3.4 C.9.2 C.24.16 C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.16.3, Attachment E C.16.3, C.18.9, Attachment E C.19.18 C.17.3 C.17.3 C.1.2.1.3 C.25.8 C.22.4.2.1 C.24.11 C.22.4.2.3 C.20.15.2 C.17.4 C.21.3.2 C.25.10 C.22.4.2.3 C.22.4.2.3 C.21.3.8 C.21.3.9 E.8.3, E.8.5 E.8.1.3 H.12 C.10.5.14

DOL069RP20266 Amendment 02 - Attachment 6

EFAST2 RFP Section F, Page 22 of 28

SCHEDULE OF DELIVERABLES Option Period VIII -- 7/01/2015 to 6/30/2016 Processing Year 2015 Operations, Rollover to Processing Year 2016 Num
F829 830 831 832 833 1 2 834 835 836 837 838 1 2 3 839 1 2 3 840 D841 F841 D842 F842 843 1 2 844 845 846 1 2 3

Item Description of Deliverable
IFILE / Test Filing Tool Requirements Traceability Matrix (RTM) IFILE User's Guide EFAST2 Guide for Filers & Service Providers Data Dissemination Service (DDS) User's Guide(s) Public User Guide Government User Guide System Test Plan(s) System Test Report(s) Contact Center Operational Procedures Manual Service Level Agreement Software Developer Specification Software Developer User's Guide and Specifications Transmission File Structure XML DER Vol 1 & 2 Participant Acceptance Testing System (PATS) Package PATS Application PATS Procedures and Certification Criteria PATS Test Filings Third Party Software Developer Conference Materials Draft Security Risk Assessment Security Risk Assessment Draft System Documentation System Documentation Operating Capacity Report Current Operating Capacity System Sizing Analysis Benchmark Report Government End User Customer Satisfaction Survey Option Period VIII Disposition/Closeout Plan Transition Plan Source Code Program materials, documentation, media, GFI, and equipment Other Key Option Period VIII Activities Third Party Software Developer Conference Quarterly Quality Control Briefings Personnel Clearances Government Testing and Reviews Processing Compliance Reviews Systems Acceptance Test

Quantity
1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1

Due Date
3/1/2016 3/15/2016 3/15/2016 3/15/2016 3/15/2016 3/15/2016 As Proposed As Proposed 4/15/2016 4/15/2016 4/15/2016 4/15/2016 4/15/2016 4/15/2016 4/15/2016 4/15/2016 4/15/2016 4/15/2016 6/1/2016 4/15/2016 6/1/2016 6/30/2016 6/30/2016 6/30/2016 6/30/2016 6/30/2016 6/30/2016 6/30/2016

Section Reference
C.10.5.15 C.25.9 C.10.5.13 C.10.6.4 C.15.7 C.15.7 C.21.3.1 C.21.3.3 C.18.20 C.13.8.1 C.10.6.5 C.10.6.5 C.10.6.5 C.10.6.6.3 C.10.6.6.3 C.10.6.6.3 C.10.6.3 C.22.4.2.2 C.17.2 C.13.8.3.1 C.13.8.3.2 C.13.8.4 C.20.16 C.24.14 C.24.14 C.24.14 C.10.6.3 C.20.7 C.22.3 E.8.2 E.9 E.8.1.3

DOL069RP20266 Amendment 02 - Attachment 6

EFAST2 RFP Section F, Page 23 of 28

SCHEDULE OF DELIVERABLES Option Period IX -- 7/01/2016 to 6/30/2017 Processing Year 2016 Operations, Rollover to Processing Year 2017 Num Item Description of Deliverable
Processing Year 2016 7/1/2016 through 6/30/2017 Draft Project Risk Management Plan Project Risk Management Plan Monthly Work and Management Report Report on progress, problems, schedule, and plans Security Progress Report Quality Assurance Report Contact Center Call Report List of Third Party Software Developer Certifications Notification to COTR of Problems, Errors, or Breach of Security Contact Center Daily Report PC Reports Quality Control Reports System Performance Report Large Plan Monthly Report Listing of Government & Contractor Users with Credentials Record Retrieval Documentation replacement pages Transmission of Structured Data Records to End Users EBSA XML Return Transaction File EBSA Structured Return Transaction File IRS XML Return Transaction File IRS Structured Return Transaction File PBGC XML Return Transaction File PBGC Structured Return Transaction File PBGC Control File EBSA Tracking Database snapshot IRS Tracking Database snapshot EBSA Annual XML Archive File EBSA Annual E-Mail Archive File Quality Assurance Plan Final Plan Year 2017 Form / Schedule Proofs PDF Files Source Files Detailed System Design Configuration Management Plan System Security Plan Production Recruiting and Training Plan COOP Test Report -- Update VIII Quality Control Procedures Manual HW / SW Refresh Plan Implementation Plan Annual Requirements Analysis Report Contingency Plan (Continuity of Operations Plan) -- Update IX COOP Test Plan Operational Readiness Declaration Checklist Certification SAT Agency-specific distribution products Other SAT outputs Certification and Warranty IFILE Functional Specification Draft IFILE / Test Filing Tool

Quantity

Due Date

Section Reference

D901 F901 902 1 2 3 4 5 903 904 905 906 907 908 909 910 911 912 1 2 3 4 5 6 7 8 9 10 11 913 914 1 2 915 916 917 918 919 920 921 922 923 924 1 2 925 1 2 926 1 2 927 928 D929

1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1

8/1/2016 9/15/2016 Monthly Monthly Monthly Quarterly Monthly Monthly As Needed Daily Weekly Monthly Monthly Monthly Monthly As Needed As Needed Daily Daily Daily Daily Weekly Weekly Weekly Monthly Monthly 6/30/2017 6/30/2017 8/1/2016 8/1/2016 8/1/2016 8/1/2016 8/1/2016 8/1/2016 8/15/2016 9/1/2016 10/1/2016 10/1/2016 11/1/2016 11/1/2016 11/1/2016 11/1/2016 11/1/2016 11/1/2016 11/15/2016 11/15/2016 12/1/2016 2/1/2017 1/15/2017

C.24.10 C.24.12 C.24.12 C.24.12, C.22.4.1 C.24.12, C.19.19 C.24.12, C.18.17 C.24.12, C.10.6.6.4 C.24.13 C.18.18 C.6.5 C.20.15.1 C.13.8.5, C.14.4.3 C.6.6 C.10.3.4 C.9.2 C.24.16 C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.16.3, Attachment E C.16.3, C.18.9, Attachment E C.19.18 C.17.3 C.17.3 C.1.2.1.3 C.25.8 C.22.4.2.1 C.24.11 C.22.4.2.3 C.20.15.2 C.17.4 C.21.3.2 C.25.10 C.22.4.2.3 C.22.4.2.3 C.21.3.8 C.21.3.9 E.8.3, E.8.5 E.8.1.3 H.12 C.10.5.14

DOL069RP20266 Amendment 02 - Attachment 6

EFAST2 RFP Section F, Page 24 of 28

SCHEDULE OF DELIVERABLES Option Period IX -- 7/01/2016 to 6/30/2017 Processing Year 2016 Operations, Rollover to Processing Year 2017 Num
F929 930 931 932 933 1 2 934 935 936 937 938 1 2 3 939 1 2 3 940 D941 F941 D942 F942 943 1 2 944 945 946 1 2 3

Item Description of Deliverable
IFILE / Test Filing Tool Requirements Traceability Matrix (RTM) IFILE User's Guide EFAST2 Guide for Filers & Service Providers Data Dissemination Service (DDS) User's Guide(s) Public User Guide Government User Guide System Test Plan(s) System Test Report(s) Contact Center Operational Procedures Manual Service Level Agreement Software Developer Specification Software Developer User's Guide and Specifications Transmission File Structure XML DER Vol 1 & 2 Participant Acceptance Testing System (PATS) Package PATS Application PATS Procedures and Certification Criteria PATS Test Filings Third Party Software Developer Conference Materials Draft Security Risk Assessment Security Risk Assessment Draft System Documentation System Documentation Operating Capacity Report Current Operating Capacity System Sizing Analysis Benchmark Report Government End User Customer Satisfaction Survey Option Period IX Disposition/Closeout Plan Transition Plan Source Code Program materials, documentation, media, GFI, and equipment Other Key Option Period IX Activities Third Party Software Developer Conference Quarterly Quality Control Briefings Personnel Clearances Government Testing and Reviews Processing Compliance Reviews Systems Acceptance Test

Quantity
1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1

Due Date
3/1/2017 3/15/2017 3/15/2017 3/15/2017 3/15/2017 3/15/2017 As Proposed As Proposed 4/15/2017 4/15/2017 4/15/2017 4/15/2017 4/15/2017 4/15/2017 4/15/2017 4/15/2017 4/15/2017 4/15/2017 6/1/2017 4/15/2017 6/1/2017 6/30/2017 6/30/2017 6/30/2017 6/30/2017 6/30/2017 6/30/2017 6/30/2017

Section Reference
C.10.5.15 C.25.9 C.10.5.13 C.10.6.4 C.15.7 C.15.7 C.21.3.1 C.21.3.3 C.18.20 C.13.8.1 C.10.6.5 C.10.6.5 C.10.6.5 C.10.6.6.3 C.10.6.6.3 C.10.6.6.3 C.10.6.3 C.22.4.2.2 C.17.2 C.13.8.3.1 C.13.8.3.2 C.13.8.4 C.20.16 C.24.14 C.24.14 C.24.14 C.10.6.3 C.20.7 C.22.3 E.8.2 E.9 E.8.1.3

DOL069RP20266 Amendment 02 - Attachment 6

EFAST2 RFP Section F, Page 25 of 28

SCHEDULE OF DELIVERABLES Option Period X -- 7/01/2017 to 6/30/2018 Processing Year 2017 Operations, Rollover to Processing Year 2018 Num Item Description of Deliverable
Processing Year 2017 7/1/2017 through 6/30/2018 Draft Project Risk Management Plan Project Risk Management Plan Monthly Work and Management Report Report on progress, problems, schedule, and plans Security Progress Report Quality Assurance Report Contact Center Call Report List of Third Party Software Developer Certifications Notification to COTR of Problems, Errors, or Breach of Security Contact Center Daily Report PC Reports Quality Control Reports System Performance Report Large Plan Monthly Report Listing of Government & Contractor Users with Credentials Record Retrieval Documentation replacement pages Transmission of Structured Data Records to End Users EBSA XML Return Transaction File EBSA Structured Return Transaction File IRS XML Return Transaction File IRS Structured Return Transaction File PBGC XML Return Transaction File PBGC Structured Return Transaction File PBGC Control File EBSA Tracking Database snapshot IRS Tracking Database snapshot EBSA Annual XML Archive File EBSA Annual E-Mail Archive File Quality Assurance Plan Final Plan Year 2018 Form / Schedule Proofs PDF Files Source Files Detailed System Design Configuration Management Plan System Security Plan Production Recruiting and Training Plan COOP Test Report -- Update IX Quality Control Procedures Manual HW / SW Refresh Plan Implementation Plan Annual Requirements Analysis Report Contingency Plan (Continuity of Operations Plan) -- Update X COOP Test Plan Operational Readiness Declaration Checklist Certification SAT Agency-specific distribution products Other SAT outputs Certification and Warranty IFILE Functional Specification Draft IFILE / Test Filing Tool

Quantity

Due Date

Section Reference

D1001 F1001 1002 1 2 3 4 5 1003 1004 1005 1006 1007 1008 1009 1010 1011 1012 1 2 3 4 5 6 7 8 9 10 11 1013 1014 1 2 1015 1016 1017 1018 1019 1020 1021 1022 1023 1024 1 2 1025 1 2 1026 1 2 1027 1028 D1029

1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1

8/1/2017 9/15/2017 Monthly Monthly Monthly Quarterly Monthly Monthly As Needed Daily Weekly Monthly Monthly Monthly Monthly As Needed As Needed Daily Daily Daily Daily Weekly Weekly Weekly Monthly Monthly 6/30/2018 6/30/2018 8/1/2017 8/1/2017 8/1/2017 8/1/2017 8/1/2017 8/1/2017 8/15/2017 9/1/2017 10/1/2017 10/1/2017 11/1/2017 11/1/2017 11/1/2017 11/1/2017 11/1/2017 11/1/2017 11/15/2017 11/15/2017 12/1/2017 2/1/2018 1/15/2018

C.24.10 C.24.12 C.24.12 C.24.12, C.22.4.1 C.24.12, C.19.19 C.24.12, C.18.17 C.24.12, C.10.6.6.4 C.24.13 C.18.18 C.6.5 C.20.15.1 C.13.8.5, C.14.4.3 C.6.6 C.10.3.4 C.9.2 C.24.16 C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.16.3, Attachment E C.16.3, C.18.9, Attachment E C.19.18 C.17.3 C.17.3 C.1.2.1.3 C.25.8 C.22.4.2.1 C.24.11 C.22.4.2.3 C.20.15.2 C.17.4 C.21.3.2 C.25.10 C.22.4.2.3 C.22.4.2.3 C.21.3.8 C.21.3.9 E.8.3, E.8.5 E.8.1.3 H.12 C.10.5.14

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SCHEDULE OF DELIVERABLES Option Period X -- 7/01/2017 to 6/30/2018 Processing Year 2017 Operations, Rollover to Processing Year 2018 Num
F1029 1030 1031 1032 1033 1 2 1034 1035 1036 1037 1038 1 2 3 1039 1 2 3 1040 D1041 F1041 D1042 F1042 1043 1 2 1044 1045 1046 1 2 3

Item Description of Deliverable
IFILE / Test Filing Tool Requirements Traceability Matrix (RTM) IFILE User's Guide EFAST2 Guide for Filers & Service Providers Data Dissemination Service (DDS) User's Guide(s) Public User Guide Government User Guide System Test Plan(s) System Test Report(s) Contact Center Operational Procedures Manual Service Level Agreement Software Developer Specification Software Developer User's Guide and Specifications Transmission File Structure XML DER Vol 1 & 2 Participant Acceptance Testing System (PATS) Package PATS Application PATS Procedures and Certification Criteria PATS Test Filings Third Party Software Developer Conference Materials Draft Security Risk Assessment Security Risk Assessment Draft System Documentation System Documentation Operating Capacity Report Current Operating Capacity System Sizing Analysis Benchmark Report Government End User Customer Satisfaction Survey Option Period X Disposition/Closeout Plan Transition Plan Source Code Program materials, documentation, media, GFI, and equipment Other Key Option Period X Activities Third Party Software Developer Conference Quarterly Quality Control Briefings Personnel Clearances Government Testing and Reviews Processing Compliance Reviews Systems Acceptance Test

Quantity
1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1

Due Date
3/1/2018 3/15/2018 3/15/2018 3/15/2018 3/15/2018 3/15/2018 As Proposed As Proposed 4/15/2018 4/15/2018 4/15/2018 4/15/2018 4/15/2018 4/15/2018 4/15/2018 4/15/2018 4/15/2018 4/15/2018 6/1/2018 4/15/2018 6/1/2018 6/30/2018 6/30/2018 6/30/2018 6/30/2018 6/30/2018 6/30/2018 6/30/2018

Section Reference
C.10.5.15 C.25.9 C.10.5.13 C.10.6.4 C.15.7 C.15.7 C.21.3.1 C.21.3.3 C.18.20 C.13.8.1 C.10.6.5 C.10.6.5 C.10.6.5 C.10.6.6.3 C.10.6.6.3 C.10.6.6.3 C.10.6.3 C.22.4.2.2 C.17.2 C.13.8.3.1 C.13.8.3.2 C.13.8.4 C.20.16 C.24.14 C.24.14 C.24.14 C.10.6.3 C.20.7 C.22.3 E.8.2 E.9 E.8.1.3

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SCHEDULE OF DELIVERABLES Option Period XI -- 7/01/2018 to 6/30/2019 Processing Year 2018 Operations, Rollover to Processing Year 2019 Num Item Description of Deliverable
Processing Year 2018 7/1/2018 through 6/30/2019 Draft Project Risk Management Plan Project Risk Management Plan Monthly Work and Management Report Report on progress, problems, schedule, and plans Security Progress Report Quality Assurance Report Contact Center Call Report List of Third Party Software Developer Certifications Notification to COTR of Problems, Errors, or Breach of Security Contact Center Daily Report PC Reports Quality Control Reports System Performance Report Large Plan Monthly Report Listing of Government & Contractor Users with Credentials Record Retrieval Documentation replacement pages Transmission of Structured Data Records to End Users EBSA XML Return Transaction File EBSA Structured Return Transaction File IRS XML Return Transaction File IRS Structured Return Transaction File PBGC XML Return Transaction File PBGC Structured Return Transaction File PBGC Control File EBSA Tracking Database snapshot IRS Tracking Database snapshot EBSA Annual XML Archive File EBSA Annual E-Mail Archive File Quality Assurance Plan Final Plan Year 2019 Form / Schedule Proofs PDF Files Source Files Detailed System Design Configuration Management Plan System Security Plan Production Recruiting and Training Plan COOP Test Report -- Update X Quality Control Procedures Manual HW / SW Refresh Plan Implementation Plan Annual Requirements Analysis Report Contingency Plan (Continuity of Operations Plan) -- Update XI COOP Test Plan Operational Readiness Declaration Checklist Certification SAT Agency-specific distribution products Other SAT outputs Certification and Warranty IFILE Functional Specification Draft IFILE / Test Filing Tool

Quantity

Due Date

Section Reference

D1101 F1101 1102 1 2 3 4 5 1103 1104 1105 1106 1107 1108 1109 1110 1111 1112 1 2 3 4 5 6 7 8 9 10 11 1113 1114 1 2 1115 1116 1117 1118 1119 1120 1121 1122 1123 1124 1 2 1125 1 2 1126 1 2 1127 1128 D1129

1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1

8/1/2018 9/15/2018 Monthly Monthly Monthly Quarterly Monthly Monthly As Needed Daily Weekly Monthly Monthly Monthly Monthly As Needed As Needed Daily Daily Daily Daily Weekly Weekly Weekly Monthly Monthly 6/30/2019 6/30/2019 8/1/2018 8/1/2018 8/1/2018 8/1/2018 8/1/2018 8/1/2018 8/15/2018 9/1/2018 10/1/2018 10/1/2018 11/1/2018 11/1/2018 11/1/2018 11/1/2018 11/1/2018 11/1/2018 11/15/2018 11/15/2018 12/1/2018 2/1/2019 1/15/2019

C.24.10 C.24.12 C.24.12 C.24.12, C.22.4.1 C.24.12, C.19.19 C.24.12, C.18.17 C.24.12, C.10.6.6.4 C.24.13 C.18.18 C.6.5 C.20.15.1 C.13.8.5, C.14.4.3 C.6.6 C.10.3.4 C.9.2 C.24.16 C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.15.3.4, Attachment E C.16.3, Attachment E C.16.3, C.18.9, Attachment E C.19.18 C.17.3 C.17.3 C.1.2.1.3 C.25.8 C.22.4.2.1 C.24.11 C.22.4.2.3 C.20.15.2 C.17.4 C.21.3.2 C.25.10 C.22.4.2.3 C.22.4.2.3 C.21.3.8 C.21.3.9 E.8.3, E.8.5 E.8.1.3 H.12 C.10.5.14

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SCHEDULE OF DELIVERABLES Option Period XI -- 7/01/2018 to 6/30/2019 Processing Year 2018 Operations, Rollover to Processing Year 2019 Num
F1129 1130 1131 1132 1133 1 2 1134 1135 1136 1137 1138 1 2 3 1139 1 2 3 1140 D1141 F1141 D1142 F1142 1143 1 2 1144 1145 1146 1 2 3

Item Description of Deliverable
IFILE / Test Filing Tool Requirements Traceability Matrix (RTM) IFILE User's Guide EFAST2 Guide for Filers & Service Providers Data Dissemination Service (DDS) User's Guide(s) Public User Guide Government User Guide System Test Plan(s) System Test Report(s) Contact Center Operational Procedures Manual Service Level Agreement Software Developer Specification Software Developer User's Guide and Specifications Transmission File Structure XML DER Vol 1 & 2 Participant Acceptance Testing System (PATS) Package PATS Application PATS Procedures and Certification Criteria PATS Test Filings Third Party Software Developer Conference Materials Draft Security Risk Assessment Security Risk Assessment Draft System Documentation System Documentation Operating Capacity Report Current Operating Capacity System Sizing Analysis Benchmark Report Government End User Customer Satisfaction Survey Option Period XI Disposition/Closeout Plan Transition Plan Source Code Program materials, documentation, media, GFI, and equipment Other Key Option Period XI Activities Third Party Software Developer Conference Quarterly Quality Control Briefings Personnel Clearances Government Testing and Reviews Processing Compliance Reviews Systems Acceptance Test

Quantity
1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1

Due Date
3/1/2019 3/15/2019 3/15/2019 3/15/2019 3/15/2019 3/15/2019 As Proposed As Proposed 4/15/2019 4/15/2019 4/15/2019 4/15/2019 4/15/2019 4/15/2019 4/15/2019 4/15/2019 4/15/2019 4/15/2019 6/1/2019 4/15/2019 6/1/2019 6/30/2019 6/30/2019 6/30/2019 6/30/2019 6/30/2019 6/30/2019 6/30/2019

Section Reference
C.10.5.15 C.25.9 C.10.5.13 C.10.6.4 C.15.7 C.15.7 C.21.3.1 C.21.3.3 C.18.20 C.13.8.1 C.10.6.5 C.10.6.5 C.10.6.5 C.10.6.6.3 C.10.6.6.3 C.10.6.6.3 C.10.6.3 C.22.4.2.2 C.17.2 C.13.8.3.1 C.13.8.3.2 C.13.8.4 C.20.16 C.24.14 C.24.14 C.24.14 C.10.6.3 C.20.7 C.22.3 E.8.2 E.9 E.8.1.3

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Attachment 7
Section J List of Attachments

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PART III - LIST OF DOCUMENTS, EXHIBITS, AND OTHER ATTACHMENTS SECTION J – LIST OF ATTACHMENTS

Attachment A: Attachment B: Attachment C:

Return Processing Volumes for Processing Years 2002, 2003, and 2004 Requirements Traceability Matrix, as amended in Amendment 02 Edit Test Failure Rates for Processing Years 2002, 2003, and 2004

Attachment D.2008: Plan Year 2008 Form 5500 Series Forms and Schedules

Attachment D.2009: Plan Year 2009 Form 5500 Series Forms and Schedules

Attachment E.2009: Processing Year 2009 Interface Requirements Document (IRD), as amended in Amendment 02 Attachment F: Attachment G: Attachment H: Sample Edit Test Mask/Stable List Third Party Software Certification Criteria List all Reference Materials Available in the Reference Library

Attachment I: Attachment J: Attachment K: Attachment L:

EFAST2 Performance Standards Methodology Requirements, as amended in Amendment 02 Production Control and Tracking Database Requirements, as amended in Amendment 02 SDLCM Reserved

Attachment M:

Definition of Terms

Attachment N:

Government and Industry Standards

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Attachment O:

Potential Enhancements

Attachment P.2008:

2008 XML Data Elements Requirements (DER), volumes 1 & 2, as amended in Amendment 02

Attachment P.2009:

2009 XML Data Elements Requirements (DER), volumes 1 & 2

Attachment Q:

Cost Plus Award Fee Evaluation Criteria, as amended in Amendment 02

Attachment R:

Quality Assurance Plan and Fixed Price Incentive Payment Methodology

Attachment S:

Contact Center Statistics

Attachment T:

Hardware and Software Cost Reimbursement, as amended in Amendment 02

Attachment U:

Contractor Performance Evaluation Survey

Attachment V:

EFAST2 Rollover Schedule

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Attachment 8
Attachment E EFAST2 Interface Requirements Document (IRD) Processing Year 2009 (Plan Years 2008/2009)

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EFAST2 Interface Requirements Document
Table of Contents

Operational Date: January 1, 2009 Revision Date: October 2006

1.

Introduction ..................................................................................................................................................... 1 Purpose ....................................................................................................................................................... 1 EFAST2 Description.................................................................................................................................... 1 2. EFAST2 Files Delivered To Government ....................................................................................................... 2 2.1 EFAST2 Files Delivered to EBSA ............................................................................................................... 2 2.1.1 EBSA XML Return Transaction File .................................................................................................... 3 2.1.2 EBSA Structured Return Transaction File ........................................................................................... 4 2.1.3 EBSA Tracking Database .................................................................................................................... 5 2.1.4 EBSA Annual XML Archive File........................................................................................................... 6 2.1.5 EBSA Annual E-mail Archive File ........................................................................................................ 7 2.2 EFAST2 Files Delivered to IRS................................................................................................................... 9 2.2.1 IRS XML Return Transaction File ...................................................................................................... 10 2.2.2 IRS Structured Return Transaction File............................................................................................. 11 2.2.3 IRS Tracking Database ........................................................................................................................... 12 2.3 EFAST2 Files Delivered to PBGC ............................................................................................................ 13 2.3.1 PBGC XML Return Transaction File.................................................................................................. 14 2.3.2 PBGC Structured Return Transaction File......................................................................................... 15 2.3.3 PBGC Control File ............................................................................................................................. 16 3 Contacts ........................................................................................................................................................... 17 Appendix A – XML SCHEMA .................................................................................................................................... 1 Appendix B – PHYSICAL RECORD LAYOUT .......................................................................................................... 1 B.1 Filing Header ............................................................................................................................................... 2 B.2 Generated Fields Layout............................................................................................................................. 3 B.3 5500 Layout................................................................................................................................................. 4 B.4 5500SF Record Layout ............................................................................................................................... 7 B.5 Schedule A Record Layout ....................................................................................................................... 10 B.6 Schedule A Part 1 Record Layout............................................................................................................. 13 B.7 Schedule B Record Layout ....................................................................................................................... 14 B.8 Schedule B Part 1 Record Layout............................................................................................................. 18 B.9 Schedule B Part 2 Record Layout............................................................................................................. 18 B.10 Schedule C Record Layout ....................................................................................................................... 19 B.11 Schedule C Part 1 Record Layout ............................................................................................................ 19 B.12 Schedule C Part 2 Record Layout ............................................................................................................ 20 B.13 Schedule C Part 3 Record Layout ............................................................................................................ 20 B.14 Schedule C Part 4 Record Layout ............................................................................................................ 20 B.15 Schedule C Part 5 Record Layout ............................................................................................................ 21 B.16 Schedule C Part 6 Record Layout ............................................................................................................ 22 B.17 Schedule D Record Layout ....................................................................................................................... 23 B.18 Schedule D Part 1 Record Layout ............................................................................................................ 23 B.19 Schedule D Part 2 Record Layout ............................................................................................................ 23 B.20 Schedule G Record Layout ....................................................................................................................... 24 B.21 Schedule G Part 1 Record Layout ............................................................................................................ 24 B.22 Schedule G Part 2 Record Layout ............................................................................................................ 25 B.23 Schedule H Record Layout ....................................................................................................................... 26 B.24 Schedule H Part 1 Record Layout ............................................................................................................ 29 B.25 Schedule I Record Layout......................................................................................................................... 30 B.26 Schedule I Part 1 Record Layout .............................................................................................................. 31 B.27 Schedule R Record Layout ....................................................................................................................... 32 B.28 Schedule R Part 1 Record Layout ............................................................................................................ 33 B.29 Tracking Record Layout ............................................................................................................................ 33 B.30 Control Record Layout .............................................................................................................................. 35 1.1 1.2

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EFAST2 Interface Requirements Document

Operational Date: January 1, 2009 Revision Date: October, 2006

1. 1.1

Introduction Purpose This document defines the files that will be exchanged between the Department of Labor’s Employee Benefits Security Administration DOL/EBSA, Internal Revenue Service (IRS), Pension Benefit Guaranty Corporation (PBGC), and the ERISA Filing Acceptance System (EFAST2). Included in this document are: • • • File Names, Descriptions, and Formats Physical Record Layouts (Appendix A) Data Element Definitions (Appendix B)

1.2

EFAST2 Description The ERISA Filing Acceptance System will be built and operated by a vendor under contract to the Department of Labor. This system will process from Form 5500 series returns. This data will be distributed to the three federal agencies -- the EBSA, IRS, and PBGC -- charged with carrying out various provisions of ERISA and other applicable statutes. The IRS will share this data with the Social Security Administration (SSA).

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EFAST2 Interface Requirements Document

Operational Date: January 1, 2009 Revision Date: October, 2006

2. 2.1

EFAST2 Files Delivered To Government EFAST2 Files Delivered to EBSA The following requirements apply to all files delivered to the EBSA: The vendor shall provide an Ipsec VPN tunnel connection to an EBSA secure drop box server. The vendor shall sign and adhere to an Interconnection Security Agreement ensuring that proper security controls are in place. Every day the vendor shall push the EBSA Structured Return Transaction and XML files to the EBSA server. (Pushing the files will involve connecting to the EBSA secure drop box server through the VPN, FTP-ing files to a specified directory, then renaming the files into the specified directory.) The vendor shall include the same filings on each daily XML and Structured Return Transaction File distributions. Each distribution shall include all “accepted” filings received by EFAST2 since the prior distribution was created. Monthly, the vendor shall also push the Tracking Database to the EBSA server. The contents of this delivery shall be the same records as those used by the Contractor in its reporting of performance standards described in Section C.2 of the contract.

The vendor shall limit the size of any single pushed file to 15G so it can be transmitted successfully. Should a distribution exceed the 15G file size limit, the vendor shall create multiple files. For example, if the daily EBSA XML distribution file is 35G in size, the vendor shall distribute two files of 15G and one file of 5G in size. Each filename shall be unique to prevent file collision/overwriting. The vendor shall have the capability to re-create the distribution files if errors are found. The vendor shall have the capability to re-push the files, using the original file names, for up to 30 days after the files are originally distributed if requested by EBSA. The vendor shall maintain copies of distributed files on the EFAST2 Web Portal data distribution system for manual retrieval by EBSA employees in the event that the secure drop box is unavailable.

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2.1.1

EBSA XML Return Transaction File File Characteristics File Name: Record Format: Compression: Transmission Method: Frequency:

P260YYYYMMDD01a.ZIP (YYYY=Year; MM=Month; DD=Day) XML ZIP IPSec VPN Daily

Format Description This distribution shall contain the EBSA XML Return Transaction records. The zipped filename contains an alpha suffix (beginning with a) that the vendor will increment in multiple files distributed on the same day to prevent potential file collision/overwriting. File Description This file contains the same filings as on the EBSA Structured Return Transaction File, but in XML format. This file consists of a BatchDistribution; each BatchDistribution contains a FilingCount and zero or more ProcessedFiling elements. If EFAST2 does not have any filings to be included on a distribution, a BatchDistribution should be created with FilingCount = 0 and no ProcessedFiling elements.

Selection Criteria All “accepted” filings shall be delivered.

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2.1.2

EBSA Structured Return Transaction File File Characteristics File Name: Record Format: Max Record Length: Compression: Transmission Method: Frequency:

P260YYYYMMDD02a.ZIP (YYYY = Year; MM = Month; DD = Day) Fixed length ASCII Different records lengths for each table. See Appendix B. ZIP IPSec VPN Daily

Format Description This distribution shall contain the EBSA Structured Return Transaction records. The zipped filename contains an alpha suffix (beginning with a) that the vendor will increment in multiple files distributed on the same day to prevent potential file collision/overwriting. The zipped file shall contain several tables, each named in accordance with the required filename indicated in Appendix B. The contractor shall include a space, as a delimiter, between each field on every table delivered. File Description This file contains the same filings as on the daily EBSA XML Return Transaction File, but in ASCII format. The vendor shall also provide EBSA with all attachments in pdf format that accompany a filing. These attachments should have the capability of being linked to the Structured Return Transaction File through a unique identifier. Selection Criteria All “accepted” filing records in the following tables shall be delivered: B.1, B.2, B.3, B.4, B.5, B.6, B.7, B.8, B.9, B.10, B.11, B.12, B.13, B.14, B.15, B.16, B.17, B.18, B.19, B.20 B.21, B.22, B.23, B.24, B.25, B.26, B.27, B.28. See Appendix B for physical layout of each table.

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2.1.3

EBSA Tracking Database File Characteristics File Name: Record Format: Max Record Length: Compression: Transmission Method: Frequency:

EFAST2Tracking@YYYYMMDDa.ZIP (YYYY = Year; MM = Month; DD = Day) Fixed length ASCII TBP ZIP IPSec VPN Monthly

Format Description This zipped file shall contain one table. The zipped filename contains an alpha suffix (beginning with a) that the vendor will increment in multiple files distributed on the same day to prevent potential file collision/overwriting. The table shall be named in accordance with the required Tracking database file name indicated in Appendix B. The Contractor shall include a space, as a delimiter, between each field in the table delivered. File Description This file contains a snapshot of the Tracking Database as described in Section C.6 and Attachment J of the contract. The contents of this delivery shall be the same records as those used by the Contractor in its reporting of performance standards described in Section C.2 of the contract. Selection Criteria All records in the Tracking Database shall be delivered.

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2.1.4

EBSA Annual XML Archive File File Characteristics File Name: Record Format: Max Record Length: Compression: Transmission Method: Frequency:

XMLArchiveYYYYMMDD (YYYY = Year; MM = Month; DD = Day) XML TBP None Media Annually

Format Description XML files must be uncompressed and include all associated files that are pulled together to create the web content record being transferred as well as an XML schema (WXS) or a Document Type Definition (DTD) and appropriate style sheet(s). File Description At the end of each option period, the Contractor shall prepare to deliver system documentation and the IMA to the Government for retirement to the National Archives. At the end of the first year of processing, this file will contain all filings from the XML Repository. Subsequent deliveries shall contain all filings processed since the previous distribution. Media Open-reel magnetic tape must be on 1/2 inch 9-track tape reels recorded at 1600 or 6250 bpi that meet ANSI X3.39-1986, American National Standard: Recorded Magnetic Tape for Information Interchange (1600 CPI, PE) or ANSI X3.54-1986, American National Standard: Recorded Magnetic Tape for Information Interchange (6250 CPI, Group Coded Recording), respectively. Or Tape cartridges may be 18-track 3480-class cartridges. The 3480-class cartridge must be recorded at 37,871 bpi that meet ANSI X3.180-1990, American National Standard: Magnetic Tape and Cartridge for Information Interchange--18-Track, Parallel, 1/2 inch (12.65 mm), 37871 cpi (1491 cpmm), Group-Coded-Requirements for Recording. The data must be blocked at no more than 32,760 bytes per block. Selection Criteria All filings shall be delivered.

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2.1.5

EBSA Annual E-mail Archive File File Characteristics File Name: Record Format: Max Record Length: Compression: Transmission Method: Frequency:

EFAST2EmailArchiveYYYY TBP TBP None Media Annually

Format Description Permanent e-mail messages and their attachments must be provided in either ASCII text format (e-mail records), standard markup language, or in their native formats according to the following: • • • Transfers of e-mail records must consist of an identifiable, organized body of records. E-mail should come from e-mail systems or from a DoD 5015.2-STD certified Records Management Application (RMA). If using a standard markup language, the e-mail and their attachments must be in a format that contains: o Delimiters to indicate the beginning and end of each message and the beginning and end of each attachment, if any. Each attachment must be differentiated from the body of the message, and uniquely identified. Labels to identify each part of the message (Date, To [all recipients, including cc: and bc: copies], From, Subject, Body, and Attachment) including transmission and receipt information (Time Sent, Time Opened, Message Size, File Name, and similar information, if available). Agencies that use an e-mail system that identifies users by codes or nicknames, or identifies addressees only by the name of a distribution list 2 should include information with the transfer-level documentation, to ensure identification of the sender and addressee(s).

o

If the file cannot be produced in a markup language, e-mail messages and their attachments can be submitted in their native formats. Each attachment should be labeled with its filename and the default file extension to indicate the proprietary software used to create the attachment. If attachment file names do not include the default file extension (e.g., .doc, .xls), documentation must be provided identifying the proprietary formats used to create each attachment. E-mail messages cannot be converted to a Portable Document Format (PDF) or other image file format for purposes of this file. However, attachments to e-mail messages may be submitted in their native formats, such as PDF, other image file formats, and common office automation formats.

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EFAST2 Interface Requirements Document

Operational Date: January 1, 2009 Revision Date: October, 2006

File Description At the end of each option period, the Contractor shall prepare to deliver system documentation and the email archive file to the Government for retirement to the National Archives. At the end of the first year of processing, this file will contain all e-mails and e-mail attachments received. Subsequent deliveries shall contain all e-mails and attachments received since the previous distribution. The system documentation accompanying the annual e-mail archive file shall include: • • • • • • • • Media This file should consist of a single uncompressed file on: Open-reel magnetic tape must be on 1/2 inch 9-track tape reels recorded at 1600 or 6250 bpi that meet ANSI X3.39-1986, American National Standard: Recorded Magnetic Tape for Information Interchange (1600 CPI, PE) or ANSI X3.54-1986, American National Standard: Recorded Magnetic Tape for Information Interchange (6250 CPI, Group Coded Recording), respectively. Or Tape cartridges may be 18-track 3480-class cartridges. The 3480-class cartridge must be recorded at 37,871 bpi that meet ANSI X3.180-1990, American National Standard: Magnetic Tape and Cartridge for Information Interchange--18-Track, Parallel, 1/2 inch (12.65 mm), 37871 cpi (1491 cpmm), Group-Coded-Requirements for Recording. The data must be blocked at no more than 32,760 bytes per block. Note: Requirements for Media Transfer cited in Part 1228 – Disposition of Federal Records, Subpart L – Transfer of Records to the National Archives of the United States. Selection Criteria All e-mails and e-mail attachments for a given processing year shall be delivered. E-mail application and version(s) (e.g., Microsoft Exchange v5.5) Operating system and version(s) (e.g., Microsoft Windows NT v4.0) RMA (if applicable) and version Total number of messages Total number of attachments List of message delimiters and definitions Structure used for each e-mail item in the transfer (see Format Description) Arrangement of records in the transfer

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2.2

EFAST2 Files Delivered to IRS The following requirements apply to all files delivered to the IRS: The vendor shall provide an Ipsec VPN tunnel connection to an IRS secure drop box server (the IRS Enterprise File Transfer Utility (EFTU)). The vendor (or EBSA) shall sign and adhere to an Interconnection Security Agreement ensuring that proper security controls are in place. Every day the vendor shall push the IRS Structured Return Transaction and XML files to the IRS EFTU server. (Pushing the files will involve connecting to the IRS secure drop box server through the VPN, FTP-ing files to a specified directory, then renaming the files into the EFTU directory.) The vendor shall include the same filings on each daily XML and Structured Return Transaction File distributions. Each distribution shall include all “accepted” original or amended pension filings received by EFAST2 since the prior distribution was created. Monthly, the vendor shall also push the Tracking Database in its entirety to the IRS server. The vendor shall limit the size of any single pushed file to 15G so it can be transmitted successfully. Should a distribution exceed the 15G file size limit, the vendor shall create multiple files. For example, if the daily EBSA XML distribution file is 35G in size, the vendor shall distribute two files of 15G and one file of 5G in size. Each filename shall be unique to prevent file collision/overwriting.

The vendor shall have the capability to re-create the distribution files if errors are found. The vendor shall have the capability to re-push the files, using the original file names, for up to 30 days after the files are originally distributed if requested by IRS (through EBSA).

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2.2.1

IRS XML Return Transaction File File Characteristics File Name: Record Format: Max Record Length: Compression: Transmission Method: Frequency:

I260YYYYMMDD01a.ZIP (YYYY = Year; MM = Month; DD = Day) XML N/A ZIP IPSec VPN Daily

Format Description This distribution shall contain the IRS XML Return Transaction records. The zipped file will contain an alpha suffix (beginning with a) that the vendor will increment in multiple files distributed on the same day to prevent potential file collision/overwriting. File Description This file contains the same filings as on the daily IRS Structured Return Transaction File, but in XML format. This file consists of a BatchDistribution; each BatchDistribution contains a FilingCount and zero or more ProcessedFiling elements. If EFAST2 does not have any filings to be included on a distribution, a BatchDistribution should be created with FilingCount = 0 and no ProcessedFiling elements. See Appendix A for the XML distribution Schema. Selection Criteria SPONS-DFE-PN < 501 OR TYPE-PENSION-BNFT-CODE is non-blank

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2.2.2

IRS Structured Return Transaction File File Characteristics File Name: Record Format: Max Record Length: Transmission Method: Compression: Frequency:

I260YYYYMMDD02a.ZIP (YYYY = Year; MM =Month; DD = Day) Fixed length ASCII Different records lengths for each table. See Appendix B. IPSec VPN ZIP Daily

Format Description This distribution shall contain the IRS Structured Return Transaction records. The (zipped) file will contain an alpha suffix (beginning with a) that the vendor will increment in multiple files distributed on the same day to prevent potential file collision/overwriting. The zipped file shall contain several tables, each named in accordance with the required filename as indicated in Appendix B. The Contractor shall include a space, as a delimiter, between each field on every table delivered. File Description This file contains the same filings as on the daily IRS XML Return Transaction File, but in but in ASCII format. If EFAST2 does not have any filings to be included on a distribution, this file should not be created, but a Control Record file should be created showing zero returns on the data distribution. Selection Criteria All accepted filing records where SPONS-DFE-PN < 501 OR TYPE-PENSION-BNFT-CODE is non-blank in the following tables shall be delivered: B.1, B.2, B.3, B.4, B.5, B.6, B.7, B.8, B.9, B.10, B.11, B.12, B.13, B.14, B.15, B.16, B.17, B.18, B.19, B.20 B.21, B.22, B.23, B.24, B.25, B.26, B.27, B.28. See Appendix B for physical layout of each table.

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2.2.3 IRS Tracking Database File Characteristics File Name: Record Format: Max Record Length: Compression: Transmission Method: Frequency:

EFAST2Tracking.@YYYYMMDDa.ZIP (YYYY = Year; MM = Month; DD = Day) Fixed length ASCII TBP ZIP IPSec VPN Monthly

Format Description This zipped file shall contain one table. The zipped filename contains an alpha suffix (beginning with a) that the vendor will increment in multiple files distributed on the same day to prevent potential file collision/overwriting. The table shall be named in accordance with the required Tracking database file name indicated in Appendix B. The Contractor shall include a space, as a delimiter, between each field in the table delivered. File Description This file contains a snapshot of the Tracking Database as described in Section C.6 and Attachment J of the contract. The contents of this delivery shall be the same records as those used by the Contractor in its reporting of performance standards described in Section C.2 of the contract. Selection Criteria All records in the Tracking Database shall be delivered.

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2.3

EFAST2 Files Delivered to PBGC The following requirements apply to all files delivered to the PBGC: The vendor shall provide an Ipsec VPN tunnel connection to a PBGC secure drop box server. The vendor (or EBSA) shall sign and adhere to an Interconnection Security Agreement ensuring that proper security controls are in place. Every week the vendor shall push the PBGC Structured Return Transaction and XML files to the PBGC server. (Pushing the files will involve connecting to the PBGC secure drop box server through the VPN, FTP-ing files to a specified directory, then renaming the files into the proper directory.) The vendor shall include the same filings on each daily XML and Structured Return Transaction File distributions. Each distribution shall include all “accepted” original or amended pension filings received by EFAST2 since the prior distribution was created.

The vendor shall limit the size of any single pushed file to 15G so it can be transmitted successfully. Should a distribution exceed the 15G file size limit, the vendor shall create multiple files. For example, if the daily EBSA XML distribution file is 35G in size, the vendor shall distribute two files of 15G and one file of 5G in size. Each filename shall be unique to prevent file collision/overwriting.

The vendor shall have the capability to re-create the distribution files if errors are found. The vendor shall have the capability to re-push the files, using the original file names, for up to 30 days after the files are originally distributed if requested by PBGC (through EBSA).

Each week, the vendor shall also create CD(s) containing the PBGC Structured Return Transaction distribution files and the Control File. The contractor shall provide a cover memorandum to PBGC regarding the shipment of the CD. The memorandum shall contain the following information: Date PBGC Recipient Name and address Reference to contract Enclosure including processing cycle Subject Body of letter including: DATA SET NAME RECORD COUNT TYPE OF DATA CREATION DATE OF DATA FILE 5500 COUNT 5500SF COUNT SCHEDULES COUNT TRANSMISSION DATE

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2.3.1

PBGC XML Return Transaction File File Characteristics File Name: Record Format: Max Record Length: Compression: Transmission Method: Frequency:

P260YYYYMMDD01a.ZIP (YYYY = Year; MM = Month; DD = Day) XML N/A ZIP IPSec VPN Weekly

Format Description This file shall contain the PBGC XML Return Transaction records.. The zipped file will contain an alpha suffix (beginning with a) that the vendor will increment in multiple files distributed on the same day to prevent potential file collision/overwriting. File Description This file contains the same filings as on the weekly PBGC Structured Return Transaction File, but in XML format. This file consists of a BatchDistribution; each BatchDistribution contains a FilingCount and zero or more ProcessedFiling elements. If EFAST2 does not have any filings to be included on a distribution, a BatchDistribution should be created with FilingCount = 0 and no ProcessedFiling elements. See Appendix A for the XML distribution Schema. Selection Criteria All accepted filing records where SPONS-DFE-PN < 501 OR TYPE-PENSION-BNFT-CODE is non-blank in the following tables shall be delivered: B.1, B.2, B.3, B.4, B.5, B.6, B.7, B.8, B.9, B.10, B.11, B.12, B.13, B.14, B.15, B.16, B.17, B.18, B.19, B.20 B.21, B.22, B.23, B.24, B.25, B.26, B.27, B.28. See Appendix B for physical layout of each table.

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2.3.2

PBGC Structured Return Transaction File File Characteristics File Name: Character Set: Label: Record Format: Transmission Method: Compression: Frequency:

P260YYYYMMDD02a.ZIP (YYYY = Year; MM = Month; DD = Day) ASCII NA Variable Blocked (VB) Compact Disc(s) (CD) and IPSec VPN (Both Methods must be supported) ZIP Weekly

Format Description This file shall contain the PBGC Structured Return Transaction records. The (zipped) file will contain an alpha suffix (beginning with a) that the vendor will increment in multiple files distributed on the same day to prevent potential file collision/overwriting.. The zipped file shall contain several tables, each named in accordance with the required filename as indicated in Appendix B. The Contractor shall include a space, as a delimiter, between each field on every table delivered. File Description This file contains the same filings as on the weekly PBGC XML Return Transaction File, but in ASCII format. The record identification will enable us to merge records in each subdirectory by DLN. If EFAST2 does not have any filings to be included on a distribution, this file should not be created, but a Control Record file should be created showing zero returns on the data distribution. Media The CD shall be NTFS formatted. The root directory shall be in yyyyww, identifying year and week of the transaction file. Contained under the root directory is a compressed (zipped) file containing all records under that year/week for each component (Form / Schedule), for example: Root Directory: 200901 F5500.zip F5500SF.zip Sch_A.zip Sch_B.zip Sch_C.zip, etc. Selection Criteria SPONS-DFE-PN < 501 OR TYPE-PENSION-BNFT-CODE is non-blank Vendor shall spilt files across multiple CDs as necessary to accommodate file sizes in excess of CD storage capacity.

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2.3.3

PBGC Control File File Characteristics File Name: Data Set Name: Record Format: Max Record Length: Transmission Method: Compression: Frequency:

P260YYYYMMDD03.ZIP (YYYY = Year; MM = Month; DD = Day) PDPEM.P260xx.F003.@YYYYJJJ (YYYY = Year; JJJ = Julian Date) Fixed length ASCII 256 Compact Disc(s) (CD) and IPSec VPN (Both Methods must be supported) None Weekly

Format Description This file shall contain one Control Record. The Contractor shall include a space, as a delimiter, between each field in the record delivered. File Description This file contains a single record which has information about the transaction files. This file will be used by the PBGC to verify that complete files were received from EFAST2 and that all records were processed by PBGC. If no processable returns have been received by EFAST2 since the creation of the prior distribution, a Control File should still be created and sent to the PBGC containing counts of zero.

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3

Contacts DOL EBSA Files should be distributed electronically to the EBSA; however, if files are created on CD for the DOL, the CD should be shipped to: Annie McCauley (Computer Specialist) Department of Labor Room N5510 200 Constitution Ave, NW Washington, DC 20210 E-mail: mccauley.annie@dol.gov Voice: 202-693-8587 Fax: 202-219-8656 IRS Files should be distributed electronically to the IRS; however, if files are created on CD for the IRS, the CD should be shipped to: Enterprise Computing Center - MTB/IRS ATTN: EFAST/UPLOADING/TL - Operations Br. 250 Murall Drive Kearneysville, WV 25430 E-mail: TBD PBGC John Thompson Pension Benefit and Guaranty Corporation 1200 K Street, NW Room 11213 Washington, DC 20005-4026 Email: TBD

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Appendix A – XML Schema

Operational Date: January 1, 2009 Revision Date: June 5, 2006

Appendix A – XML SCHEMA

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Appendix B – Physical Record Layout

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Appendix B – PHYSICAL RECORD LAYOUT

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Appendix B – Physical Record Layout

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B.1

Filing Header

NOTE: The first field in each table begins at position 0. Each subsequent field is separated by a blank. A blank also follows the last field in each table. Leading zeroes must be retained. TBP: System generated fields To Be Proposed by Contractor; Ref: Refers to Variable Number. Type C: Character; Type N: Number
File Name: PDPEM.FILINGHEADER Element # 001 002 003 004 005 006 007 008 009 010 011 012 013 014 015 016 017 018 DLN FILING-ID FILING-HEADER-TIMESTAMP FILING-HEADER-EIN FILING-HEADER-PN FILING-HEADER-PLAN-YEAR-BEGIN FILING-HEADER-PLAN-YEAR-END FILING-HEADER-AMENDED-IND FILING-HEADER-REF-ACK-ID FILING-HEADER-FORM-YEAR FILING-HEADER-FORM-VERSION FILING-HEADER-FILING-SOFTWAREID ADMIN-SIGNATURE-DATE ADMIN-SIGNATURE-SIGNED-NAME SPONSOR-SIGNATURE-DATE SPONSOR-SIGNATURE-SIGNED-NAME DFE-SIGNATURE-DATE DFE-SIGNATURE-SIGNED-NAME Total Record Length TBP Date: 6/5/2006

Element Name

Dec

Length Type

Ref

Remarks

0

14 20 20 9 3 8 8 1 TBP 4 TBP TBP 8 35 8 35 8 35

N C C C C C C C C C C C C C C C C C

2007.00 1500.00 1501.00 1502.00 1503.00 1503.50 YYYYMMDD 1504.00 YYYYMMDD 1505.00 1505.50 1506.00 YYYY 1507.00 1507.50 1510.00 YYYYMMDD 1511.00 1514.00 YYYYMMDD 1515.00 1515.70 YYYYMMDD 1515.80

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B.2

Generated Fields Layout
File Name: PDPEM.GENERATED Element # 001 002 003 004 005 006 007 008 009 010 011 012 013 014 015 016 017 018 019 020 021 022 023 024 025 026 027 028 029 030 031 032 033 034 035 036 DLN SUBMISSION-REQUEST-ID TRANSMISSION-FROM-URI TRANSMISSION-MESSAGETIMESTAMP TRANSMITTER-ID TRANSMISSION-SOFTWARE-ID TRANSMISSION-RESPONSE-ID TRANSMISSION-RESPONSETIMESTAMP SPONS-SIGNATURE-IND DFE-SIGNATURE-IND ADMIN-SIGNATURE-IND AGENT-SIGNATURE-IND ORIGINAL-DUE-DATE SUBMITTED-DATE BYPASS-C BYPASS-E BYPASS-F BYPASS-G BYPASS-H BYPASS-I BYPASS-J BYPASS-K BYPASS-M BYPASS-N BYPASS-O BYPASS-P BYPASS-S BYPASS-T BYPASS-W BYPASS-X BYPASS-Z ACK-ID FILING-STATUS RECEIVED-TIMESTAMP VALIDATED-TIMESTAMP COMPLETED-PROC-TIMESTAMP Total Record Length TBP Date: 6/5/2006

Element Name

Dec

Length Type

Ref

Remarks

0

14 20 100 25 8 8 20 25 1 1 1 1 8 8 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 TBP 30 25 25 25

N C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C

2007.00 2000.00 2000.50 2000.60 2000.70 2001.00 2004.00 2005.00 1582.00 1582.50 1583.00 1584.00 1586.00 YYYYMMDD 1587.00 YYYYMMDD 1591.00 1593.00 1594.00 1595.00 1596.00 1597.00 1598.00 1599.00 1600.00 1601.00 1602.00 1603.00 1604.00 1605.00 1607.00 1607.50 1608.00 1621.00 1622.00 1621.00 1624.00

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B.3

5500 Layout
File Name: PDPEM.F5500 Element # 001 002 003 004 005 006 007 008 009 010 011 012 013 014 015 016 017 018 019 020 021 022 023 024 025 026 027 028 029 030 031 032 033 034 035 036 037 038 DLN FORM-PLAN-YEAR-BEGIN-DATE FORM-TAX-PRD TYPE-PLAN-ENTITY-CD TYPE-DFE-PLAN-ENTITY-CD INITIAL-FILING-IND AMENDED-IND FINAL-FILING-IND SHORT-PLAN-YR-IND COLLECTIVE-BARGAIN-IND EXT-APPLICATION-FILED-IND PLAN-NAME SPONS-DFE-PN PLAN-EFF-DATE SPONSOR-DFE-NAME SPONS-DFE-DBA-NAME SPONS-DFE-CARE-OF-NAME SPONS-DFE-MAIL-US-ADDRESS1 SPONS-DFE-MAIL-US-ADDRESS2 SPONS-DFE-MAIL-US-CITY SPONS-DFE-MAIL-US-STATE SPONS-DFE-MAIL-US-ZIP SPONS-DFE-MAIL-FOREIGNADDRESS1 SPONS-DFE-MAIL-FOREIGNADDRESS2 SPONS-DFE-MAIL-FOREIGN-CITY SPONS-DFE-MAIL-FOREIGN-PROVSTATE SPONS-DFE-MAIL-FOREIGN-CNTRY SPONS-DFE-MAIL-FOREIGN-POSTALCD SPONS-DFE-LOC-MAIL-US-ADDRESS1 SPONS-DFE-LOC-MAIL-US-ADDRESS2 SPONS-DFE-LOC-MAIL-US-CITY SPONS-DFE-LOC-MAIL-US-STATE SPONS-DFE-LOC-MAIL-US-ZIP SPONS-DFE-LOC-MAIL-FOREIGNADDRESS1 SPONS-DFE-LOC-MAIL-FOREIGNADDRESS2 SPONS-DFE-LOC-MAIL-FOREIGN-CITY SPONS-DFE-LOC-MAIL-FOREIGNPROV-STATE SPONS-DFE-LOC-MAIL-FOREIGNDate: 6/5/2006

Element Name

Dec

Length Type

Ref

Remarks

0 15 24 33 35 37 39 41 43 45 47 49 190 194 203 274 310 347 383 419 442 445 458 494 530 553 576 579 602 638 674 697 700 713 749 785 808 831

14 8 8 1 1 1 1 1 1 1 1 140 3 8 70 35 35 35 35 22 2 12 35 35 22 22 2 22 35 35 22 2 12 35 35 22 22 2

N C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C

2007.00 0092.00 YYYYMMDD 0093.00 YYYYMMDD 0094.00 0095.00 0096.01 0096.02 0096.03 0096.04 0097.00 0098.00 0099.00 0100.00 0102.00 YYYYMMDD 0103.00 0105.00 0106.00 0107.01 0107.02 0107.03 0107.04 0107.05 0107.06 0107.07 0107.08 0107.09 0111.00 0110.00 0108.01 0108.02 0108.03 0108.04 0108.05 0108.06 0108.07 0108.08 0108.09 0108.10 Page B-4

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Appendix B – Physical Record Layout File Name: PDPEM.F5500 Element # CNTRY 039 040 041 042 043 044 045 046 047 048 049 050 051 052 053 054 055 056 057 058 059 060 061 062 063 064 065 066 067 068 069 070 071 072 073 074 075 076 077 078 079 080 SPONS-DFE-LOC-MAIL-FOREIGNPOSTAL-CD SPONS-DFE-EIN SPONS-DFE-PHONE-NUM BUSINESS-CODE ADMIN-NAME ADMIN-CARE-OF-NAME ADMIN-MAIL-US-ADDRESS1 ADMIN-MAIL-US-ADDRESS2 ADMIN-MAIL-US-CITY ADMIN-MAIL-US-STATE ADMIN-MAIL-US-ZIP ADMIN-MAIL-FOREIGN-ADDRESS1 ADMIN-MAIL-FOREIGN-ADDRESS2 ADMIN-MAIL-FOREIGN-CITY ADMIN-MAIL-FOREIGN-PROVSTATE ADMIN-MAIL-FOREIGN-CNTRY ADMIN-MAIL-FOREIGN-POSTALCD ADMIN-EIN ADMIN-PHONE-NUM LAST-RPT-SPONS-NAME LAST-RPT-SPONS-EIN LAST-RPT-PLAN-NUM ADMIN-SIGNED-DATE ADMIN-SIGNED-NAME SPONS-SIGNED-DATE SPONS-SIGNED-NAME DFE-SIGNED-DATE DFE-SIGNED-NAME TOT-PARTCP-BOY-CNT TOT-ACTIVE-PARTCP-CNT RTD-SEP-PARTCP-RCVG-CNT RTD-SEP-PARTCP-FUT-CNT SUBTL-ACT-RTD-SEP-CNT BENEF-RCVG-BNFT-CNT TOT-ACT-RTD-SEP-BENEF-CNT PARTCP-ACCOUNT-BAL-CNT SEP-PARTCP-PARTL-VSTD-CNT CONTRIB-EMPLRS-CNT TYPE-PENSION-BNFT-CODE TYPE-WELFARE-BNFT-CODE FUNDING-INSURANCE-IND FUNDING-SEC412-IND 834 857 867 878 885 956 1028 1029 1065 1088 1091 1104 1140 1176 1199 1222 1225 1248 1258 1269 1341 1351 1355 1364 1400 1409 1445 1454 1490 1499 1508 1517 1526 1535 1544 1553 1562 1571 1576 1579 1582 1584 22 9 10 6 70 70 35 35 22 2 12 35 35 22 22 2 22 9 10 71 9 3 8 35 8 35 8 35 8 8 8 8 8 8 8 8 8 4 2 2 1 1 C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C 0108.11 0115.00 0117.00 0118.00 0119.00 0120.00 0121.01 0121.02 0121.03 0121.04 0126.00 0122.01 0122.02 0122.03 0122.04 0122.05 0122.06 0127.00 0128.00 0129.00 0130.00 0131.00

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Element Name

Dec

Length Type

Ref

Remarks

0143.00 YYYYMMDD 0144.00 0146.01 YYYYMMDD 0147.01 0147.50 YYYYMMDD 0147.60 0148.00 0149.00 0150.00 0151.00 0152.00 0153.00 0154.00 0155.00 0156.00 0157.50 0159.00 0161.00 0163.01 0163.02

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Appendix B – Physical Record Layout File Name: PDPEM.F5500 Element # 081 082 083 084 085 086 087 088 089 090 091 092 093 094 095

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Element Name

Dec

Length Type

Ref

Remarks

FUNDING-TRUST-IND FUNDING-GEN-ASSET-IND BENEFIT-INSURANCE-IND BENEFIT-SEC412-IND BENEFIT-TRUST-IND BENEFIT-GEN-ASSET-IND SCH-R-ATTACHED-IND SCH-B-ATTACHED-IND SCH-H-ATTACHED-IND SCH-I-ATTACHED-IND SCH-A-ATTACHED-IND NUM-SCH-A-ATTACHED-CNT SCH-C-ATTACHED-IND SCH-D-ATTACHED-IND SCH-G-ATTACHED-IND Total Record Length

1586 1588 1590 1592 1594 1596 1598 1600 1602 1604 1606 1608 1613 1615 1617 1618

1 1 1 1 1 1 1 1 1 1 1 4 1 1 1

C C C C C C C C C C C C C C C

0163.03 0163.04 0164.01 0164.02 0164.03 0164.04 0165.00 0169.00 0172.00 0173.00 0174.00 0175.00 0176.00 0177.00 0178.00

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B.4

5500SF Record Layout
File Name: PDPEM.F5500SF Element # 001 002 003 004 005 006 007 008 009 010 011 012 013 014 015 016 017 018 019 020 021 022 024 025 026 027 028 029 030 031 032 033 034 035 036 037 038 039 040 041 042 DLN SF-PLAN-YEAR-BEGIN-DATE SF-TAX-PRD SF-PLAN-ENTITY-CD SF-INITIAL-FILING-IND SF-AMENDED-IND SF-FINAL-FILING-IND SF-SHORT-PLAN-YR-IND SF-EXT-APPLICATION-FILED-IND SF-DFVC-APPLICATION-FILED-IND SF-PLAN-NAME SF-PLAN-NUM SF-PLAN-EFF-DATE SF-SPONSOR-NAME SF-SPONS-DBA-NAME SF-SPONS-CARE-OF-NAME SF-SPONS-US-ADDRESS1 SF-SPONS-US-ADDRESS2 SF-SPONS-US-CITY SF-SPONS-US-STATE SF-SPONS-US-ZIP SF-SPONS-FOREIGN-ADDRESS1 SF-SPONS-FOREIGN-ADDRESS2 SF-SPONS-FOREIGN-CITY SF-SPONS-FOREIGN-PROVSTATE SF-SPONS-FOREIGN-CNTRY SF-SPONS-FOREIGN-POSTAL-CD SF-SPONS-EMPLR-EIN SF-SPONS-EMPLR-PHONE-NUM SF-BUSINESS-CODE SF-ADMIN-NAME SF-ADMIN-CARE-OF-NAME ADMIN-US-ADDRESS1 ADMIN-US-ADDRESS2 ADMIN-US-CITY ADMIN-US-STATE ADMIN-US-ZIP ADMIN-FOREIGN-ADDRESS1 ADMIN-FOREIGN-ADDRESS2 ADMIN-FOREIGN-CITY ADMIN-FOREIGN-PROVDate: 6/5/2006

Element Name

Dec

Length

Type

Ref

Remarks

0 15 24 33 35 37 39 41 43 45 47 188 192 201 273 309 345 381 417 440 443 456 492 528 551 574 577 600 610 621 628 700 736 772 808 831 834 847 883 919 942

14 8 8 1 1 1 1 1 1 1 140 3 8 70 35 35 35 35 22 2 12 35 35 22 22 2 22 9 10 6 71 35 35 35 22 2 12 35 35 22 22

N C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C

2007.00 1092.00 YYYYMMDD 1093.00 YYYYMMDD 1094.00 1096.01 1096.02 1096.03 1096.04 1098.00 1098.10 1099.00 1100.00 1102.00 YYYYMMDD 1103.00

1107.01 1107.02 1107.03 1107.04 1107.05 1107.06 1107.07 1107.08 1107.09 1111.00 1110.00 1115.00 1118.00 1119.00 1120.00 1121.01 1121.02 1121.03 1121.04 1126.00 1122.01 1122.02 1122.03 1122.04 Page B-7

DOL069RP20266 Amendment 02 - Attachment 8

EFAST2 RFP Attachment E, Page 33 of 60

EFAST2 Interface Requirements Document
Appendix B – Physical Record Layout File Name: PDPEM.F5500SF Element # STATE 043 044 045 046 047 048 049 050 051 052 053 054 055 056 057 058 059 060 061 062 063 064 065 066 067 068 069 070 071 072 073 074 075 076 077 078 079 080 081 082 083 084 085 ADMIN-FOREIGN-CNTRY ADMIN-FOREIGN-POSTAL-CD SF-ADMIN-EIN SF-ADMIN-PHONE-NUM SF-LAST-RPT-SPONS-NAME SF-LAST-RPT-SPONS-EIN SF-LAST-RPT-PLAN-NUM SF-TOT-PARTCP-BOY-CNT SF-TOT-ACT-RTD-SEP-BENEF-CNT SF-PARTCP-ACCOUNT-BAL-CNT SF-ELIGIBLE-ASSETS-IND SF-IQPA-WAIVER-IND SF-TOT-ASSETS-BOY-AMT SF-TOT-LIABILITIES-BOY-AMT SF-NET-ASSETS-BOY-AMT SF-TOT-ASSETS-EOY-AMT SF-TOT-LIABILITIES-EOY-AMT SF-NET-ASSETS-EOY-AMT SF-EMPLR-CONTRIB-INCOME-AMT SF-PARTICIPANT-CONTRIB-INCOMEAMT SF-OTH-CONTRIB-RCVD-AMT SF-OTHER-INCOME-AMT SF-TOT-INCOME-AMT SF-TOT-DISTRIB-BNFT-AMT SF-CORRECTIVE-DEEMED-DISTRIBAMT SF-ADMIN-SRVC-PROVIDERS-AMT SF-OTH-EXPENSES-AMT SF-TOT-EXPENSES-AMT SF-NET-INCOME-AMT SF-TOT-PLAN-TRANSFERS-AMT SF-TYPE-PENSION-BNFT-CODE SF-TYPE-WELFARE-BNFT-CODE SF-FAIL-TRANSMIT-CONTRIB-IND SF-FAIL-TRANSMIT-CONTRIB-AMT SF-PARTY-IN-INT-NOT-RPTD-IND SF-PARTY-IN-INT-NOT-RPTD-AMT SF-PLAN-INS-FDLTY-BOND-IND SF-PLAN-INS-FDLTY-BOND-AMT SF-LOSS-DISCV-DUR-YEAR-IND SF-LOSS-DISCV-DUR-YEAR-AMT SF-BROKER-FEES-PAID-IND SF-BROKER-FEES-PAID-AMT SF-FAIL-PROVIDE-BENEFIT-DUE-IND 965 968 991 1001 1012 1083 1093 1097 1106 1115 1124 1126 1128 1144 1160 1176 1192 1208 1224 1240 1256 1272 1288 1304 1320 1336 1352 1368 1384 1400 1416 1419 1422 1424 1440 1442 1458 1460 1476 1478 1494 1496 1512 2 22 9 10 70 9 3 8 8 8 1 1 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 2 2 1 15 1 15 1 15 1 15 1 15 1 C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C 1122.05 1122.06 1127.00 1128.00 1129.00 1130.00 1131.00 1132.00 1133.00 1134.00 1135.00 1136.00 1137.00 1138.00 1139.00 1140.00 1141.00 1142.00 1143.00 1144.00 1145.00 1146.00 1147.00 1148.00 1149.00 1150.00 1151.00 1152.00 1153.00 1154.00 1155.00 1156.00 1157.00 1158.00 1159.00 1160.00 1161.00 1162.00 1163.00 1164.00 1165.00 1166.00 1167.00

Operational Date: January 1, 2009 Revision Date: June 5, 2006 Date: 6/5/2006

Element Name

Dec

Length

Type

Ref

Remarks

Page B-8

DOL069RP20266 Amendment 02 - Attachment 8

EFAST2 RFP Attachment E, Page 34 of 60

EFAST2 Interface Requirements Document
Appendix B – Physical Record Layout File Name: PDPEM.F5500SF Element # 086 087 088 089 090 091 092 093 094 095 096 097 098 099 100 101 102 103 104 105 106 107

Operational Date: January 1, 2009 Revision Date: June 5, 2006 Date: 6/5/2006

Element Name

Dec

Length

Type

Ref

Remarks

SF-FAIL-PROVIDE-BENEFIT-DUE-AMT SF-PLAN-BLACKOUT-PERIOD-IND SF-COMPLY-BLACKOUT-NOTICE-IND SF-PARTCP-LOANS-IND SF-PARTCP-LOANS-EOY-AMT SF-DB-PLAN-FUNDING-REQD-IND SF-DC-PLAN-FUNDING-REQD-IND SF-SEC-412-REQ-CONTRIB-AMT SF-EMPLR-CONTRIB-PAID-AMT SF-EMPLR-CONTRIB-PAID-DATE SF-FUNDING-DEFICIENCY-AMT SF-FUNDING-WAIVER-IND SF-RES-TERM-PLAN-ADPT-IND SF-RES-TERM-PLAN-ADPT-AMT SF-ALL-PLAN-AST-DISTRIB-IND SF-PLAN-TRANSFER-NAME SF-PLAN-TRANSFER-EIN SF-PLAN-TRANSFER-PN SF-ADMIN-SIGNED-DATE SF-ADMIN-SIGNED-NAME SF-SPONS-SIGNED-DATE SF-SPONS-SIGNED-NAME Total Record Length

1514 1530 1532 1548 1550 1566 1568 1570 1586 1602 1611 1627 1629 1631 1647 1649 1790 1800 1804 1813 1849 1858 1894

15 1 15 1 15 1 1 15 15 8 15 1 1 15 1 140 9 3 8 35 8 35

C C C C C C C C C C C C C C C C C C C C C C

1168.00 1169.00 1170.00 1171.00 1172.00 1173.00 1174.00 1175.00 1176.00 1177.00 YYYYMMDD 1178.00 1179.00 1180.00 1181.00 1181.50 1182.00 1183.00 1184.00 1185.00 YYYYMMDD 1186.00 1187.00 YYYYMMDD 1188.00

Page B-9

DOL069RP20266 Amendment 02 - Attachment 8

EFAST2 RFP Attachment E, Page 35 of 60

EFAST2 Interface Requirements Document
Appendix B – Physical Record Layout

Operational Date: January 1, 2009 Revision Date: June 5, 2006

B.5

Schedule A Record Layout
File Name: PDPEM.SCHEDA Element # 001 002 003 004 005 006 007 008 009 010 011 012 013 014 015 016 017 018 019 020 021 022 023 024 025 026 027 028 029 030 031 032 033 034 035 036 037 038 039 040 DLN SCH-A-PLAN-YEAR-BEGIN-DATE SCH-A-TAX-PRD SCH-A-PLAN-NUM SCH-A-EIN INS-CARRIER-NAME INS-CARRIER-EIN INS-CARRIER-NAIC-CODE INS-CONTRACT-NUM INS-PRSN-COVERED-EOY-CNT INS-POLICY-FROM-DATE INS-POLICY-TO-DATE INS-BROKER-COMM-TOT-AMT INS-BROKER-FEES-TOT-AMT PENSION EOY-GEN-ACCT-AMT PENSION-EOY-SEP-ACCT-AMT PENSION-BASIS-RATES-TEXT PENSION-PREM-PAID-TOT-AMT PENSION-UNPAID-PREMIUM-AMT PENSION-CONTRACT-COST-AMT PENSION-COST-TEXT ALLOC-CONTRACTS-INDIV-IND ALLOC-CONTRACTS-GROUP-IND ALLOC-CONTRACTS-OTHER-IND ALLOC-CONTRACTS-OTHER-TEXT PENSION-DISTRIB-BNFT-TERM-PLNIND UNALLOC-CONTRACTS-DEP-ADMININD UNALLOC-CONTRACTS-IMM-PARTGUAR-IND UNALLOC-CONTRACTS-GUAR-INVESTIND UNALLOC-CONTRACTS-OTHER-IND UNALLOC-CONTRACTS-OTHER-TEXT PENSION-END-PREV-BAL-AMT PENSION-CONTRIB-DEP-AMT PENSION-DIVND-CR-DEP-AMT PENSION-INT-CR-DUR-YR-AMT PENSION-TRANSFER-FROM-AMT PENSION-OTHER-AMT PENSION-OTHER-TEXT PENSION-TOT-ADDITIONS-AMT PENSION-TOT-BAL-ADDN-AMT Date: 6/5/2006

Element Name

Dec

Length Type

Ref

Remarks

0 15 24 33 37 47 118 128 134 150 158 167 176 192 208 224 240 346 362 378 394 500 502 504 506 612 614 616 618 620 622 728 744 760 776 792 808 824 930 946

14 8 8 3 9 70 9 5 15 7 8 8 15 15 15 15 105 15 15 15 105 1 1 1 105 1 1 1 1 1 105 15 15 15 15 15 15 105 15 15

N C C C C C C C C C C C C C C C C C C C C C

2007.00 0183.00 YYYYMMDD 0184.00 YYYYMMDD 0185.00 0186.00 0187.00 0192.00 0193.00 0194.00 0195.00 0196.00 YYYYMMDD 0197.00 YYYYMMDD 0198.01 0198.02 0211.00 0212.00 0213.00 0214.00 0215.00 0216.00 0217.00 0218.01 0218.02 0218.03

C C C

0219.00 0220.00 0221.01 0221.02 0221.03 0221.04

C C C C C C C C C C

0222.00 0223.00 0224.00 0225.00 0226.00 0227.00 0228.01 0229.01 0230.00 0231.00

Page B-10

DOL069RP20266 Amendment 02 - Attachment 8

EFAST2 RFP Attachment E, Page 36 of 60

EFAST2 Interface Requirements Document
Appendix B – Physical Record Layout File Name: PDPEM.SCHEDA Element # 041 042 043 044 045 046 047 048 049 050 051 052 053 054 055 056 057 058 059 060 061 062 063 064 065 066 067 068 069 070 071 072 073 074 075 076 077 078 079 080 081 082 083 084 085

Operational Date: January 1, 2009 Revision Date: June 5, 2006 Date: 6/5/2006

Element Name

Dec

Length Type

Ref

Remarks

PENSION-BNFTS-DSBRSD-AMT PENSION-ADMIN-CHRG-AMT PENSION-TRANSFER-TO-AMT PENSION-OTH-DED-AMT PENSION-OTH-DED-TEXT PENSION-TOT-DED-AMT PENSION-EOY-BAL-AMT WLFR-BNFT-HEALTH-IND WLFR-BNFT-DENTAL-IND WLFR-BNFT-VISION-IND WLFR-BNFT-LIFE-INSUR-IND WLFR-BNFT-TEMP-DISAB-IND WLFR-BNFT-LONG-TERM-DISAB-IND WLFR-BNFT-UNEMP-IND WLFR-BNFT-DRUG-IND WLFR-BNFT-STOP-LOSS-IND WLFR-BNFT-HMO-IND WLFR-BNFT-PPO-IND WLFR-BNFT-INDEMNITY-IND WLFR-BNFT-OTHER-IND WLFR-TYPE-BNFT-OTH-TEXT WLFR-PREMIUM-RCVD-AMT WLFR-UNPAID-DUE-AMT WLFR-RESERVE-AMT WLFR-TOT-EARNED-PREM-AMT WLFR-CLAIMS-PAID-AMT WLFR-INCR-RESERVE-AMT WLFR-INCURRED-CLAIM-AMT WLFR-CLAIMS-CHRGD-AMT WLFR-RET-COMMISSIONS-AMT WLFR-RET-ADMIN-AMT WLFR-RET-OTH-COST-AMT WLFR-RET-OTH-EXPENSE-AMT WLFR-RET-TAXES-AMT WLFR-RET-CHARGES-AMT WLFR-RET-OTH-CHRGS-AMT WLFR-RET-TOT-AMT WLFR-REFUND-CASH-IND WLFR-REFUND-CREDIT-IND WLFR-REFUND-AMT WLFR-HELD-BNFTS-AMT WLFR-CLAIMS-RESERVE-AMT WLFR-OTH-RESERVE-AMT WLFR-DIVNDS-DUE-AMT WLFR-TOT-CHARGES-PAID-AMT

962 978 994 1010 1026 1132 1148 1164 1166 1168 1170 1172 1174 1176 1178 1180 1182 1184 1186 1188 1190 1296 1312 1328 1344 1360 1376 1392 1408 1424 1440 1456 1472 1488 1504 1520 1536 1552 1554 1556 1572 1588 1604 1620 1636

15 15 15 15 105 15 15 1 1 1 1 1 1 1 1 1 1 1 1 1 105 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 1 1 15 15 15 15 15 15

C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C

0232.00 0233.00 0234.00 0235.01 0236.01 0237.00 0238.00 0240.01 0240.02 0240.03 0240.04 0240.05 0240.06 0240.07 0240.08 0240.09 0240.10 0240.11 0240.12 0240.99 0241.00 0242.00 0243.00 0244.00 0245.00 0246.00 0247.00 0248.00 0249.00 0250.00 0251.00 0252.00 0253.00 0254.00 0255.00 0256.00 0257.00 0258.01 0258.02 0259.00 0260.00 0261.00 0262.00 0263.00 0264.00

Page B-11

DOL069RP20266 Amendment 02 - Attachment 8

EFAST2 RFP Attachment E, Page 37 of 60

EFAST2 Interface Requirements Document
Appendix B – Physical Record Layout File Name: PDPEM.SCHEDA Element # 086 087 088 089

Operational Date: January 1, 2009 Revision Date: June 5, 2006 Date: 6/5/2006

Element Name

Dec

Length Type

Ref

Remarks

WLFR-ACQUIS-COST-AMT WLFR-ACQUIS-COST-TEXT INS-FAIL-PROVIDE-INFO-IND INS-FAIL-PROVIDE-INFO-TEXT Total Record Length

1652 1668 2669 2671 2777

15 1000 1 105

C C C C

0265.00 0266.00 0266.50 0266.60

Page B-12

DOL069RP20266 Amendment 02 - Attachment 8

EFAST2 RFP Attachment E, Page 38 of 60

EFAST2 Interface Requirements Document
Appendix B – Physical Record Layout

Operational Date: January 1, 2009 Revision Date: June 5, 2006

B.6

Schedule A Part 1 Record Layout
File Name: PDPEM.SCHAP1 Element # 001 002 003 004 005 006 008 009 010 011 012 013 014 015 016 017 018 019 DLN REC-SEQ-NUM INS-BROKER-NAME INS-BROKER-US-ADDRESS1 INS-BROKER-US-ADDRESS2 INS-BROKER-US-CITY INS-BROKER-US-STATE INS-BROKER-US-ZIP INS-BROKER-FOREIGN-ADDRESS1 INS-BROKER-FOREIGN-ADDRESS2 INS-BROKER-FOREIGN-CITY INS-BROKER-FOREIGN-PROVSTATE INS-BROKER-FOREIGN-CNTRY INS-BROKER-FOREIGN-POSTAL-CD INS-BROKER-COMM-PD-AMT INS-BROKER-FEES-PD-AMT INS-BROKER-FEES-PD-TEXT INS-BROKER-CODE Total Record Length Date: 6/5/2006

Element Name

Dec

Length Type

Ref

Remarks

0 15 36 72 108 144 167 170 183 219 255 278 301 304 327 343 359 465 467

14 20 35 35 35 22 2 12 35 35 22 22 2 22 15 15 105 1

N N C C C C C C C C C C C C C C C C

2007.00 TBP by Contractor 0199.00 0200.01 0200.02 0200.03 0200.04 0200.05 0201.01 0201.02 0201.03 0201.04 0201.05 0201.06 0204.00 0205.00 0206.00 0207.00

Page B-13

DOL069RP20266 Amendment 02 - Attachment 8

EFAST2 RFP Attachment E, Page 39 of 60

EFAST2 Interface Requirements Document
Appendix B – Physical Record Layout

Operational Date: January 1, 2009 Revision Date: June 5, 2006

B.7

Schedule B Record Layout
File Name: PDPEM.SCHEDB Element # 001 002 003 004 005 006 007 008 009 010 011 012 013 014 015 016 017 018 019 020 021 022 023 024 025 026 027 028 029 030 031 032 033 034 035 036 037 038 039 040 DLN SCH-B-PLAN-YEAR-BEGIN-DATE SCH-B-TAX-PRD SCH-B-PN SCH-B-EIN ACTRL-TYPE-EMPLR-CODE ACTRL-100-LESS-PARTCP-PR-YR-IND ACTRL-VALUE-DATE ACTRL-CURR-VALUE-AST-01-AMT ACTRL-AST-FNDNG-STD-AMT ACTRL-ACCR-LIAB-GAIN-MTHD-AMT ACTRL-UNFND-LIAB-MTHD-BASE-AMT ACTRL-ACCR-LIAB-AGE-MTHD-AMT ACTRL-NORM-COST-AGE-MTHD-AMT ACTRL-CURR-LIAB-PRE-PARTCP-AMT ACTRL-RPA94-INFO-CURR-LIAB-AMT ACTRL-RPA94-EXPT-INCR-LIAB-AMT ACTRL-CURR-LIAB-HIGH-INT-AMT ACTRL-RPA94-EXPT-RELEASE-LIABAMT ACTRL-EXPECT-PLAN-PAYMENT-AMT SCH-B-SIGNATURE-DATE SCH-B-ACTUARY-NAME-LINE SCH-B-ACTUARY-FIRM-NAME SCH-B-ACTUARY-US-ADDRESS1 SCH-B-ACTUARY-US-ADDRESS2 SCH-B-ACTUARY-US-CITY SCH-B-ACTUARY-US-STATE SCH-B-ACTUARY-US-ZIP SCH-B-ACTUARY-FOREIGN-ADDRESS1 SCH-B-ACTUARY-FOREIGN-ADDRESS2 SCH-B-ACTUARY-FOREIGN-CITY SCH-B-ACTUARY-FOREIGN-PROVSTATE SCH-B-ACTUARY-FOREIGN-CNTRY SCH-B-ACTUARY-FOREIGN-POSTALCD SCH-B-ACTUARY-PHONE-NUM SCH-B-ACTRY-ENRLMT-NUM SCH-B-ACTUARY-NOT-REFLECT-IND ACTRL-CURR-VALUE-AST-02-AMT ACTRL-LIAB-RTD-PARTCP-CNT ACTRL-LIAB-RTD-VSTD-BNFT-AMT Date: 6/5/2006

Element Name

Dec

Length Type

Ref

Remarks

0 15 24 33 37 47 49 51 60 76 92 108 124 140 156 172 188 204 220 236 252 261 297 333 369 405 428 431 444 480 516 539 562 565 588 599 607 609 625 634

14 8 8 3 9 1 1 8 15 15 15 15 15 15 15 15 15 15 15 15 8 35 35 35 35 22 2 12 35 35 22 22 2 22 10 7 1 15 8 15

N C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C

2007.00 0267.00 YYYYMMDD 0268.00 YYYYMMDD 0269.00 0270.00 0271.00 0272.00 0273.00 YYYYMMDD 0274.00 0275.00 0276.00 0277.00 0278.00 0279.00 0280.00 0281.00 0282.00 0283.00 0284.00 0288.00 0290.00 YYYYMMDD 0291.00 0293.00 0294.01 0294.02 0294.03 0294.04 0294.05 0295.01 0295.02 0295.03 0295.04 0295.05 0295.06 0298.00 0298.01 0299.00 0300.00 0301.00 0302.00

Page B-14

DOL069RP20266 Amendment 02 - Attachment 8

EFAST2 RFP Attachment E, Page 40 of 60

EFAST2 Interface Requirements Document
Appendix B – Physical Record Layout File Name: PDPEM.SCHEDB Element # 041 042 043 044 045 046 047 048 049 050 051 052 053 054 055 056 057 058 059 060 061 062 063 064 065 066 067 068 069 070 071 072 073 074 075 076 077 078 079 080 081 082 083 084

Operational Date: January 1, 2009 Revision Date: June 5, 2006 Date: 6/5/2006

Element Name

Dec

Length Type

Ref

Remarks

ACTRL-LIAB-RTD-TOTAL-BNFT-AMT ACTRL-LIAB-TERM-PARTCP-CNT ACTRL-LIAB-TERM-VSTD-BNFT-AMT ACTRL-LIAB-TERM-TOTAL-BNFT-AMT ACTRL-LIAB-ACT-PARTCP-CNT ACTRL-LIAB-ACT-VSTD-BNFT-AMT ACTRL-LIAB-ACT-TOTAL-BNFT-AMT ACTRL-TOT-LIAB-PARTCP-CNT ACTRL-TOT-LIAB-VSTD-BNFT-AMT ACTRL-TOT-LIAB-BNFT-AMT ACTRL-TOT-CURR-LIAB-PRCNT ACTRL-TOT-EMPLR-CONTRIB-AMT ACTRL-TOT-EMPLEE-CONTRIB-AMT ACTRL-OTH-FND-CURR-LIAB-PRCNT ACTRL-1ST-LIQUIDITY-SHORT-AMT ACTRL-2ND-LIQUIDITY-SHORT-AMT ACTRL-3RD-LIQUIDITY-SHORT-AMT ACTRL-4TH-LIQUIDITY-SHORT-AMT ACTRL-COST-METHOD-CODE ACTRL-OTH-COST-TEXT ACTRL-CHG-FNDNG-MTHD-IND ACTRL-CHG-REVENUE-PROC-IND ACTRL-CHG-FNDNG-MTHD-DATE ACTRL-CURR-LIAB-RPA-PRCNT ACTRL-CURR-LIAB-RPA-IND ACTRL-WEIGHTED-RTM-AGE ACTRL-WEIGHTED-RTM-AGE-IND ACTRL-RATE-SPEC-INS-PRE-IND ACTRL-RATE-SPEC-INS-POST-IND ACTRL-MORTALITY-MALE-PRE-CODE ACTRL-MORTALITY-MALE-POST-CODE ACTRL-MORTALITY-FEM-PRE-CODE ACTRL-MORTALITY-FEM-POST-CODE ACTRL-VALUATION-INT-PRE-PRCNT ACTRL-VALUATION-INT-PRE-IND ACTRL-VALUATION-INT-POST-PRCNT ACTRL-VALUATION-INT-POST-IND ACTRL-EXPENSE-LOAD-PRE-PRCNT ACTRL-EXPENSE-LOAD-PRE-IND ACTRL-EXPENSE-LOAD-POST-PRCNT ACTRL-EXPENSE-LOAD-POST-IND ACTRL-WTHDRWL-25-MALE-RATE-CD ACTRL-WTHDRWL-25-MALE-PRCNT ACTRL-WTHDRWL-25-FEM-RATE-CD

650 666 675 691 707 716 732 748 757 773 789 792 808 824 829 845 861 877 893 895 1001 1003 1005 1014 1019 1021 1024 1026 1028 1030 1038 1046 1054 1062 1067 1069 1074 1076 1081 1083 1088 1090 1092 1097

15 8 15 15 8 15 15 8 15 15 2 15 15 4 15 15 15 15 1 105 1 1 8 4 1 2 1 1 1 7 7 7 7 4 1 4 1 4 1 4 1 1 4 1

C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C

0303.00 0304.00 0305.00 0306.00 0307.00 0308.00 0309.00 0310.00 0311.00 0312.00 0313.00 0359.00 0360.00 0361.00 0362.00 0363.00 0364.00 0365.00 0366.00 0367.00 0368.00 0369.00 0370.00 YYYYMMDD 0371.00 0372.00 0375.00 0376.00 0377.00 0378.00 0379.00 0380.00 0381.00 0382.00 0383.00 0384.00 0385.00 0386.00 0387.00 0388.00 0389.00 0390.00 0391.00 0392.00 0393.00

Page B-15

DOL069RP20266 Amendment 02 - Attachment 8

EFAST2 RFP Attachment E, Page 41 of 60

EFAST2 Interface Requirements Document
Appendix B – Physical Record Layout File Name: PDPEM.SCHEDB Element # 085 086 087 088 089 090 091 092 093 094 095 096 097 098

Operational Date: January 1, 2009 Revision Date: June 5, 2006 Date: 6/5/2006

Element Name

Dec

Length Type

Ref

Remarks

ACTRL-WTHDRWL-25-FEM-PRCNT ACTRL-WTHDRWL-40-MALE-RATE-CD ACTRL-WTHDRWL-40-MALE-PRCNT ACTRL-WTHDRWL-40-FEM-RATE-CD ACTRL-WTHDRWL-40-FEM-PRCNT ACTRL-WTHDRWL-55-MALE-RATE-CD ACTRL-WTHDRWL-55-MALE-PRCNT ACTRL-WTHDRWL-55-FEM-RATE-CD ACTRL-WTHDRWL-55-FEM-PRCNT ACTRL-SAL-SCALE-MALE-PRCNT ACTRL-SAL-SCALE-MALE-IND ACTRL-SAL-SCALE-FEM-PRCNT ACTRL-SAL-SCALE-FEM-IND ACTRL-INVST-RETURN-PRCNT ACTRL-INVST-RETURN-CURRENTVALUE-PRCNT ACTRL-FNDNG-DEFN-WVR-DATE ACTRL-ALT-MTHD-RULE-CODE ACTRL-SCH-ACTIVE-PARTCP-DATAIND ACTRL-PR-YR-FNDNG-DEFN-AMT ACTRL-NORMAL-COST-AMT ACTRL-NOT-WVRS-OUTSTD-AMT ACTRL-NOT-WVRS-AMT ACTRL-FNDNG-WVRS-OUTSTD-AMT ACTRL-FNDNG-WVRS-AMT ACTRL-FNDNG-CHRGS-INT-AMT ACTRL-ADDNL-INT-LATE-QRTLY-AMT ACTRL-ADDNL-FNDNG-PRT2-IND ACTRL-ADDNL-FNDNG-PRT2-AMT ACTRL-TOT-CHARGES-AMT ACTRL-PR-YR-CREDIT-BALANCE-AMT ACTRL-EMPLR-CONTRIB-SCH-B-AMT ACTRL-AMORTZ-CR-OUTSTD-BAL-AMT ACTRL-AMORTZ-CREDITS-AMT ACTRL-INT-APPLICABLE-AMT ACTRL-ERISA-FFL-ACCR-LIAB-AMT ACTRL-RPA97-OVRRIDE-CURR-AMT ACTRL-FFL-CREDIT-OBRA-AMT ACTRL-WAIVED-FNDNG-DEFN-AMT ACTRL-OTHER-CREDITS-FFL-AMT ACTRL-TOT-CREDITS-AMT ACTRL-CREDIT-BAL-AMT ACTRL-CURR-FNDNG-DEFN-AMT ACTRL-FNDNG-CHRG-RECNCL-AMT ACTRL-INT-CHRG-RECNCL-AMT

1099 1104 1106 1111 1113 1118 1120 1125 1127 1132 1137 1139 1144 1146 1152 1158 1167 1169 1171 1187 1203 1219 1235 1251 1267 1283 1299 1301 1317 1333 1349 1365 1381 1397 1413 1429 1445 1461 1477 1493 1509 1525 1541 1557

4 1 4 1 4 1 4 1 4 4 1 4 1 5 5 8 1 1 15 15 15 15 15 15 15 15 1 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15

C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C

0394.00 0395.00 0396.00 0397.00 0398.00 0399.00 0400.00 0401.00 0402.00 0403.00 0404.00 0405.00 0406.00 0407.00 0407.01 0426.00 YYYYMMDD 0427.00 0428.00 0429.00 0430.00 0431.00 0432.00 0433.00 0434.00 0435.00 0436.00 0437.01 0438.01 0439.00 0440.00 0441.00 0442.00 0443.00 0444.00 0445.00 0447.00 0448.00 0450.00 0451.00 0452.00 0453.00 0454.00 0455.00 0456.00

099 100 101 102 103 104 105 106 107 108 109 110 111 112 113 114 115 116 117 118 119 120 121 122 123 124 125 126 127

Page B-16

DOL069RP20266 Amendment 02 - Attachment 8

EFAST2 RFP Attachment E, Page 42 of 60

EFAST2 Interface Requirements Document
Appendix B – Physical Record Layout File Name: PDPEM.SCHEDB Element # 128 129 130 131 132 133 134 135 136 137 138 139 140 141 142 143 144 145 146 147 148 149 150 151 152 153 154 155 156 157 158 159 160 161 162 163 164

Operational Date: January 1, 2009 Revision Date: June 5, 2006 Date: 6/5/2006

Element Name

Dec

Length Type

Ref

Remarks

ACTRL-RECNCL-OUTSTD-BAL-AMT ACTRL-RECONCILIATION-AMT ACTRL-TOT-RECONCILIATION-AMT ACTRL-ACCUM-FNDNG-DEFN-AMT ACTRL-CHG-ACTRL-ASSUMP-CURRIND ACTRL-STOCK-PRCNT ACTRL-DEBT-PRCNT ACTRL-REAL-EST-PRCNT ACTRL-OTH-ASSET-PRCNT ACTRL-MACAULAY-DUR ACTRL-GOVT-DEBT-PRCNT ACTRL-INVST-GRADE-DEBT-PRCNT ACTRL-HI-YLD-DEBT-PRCNT ACTRL-GATEWAY-PRCNT ACTRL-RPA94-CURR-LIAB-AMT ACTRL-RQR-ADJ-VAL-ASSETS-AMT ACTRL-RQR-FNDED-CURR-LIABPRCNT ACTRL-RQR-UNFND-CURR-LIAB-AMT ACTRL-LIAB-ATTRIBUTE-AMT ACTRL-OUTSTD-UNFND-LIAB-AMT ACTRL-1ST-UNFND-NEW-LIAB-AMT ACTRL-RQR-UNFND-NEW-LIAB-PRCNT ACTRL-2ND-UNFND-NEW-LIAB-AMT ACTRL-RQR-UNFND-OLD-LIAB-AMT ACTRL-DEFICIT-REDUCT-AMT ACTRL-FNDNG-ACCT-DEFICIT-AMT ACTRL-BNFT-PD-UNPRED-AMT ACTRL-RQR-UNFND-CURR-LIABPRCNT ACTRL-TOT-PREV-PRODUCT-AMT ACTRL-1ST-AMORTZ-EVENT-LIAB-AMT ACTRL-RPA94-ADDITIONAL-AMT ACTRL-GREATEST-PREV-AMT ACTRL-PRELIM-ADDNL-FNDNG-AMT ACTRL-CONTRIB-CURR-LIAB-AMT ACTRL-PRELIM-NEITHER-RULE-AMT ACTRL-ADJ-ADDNL-FNDNG-PRCNT ACTRL-ADJ-ADDNL-FNDNG-AMT Total Record Length

1573 1589 1605 1621 1637 1639 1645 1651 1657 1663 1669 1675 1681 1687 1692 1708 1724 1729 1745 1761 1777 1793 1798 1814 1830 1846 1862 1878 1883 1899 1915 1931 1947 1963 1979 1995 2000 2016

15 15 15 15 1 5 5 5 5 5 5 5 5 4 15 15 4 15 15 15 15 4 15 15 15 15 15 4 15 15 15 15 15 15 15 4 15

C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C

0457.00 0458.00 0459.00 0460.00 0461.00 0461.20 0461.30 0461.40 0461.50 0461.60 0461.70 0461.80 0461.90 0462.00 0463.00 0464.00 0465.00 0466.00 0467.00 0468.00 0469.00 0470.00 0471.00 0472.00 0473.00 0474.00 0475.00 0476.00 0478.00 0479.00 0480.00 0481.00 0482.00 0483.00 0484.00 0489.00 0490.00

Page B-17

DOL069RP20266 Amendment 02 - Attachment 8

EFAST2 RFP Attachment E, Page 43 of 60

EFAST2 Interface Requirements Document
Appendix B – Physical Record Layout

Operational Date: January 1, 2009 Revision Date: June 5, 2006

B.8

Schedule B Part 1 Record Layout
File Name: PDPEM.SCHEDBP1 Element # 001 002 003 004 005 DLN REC-SEQ-NUM ACTRL-CONTRIB-DATE ACTRL-CONTRIB-EMPLR-AMT ACTRL-CONTRIB-EMPLEE-AMT Total Record Length Date: 6/5/2006

Element Name

Dec

Length Type

Ref

Remarks

0 15 36 45 61 77

14 20 8 15 15

N N C C C

2007.00 TBP by Contractor 0314.00 YYYYMMDD 0315.00 0316.00

B.9

Schedule B Part 2 Record Layout
File Name: PDPEM.SCHEDBP2 Element # 001 002 003 004 005 DLN REC-SEQ-NUM ACTRL-AMORTZ-BASE-CODE ACTRL-AMORTZ-INIT-BAL-AMT ACTRL-AMORTIZATION-AMT Total Record Length Date: 6/5/2006

Element Name

Dec

Length Type

Ref

Remarks

0 15 36 38 54 70

14 20 1 15 15

N N C C C

2007.00 TBP by Contractor 0408.00 0409.00 0410.00

Page B-18

DOL069RP20266 Amendment 02 - Attachment 8

EFAST2 RFP Attachment E, Page 44 of 60

EFAST2 Interface Requirements Document
Appendix B – Physical Record Layout

Operational Date: January 1, 2009 Revision Date: June 5, 2006

B.10

Schedule C Record Layout
File Name: PDPEM.SCHEDC Element # 001 002 003 004 005 DLN SCH-C-PLAN-YEAR-BEGIN-DATE SCH-C-TAX-PRD SCH-C-PN SCH-C-EIN Total Record Length Date: 6/5/2006

Element Name

Dec Length Type

Ref

Remarks

0 15 24 33 37 47

14 8 8 3 9

N C C C C

2007.00 0519.00 YYYYMMDD; Populate from 5500 YYYYMMDD; Populate from 0520.00 5500 0521.00 Populate from 5500 0522.00 Populate from 5500

B.11

Schedule C Part 1 Record Layout
File Name: PDPEM.SCHEDCP1 Element # 001 002 003 004 005 006 007 008 009 010 011 012 013 014 015 016 017 018 019 020 021 DLN REC-SEQ-NUM PROVIDER-NAME PROVIDER-EIN PROVIDER-US-ADDRESS1 PROVIDER-US-ADDRESS2 PROVIDER-US-CITY PROVIDER-US-STATE PROVIDER-US-ZIP PROVIDER-FOREIGN-ADDRESS1 PROVIDER-FOREIGN-ADDRESS2 PROVIDER-FOREIGN-CITY PROVIDER-FOREIGN-PROVSTATE PROVIDER-FOREIGN-CNTRY PROVIDER-FOREIGN-POSTAL-CD PROVIDER-PHONE-NUM PROVIDER-RELATION PROVIDER-TOTAL-AMT PROVIDER-AMT-EST-IND PROVIDER-EST-FORMULA-TEXT PROVIDER-OTHER-COMP-IND Total Record Length Date: 6/5/2006

Element Name

Dec Length

Type

Ref

Remarks

0 15 36 72 82 118 154 177 180 193 229 265 288 311 314 337 348 374 390 392 498 500

14 20 35 9 35 35 22 2 12 35 35 22 22 2 22 10 25 15 1 105 1

N N C C C C C C C C C C C C C C C C

2007.00 TBP by Contractor 0524.00 0525.00 0525.01 0525.02 0525.03 0525.04 0525.05 0525.06 0525.07 0525.08 0525.09 0525.10 0525.11 0525.20 0527.00 0529.50 0529.60 0529.70 0529.80

Page B-19

DOL069RP20266 Amendment 02 - Attachment 8

EFAST2 RFP Attachment E, Page 45 of 60

EFAST2 Interface Requirements Document
Appendix B – Physical Record Layout

Operational Date: January 1, 2009 Revision Date: June 5, 2006

B.12

Schedule C Part 2 Record Layout
File Name: PDPEM.SCHEDCP2 Element # 001 002 003 004 DLN REC-SEQ-NUM REC-SEQ-NUM1 PROVIDER-01-SRVC-CODE Total Record Length Date: 6/5/2006

Element Name

Dec Length Type

Ref

Remarks

0 15 36 57 60

14 20 20 2

N N N C

2007.00 TBP by Contractor TBP by Contractor 0530.00

B.13

Schedule C Part 3 Record Layout
File Name: PDPEM.SCHEDCP3 Element # 001 002 003 004 005 006 007 008 DLN REC-SEQ-NUM OTHER-COMP-NAME OTHER-COMP-EIN OTHER-COMP-PAID-AMT OTHER-COMP-AMT-EST-IND OTHER-COMP-EST-FORMULA-TEXT OTHER-COMP-EXPLAN-TEXT Total Record Length Date: 6/5/2006

Element Name

Dec Length Type

Ref

Remarks

0 15 36 72 82 98 100 206 312

14 20 35 9 15 1 105 105

N N C C C C C C

2007.00 TBP by Contractor 0530.10 0530.20 0530.40 0530.50 0530.60 0530.70

B.14

Schedule C Part 4 Record Layout
File Name: PDPEM.SCHEDCP4 Element # 001 002 003 004 DLN REC-SEQ-NUM REC-SEQ-NUM1 OTHER-COMP-SRVC-CODE Total Record Length Date: 6/5/2006

Element Name

Dec Length Type

Ref

Remarks

0 15 36 57 60

14 20 20 2

N N N C

2007.00 TBP by Contractor TBP by Contractor 0530.30

Page B-20

DOL069RP20266 Amendment 02 - Attachment 8

EFAST2 RFP Attachment E, Page 46 of 60

EFAST2 Interface Requirements Document
Appendix B – Physical Record Layout

Operational Date: January 1, 2009 Revision Date: June 5, 2006

B.15

Schedule C Part 5 Record Layout
File Name: PDPEM.SCHEDCP5 Element # 001 002 003 004 005 006 007 008 009 010 011 012 013 014 015 016 DLN REC-SEQ-NUM PROVIDER-FAIL-NAME PROVIDER-FAIL-EIN PROVIDER-FAIL-US-ADDRESS1 PROVIDER-FAIL-US-ADDRESS2 PROVIDER-FAIL-US-CITY PROVIDER-FAIL-US-STATE PROVIDER-FAIL-US-ZIP PROVIDER-FAIL-FOREIGN-ADDRESS1 PROVIDER-FAIL-FOREIGN-ADDRESS2 PROVIDER-FAIL-FOREIGN-CITY PROVIDER-FAIL-FOREIGN-PROVSTATE PROVIDER-FAIL-FOREIGN-CNTRY PROVIDER-FAIL-FOREIGN-POSTAL-CD PROVIDER-FAIL-PHONE-NUM Total Record Length Date: 6/5/2006

Element Name

Dec Length Type

Ref

Remarks

0 15 36 72 82 118 154 177 180 193 229 265 288 311 314 337 348

14 20 35 9 35 35 22 2 12 35 35 22 22 2 22 10

N N C C C C C C C C C C C C C C

2007.00 TBP by Contractor 0530.71 0530.72 0530.73 0530.74 0530.75 0530.76 0530.77 0530.78 0530.79 0530.80 0530.81 0530.82 0530.83 0530.84

Page B-21

DOL069RP20266 Amendment 02 - Attachment 8

EFAST2 RFP Attachment E, Page 47 of 60

EFAST2 Interface Requirements Document
Appendix B – Physical Record Layout

Operational Date: January 1, 2009 Revision Date: June 5, 2006

B.16

Schedule C Part 6 Record Layout
File Name: PDPEM.SCHEDCP6 Element # 001 002 003 004 005 006 007 008 009 010 011 012 013 014 015 016 017 018 DLN REC-SEQ-NUM PROVIDER-TERM-NAME PROVIDER-TERM-EIN PROVIDER-TERM-POSITION PROVIDER-TERM-US-ADDRESS1 PROVIDER-TERM-US-ADDRESS2 PROVIDER-TERM-US-CITY PROVIDER-TERM-US-STATE PROVIDER-TERM-US-ZIP PROVIDER-TERM-FOREIGNADDRESS1 PROVIDER-TERM-FOREIGNADDRESS2 PROVIDER-TERM-FOREIGN-CITY PROVIDER-TERM-FOREIGN-PROVSTATE PROVIDER-TERM-FOREIGN-CNTRY PROVIDER-TERM-FOREIGN-POSTALCD PROVIDER-TERM-PHONE-NUM PROVIDER-TERM-TEXT Total Record Length Date: 6/5/2006

Element Name

Dec Length Type

Ref

Remarks

0 15 36 72 82 108 144 180 203 206 219 255 291 314 337 340 363 374 625

14 20 35 9 25 35 35 22 2 12 35 35 22 22 2 22 10 250

N N C C C C C C C C C C C C C C C C

2007.00 TBP by Contractor 0531.00 0532.00 0533.00 0534.01 0534.02 0535.01 0536.01 0537.01 0537.11 0537.12 0537.13 0537.14 0537.15 0537.16 0538.00 0539.00

Page B-22

DOL069RP20266 Amendment 02 - Attachment 8

EFAST2 RFP Attachment E, Page 48 of 60

EFAST2 Interface Requirements Document
Appendix B – Physical Record Layout

Operational Date: January 1, 2009 Revision Date: June 5, 2006

B.17

Schedule D Record Layout
File Name: PDPEM.SCHEDD Element Element Name # 001 002 003 004 005 DLN SCH-D-PLAN-YEAR-BEGIN-DATE SCH-D-TAX-PRD SCH-D-PN SCH-D-EIN Total Record Length Date: 6/5/2006 Dec Length Type Ref Remarks

0 15 24 33 37 47

14 8 8 3 9

N C C C C

2007.00 0540.00 YYYYMMDD, Populate from 5500 YYYYMMDD, Populate from 0541.00 5500 0542.00 Populate from 5500 0543.00 Populate from 5500

B.18

Schedule D Part 1 Record Layout
File Name: PDPEM.SCHEDDP1 Element # 001 002 003 004 005 006 007 008 DLN REC-SEQ-NUM DFE-P1-ENTITY-NAME DFE-P1-SPONS-NAME DFE-P1-PLAN-EIN DFE-P1-PLAN-PN DFE-P1-ENTITY-CODE DFE-P1-PLAN-INT-EOY-AMT Total Record Length Date: 6/5/2006

Element Name

Dec Length Type

Ref

Remarks

0 15 36 72 143 153 157 159 175

14 20 35 70 9 3 1 15

N N C C C C C C

2007.00 TBP by Contractor 0544.00 0545.00 0546.01 0546.02 0547.00 0548.00

B.19

Schedule D Part 2 Record Layout
File Name: PDPEM.SCHEDDP2 Element # 001 002 003 004 005 006 DLN REC-SEQ-NUM DFE-P2-PLAN-NAME DFE-P2-PLAN-SPONS-NAME DFE-P2-PLAN-EIN DFE-P2-PLAN-PN Total Record Length Date: 6/5/2006

Element Name

Dec

Length Type

Ref

Remarks

0 15 36 177 248 257 261

14 20 140 70 9 3

N N C C C C

2007.00 TBP by Contractor 0549.00 0550.00 0551.00 0552.00

Page B-23

DOL069RP20266 Amendment 02 - Attachment 8

EFAST2 RFP Attachment E, Page 49 of 60

EFAST2 Interface Requirements Document
Appendix B – Physical Record Layout

Operational Date: January 1, 2009 Revision Date: June 5, 2006

B.20

Schedule G Record Layout
File Name: PDPEM.SCHEDG Element # 001 002 003 004 005 DLN SCH-G-PLAN-YEAR-BEGIN-DATE SCH-G-TAX-PRD SCH-G-PN SCH-G-EIN Total Record Length Date: 6/5/2006

Element Name

Dec

Length Type

Ref

Remarks

0 15 24 33 37 47

14 8 8 3 9

N C C C C

2007.00 0626.00 YYYYMMDD, Populate from 5500 YYYYMMDD, Populate from 0627.00 5500 0628.00 Populate from 5500 0629.00 Populate from 5500

B.21

Schedule G Part 1 Record Layout
File Name: PDPEM.SCHEDGP1 Element # 001 002 003 004 005 006 007 008 009 010 011 012 013 014 015 DLN REC-SEQ-NUM LNS-DEFAULT-PII-IND LNS-DEFAULT-OBLIGOR-NAME LNS-DEFAULT-OBLIGOR-STR-ADDR LNS-DEFAULT-OBLIGOR-CITY LNS-DEFAULT-OBLIGOR-STATE LNS-DEFAULT-OBLIGOR-ZIP-CODE LNS-DEFAULT-ORIGINAL-AMT LNS-DEFAULT-PRNCPL-RCVD-AMT LNS-DEFAULT-INT-RCVD-AMT LNS-DEFAULT-UNPAID-BAL-AMT LNS-DEFAULT-DESCRIPTION-TXT LNS-DEFAULT-PRCPL-OVERDUE-AMT LNS-DEFAULT-INT-OVERDUE-AMT Total Record Length Date: 6/5/2006

Element Name

Dec

Length Type

Ref

Remarks

0 15 36 38 74 110 133 136 146 162 178 194 210 316 332 348

14 20 1 35 35 22 2 9 15 15 15 15 105 15 15

N N C C C C C C C C C C C C C

2007.00 TBP by Contractor 0630.00 0631.00 0632.00 0633.00 0634.00 0635.00 0636.00 0637.00 0638.00 0639.00 0640.00 0641.00 0642.00

Page B-24

DOL069RP20266 Amendment 02 - Attachment 8

EFAST2 RFP Attachment E, Page 50 of 60

EFAST2 Interface Requirements Document
Appendix B – Physical Record Layout

Operational Date: January 1, 2009 Revision Date: June 5, 2006

B.22

Schedule G Part 2 Record Layout
File Name: PDPEM.SCHEDGP2 Element # 001 002 003 004 005 006 007 008 009 010 011 012 DLN REC-SEQ-NUM LEASES-DEFAULT-PII-IND LEASES-DEFAULT-LESSOR-NAME LEASES-DEFAULT-RELATION-TEXT LEASES-DEFAULT-TERMS-TEXT LEASES-DEFAULT-COST-AMT LEASES-DEFAULT-CURR-VALUE-AMT LEASES-DEFAULT-RENTL-RCPT-AMT LEASES-DEFAULT-EXPENSE-PD-AMT LEASES-DEFAULT-NET-RCPT-AMT LEASES-DEFAULT-ARREARS-AMT Total Record Length Date: 6/5/2006

Element Name

Dec

Length Type

Ref

Remarks

0 15 36 38 74 110 216 232 248 264 280 296 312

14 20 1 35 35 105 15 15 15 15 15 15

N N C C C C C C C C C C

2007.00 TBP by Contractor 0643.00 0644.00 0645.00 0646.00 0647.00 0648.00 0649.00 0650.00 0651.00 0652.00

Page B-25

DOL069RP20266 Amendment 02 - Attachment 8

EFAST2 RFP Attachment E, Page 51 of 60

EFAST2 Interface Requirements Document
Appendix B – Physical Record Layout

Operational Date: January 1, 2009 Revision Date: June 5, 2006

B.23

Schedule H Record Layout
File Name PDPEM.SCHEDH Element # 001 002 003 004 005 006 007 008 009 010 011 012 013 014 015 016 017 018 019 020 021 022 023 024 025 026 027 028 029 030 031 032 033 034 035 036 037 038 039 040 041 DLN SCH-H-PLAN-YEAR-BEGIN-DATE SCH-H-TAX-PRD SCH-H-PN SCH-H-EIN NON-INT-BEAR-CASH-BOY-AMT EMPLR-CONTRIB-BOY-AMT PARTCP-CONTRIB-BOY-AMT OTHER-RECEIVABLES-BOY-AMT INT-BEAR-CASH-BOY-AMT GOVT-SEC-BOY-AMT CORP-DEBT-PREFERRED-BOY-AMT CORP-DEBT-OTHER-BOY-AMT PREF-STOCK-BOY-AMT COMMON-STOCK-BOY-AMT JOINT-VENTURE-BOY-AMT REAL-ESTATE-BOY-AMT OTHER-LOANS-BOY-AMT PARTCP-LOANS-BOY-AMT INT-COMMON-TR-BOY-AMT INT-POOL-SEP-ACCT-BOY-AMT INT-MASTER-TR-BOY-AMT INT-103-12-INVST-BOY-AMT INT-REG-INVST-CO-BOY-AMT INS-CO-GEN-ACCT-BOY-AMT OTH-INVST-BOY-AMT EMPLR-SEC-BOY-AMT EMPLR-PROP-BOY-AMT BLDGS-USED-BOY-AMT TOT-ASSETS-BOY-AMT BNFTS-PAYABLE-BOY-AMT OPRTNG-PAYABLE-BOY-AMT ACQUIS-INDBT-BOY-AMT OTHER-LIAB-BOY-AMT TOT-LIABILITIES-BOY-AMT NET-ASSETS-BOY-AMT NON-INT-BEAR-CASH-EOY-AMT EMPLR-CONTRIB-EOY-AMT PARTCP-CONTRIB-EOY-AMT OTHER-RECEIVABLES-EOY-AMT INT-BEAR-CASH-EOY-AMT Date: 6/5/2006

Element Name

Dec

Length Type

Ref

Remarks

0 15 24 33 37 47 63 79 95 111 127 143 159 175 191 207 223 239 255 271 287 303 319 335 351 367 383 399 415 431 447 463 479 495 511 527 543 559 575 591 607

14 8 8 3 9 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15

N C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C

2007.00 0663.00 YYYYMMDD, Populate from 5500 YYYYMMDD, Populate from 0664.00 5500 0665.00 Populate from 5500 0666.00 Populate from 5500 0667.00 0668.00 0669.00 0670.00 0671.00 0672.00 0673.00 0674.00 0675.00 0676.00 0677.00 0678.00 0679.00 0680.00 0681.00 0682.00 0683.00 0684.00 0685.00 0686.00 0687.00 0688.00 0689.00 0690.00 0691.00 0692.00 0693.00 0694.00 0695.00 0696.00 0697.00 0698.00 0699.00 0700.00 0701.00 0702.00

Page B-26

DOL069RP20266 Amendment 02 - Attachment 8

EFAST2 RFP Attachment E, Page 52 of 60

EFAST2 Interface Requirements Document
Appendix B – Physical Record Layout File Name PDPEM.SCHEDH Element # 042 043 044 045 046 047 048 049 050 051 052 053 054 055 056 057 058 059 060 061 062 063 064 065 066 067 068 069 070 071 072 073 074 075 076 077 078 079 080 081 082 083 084 085 086

Operational Date: January 1, 2009 Revision Date: June 5, 2006 Date: 6/5/2006

Element Name

Dec

Length Type

Ref

Remarks

GOVT-SEC-EOY-AMT CORP-DEBT-PREFERRED-EOY-AMT CORP-DEBT-OTHER-EOY-AMT PREF-STOCK-EOY-AMT COMMON-STOCK-EOY-AMT JOINT-VENTURE-EOY-AMT REAL-ESTATE-EOY-AMT OTHER-LOANS-EOY-AMT PARTCP-LOANS-EOY-AMT INT-COMMON-TR-EOY-AMT INT-POOL-SEP-ACCT-EOY-AMT INT-MASTER-TR-EOY-AMT INT-103-12-INVST-EOY-AMT INT-REG-INVST-CO-EOY-AMT INS-CO-GEN-ACCT-EOY-AMT OTH-INVST-EOY-AMT EMPLR-SEC-EOY-AMT EMPLR-PROP-EOY-AMT BLDGS-USED-EOY-AMT TOT-ASSETS-EOY-AMT BNFTS-PAYABLE-EOY-AMT OPRTNG-PAYABLE-EOY-AMT ACQUIS-INDBT-EOY-AMT OTHER-LIAB-EOY-AMT TOT-LIABILITIES-EOY-AMT NET-ASSETS-EOY-AMT EMPLR-CONTRIB-INCOME-AMT PARTICIPANT-CONTRIB-AMT OTH-CONTRIB-RCVD-AMT NON-CASH-CONTRIB-BS-AMT TOT-CONTRIB-AMT INT-BEAR-CASH-AMT INT-ON-GOVT-SEC-AMT INT-ON-CORP-DEBT-AMT INT-ON-OTH-LOANS-AMT INT-ON-PARTCP-LOANS-AMT INT-ON-OTH-INVST-AMT TOTAL-INTEREST-AMT DIVND-PREF-STOCK-AMT DIVND-COMMON-STOCK-AMT TOTAL-DIVIDENDS-AMT TOTAL-RENTS-AMT AGGREGATE-PROCEEDS-AMT AGGREGATE-COSTS-AMT TOT-GAIN-LOSS-SALE-AST-AMT

623 639 655 671 687 703 719 735 751 767 783 799 815 831 847 863 879 895 911 927 943 959 975 991 1007 1023 1039 1055 1071 1087 1103 1119 1135 1151 1167 1183 1199 1215 1231 1247 1263 1279 1295 1311 1327

15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15

C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C

0703.00 0704.00 0705.00 0706.00 0707.00 0708.00 0709.00 0710.00 0711.00 0712.00 0713.00 0714.00 0715.00 0716.00 0717.00 0718.00 0719.00 0720.00 0721.00 0722.00 0723.00 0724.00 0725.00 0726.00 0727.00 0728.00 0729.00 0730.00 0731.00 0732.00 0733.00 0734.00 0735.00 0736.00 0738.00 0739.00 0740.00 0741.00 0742.00 0743.00 0744.00 0745.00 0746.00 0747.00 0748.00

Page B-27

DOL069RP20266 Amendment 02 - Attachment 8

EFAST2 RFP Attachment E, Page 53 of 60

EFAST2 Interface Requirements Document
Appendix B – Physical Record Layout File Name PDPEM.SCHEDH Element # 087 088 089 090 091 092 093 094 095 096 097 098 099 100 101 102 103 104 105 106 107 108 109 110 111 112 113 114 115 116 117 118 119 120 121 122 123 124 125 126 127 128 129

Operational Date: January 1, 2009 Revision Date: June 5, 2006 Date: 6/5/2006

Element Name

Dec

Length Type

Ref

Remarks

UNREALZD-APPRCTN-RE-AMT UNREALZD-APPRCTN-OTH-AMT TOT-UNREALZD-APPRCTN-AMT GAIN-LOSS-COM-TRUST-AMT GAIN-LOSS-POOL-SEP-AMT GAIN-LOSS-MASTER-TR-AMT GAIN-LOSS-103-12-INVST-AMT GAIN-LOSS-REG-INVST-AMT OTHER-INCOME-AMT TOT-INCOME-AMT DISTRIB-DRT-PARTCP-AMT INS-CARRIER-BNFTS-AMT OTH-BNFT-PAYMENT-AMT TOT-DISTRIB-BNFT-AMT TOT-CORRECTIVE-DISTRIB-AMT TOT-DEEMED-DISTRIB-PARTCP-LNSAMT TOT-INT-EXPENSE-AMT PROFESSIONAL-FEES-AMT CONTRACT-ADMIN-FEES-AMT INVST-MGMT-FEES-AMT OTHER-ADMIN-FEES-AMT TOT-ADMIN-EXPENSES-AMT TOT-EXPENSES-AMT NET-INCOME-AMT TOT-TRANSFERS-TO-AMT TOT-TRANSFERS-FROM-AMT ACCTNT-OPINION-TYPE-IND ACCT-OPIN-NOT-ON-FILE-IND ACCT-PERFORMED-LTD-AUDIT-IND ACCOUNTANT-FIRM-NAME ACCOUNTANT-FIRM-EIN FAIL-TRANSMIT-CONTRIB-IND FAIL-TRANSMIT-CONTRIB-AMT LOANS-IN-DEFAULT-IND LOANS-IN-DEFAULT-AMT LEASES-IN-DEFAULT-IND LEASES-IN-DEFAULT-AMT PARTY-IN-INT-NOT-RPTD-IND PARTY-IN-INT-NOT-RPTD-AMT PLAN-INS-FDLTY-BOND-IND PLAN-INS-FDLTY-BOND-AMT LOSS-DISCV-DUR-YEAR-IND LOSS-DISCV-DUR-YEAR-AMT

1343 1359 1375 1391 1407 1423 1439 1455 1471 1487 1503 1519 1535 1551 1567 1583 1599 1615 1631 1647 1663 1679 1695 1711 1727 1743 1759 1761 1763 1765 1801 1811 1813 1829 1831 1847 1849 1865 1867 1883 1885 1901 1903

15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 1 1 1 35 9 1 15 1 15 1 15 1 15 1 15 1 15

C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C C

0749.00 0750.00 0751.00 0752.00 0753.00 0754.00 0755.00 0756.00 0757.00 0758.00 0759.00 0760.00 0761.00 0762.00 0763.00 0764.00 0765.00 0766.00 0767.00 0768.00 0769.00 0770.00 0771.00 0772.00 0773.00 0774.00 0775.00 0775.04 0775.01 0775.02 0775.03 0780.00 0781.00 0782.00 0783.00 0784.00 0785.00 0786.00 0787.00 0788.00 0789.00 0790.00 0791.00 Page B-28

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Appendix B – Physical Record Layout File Name PDPEM.SCHEDH Element # 130 131 132 133 134 135 136 137 138 139 140 141 142

Operational Date: January 1, 2009 Revision Date: June 5, 2006 Date: 6/5/2006

Element Name

Dec

Length Type

Ref

Remarks

ASSET-UNDETERM-VAL-IND ASSET-UNDETERM-VAL-AMT NON-CASH-CONTRIB-IND NON-CASH-CONTRIB-AMT AST-HELD-INVST-IND FIVE-PRCNT-TRANS-IND ALL-PLAN-AST-DISTRIB-IND FAIL-PROVIDE-BENEFIT-DUE-IND FAIL-PROVIDE-BENEFIT-DUE-AMT PLAN-BLACKOUT-PERIOD-IND COMPLY-BLACKOUT-NOTICE-IND RES-TERM-PLAN-ADPT-IND RES-TERM-PLAN-ADPT-AMT Total Record Length

1919 1921 1937 1939 1955 1957 1959 1961 1963 1979 1981 1983 1985 2001

1 15 1 15 1 1 1 1 15 1 1 1 15

C C C C C C C C C C C C C

0792.00 0793.00 0794.00 0795.00 0796.00 0797.00 0798.00 0798.10 0798.15 0798.20 0798.30 0799.00 0800.00

B.24

Schedule H Part 1 Record Layout
File Name PDPEM.SCHEDHP1 Element # 001 002 003 004 005 DLN REC-SEQ-NUM PLAN-TRANSFER-NAME PLAN-TRANSFER-EIN PLAN-TRANSFER-PN Total Record Length Date: 6/5/2006

Element Name

Dec

Length Type

Ref

Remarks

0 15 36 177 187 191

14 20 140 9 3

N N C C C

2007.00 TBP by Contractor 0801.00 0802.00 0803.00

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Appendix B – Physical Record Layout

Operational Date: January 1, 2009 Revision Date: June 5, 2006

B.25

Schedule I Record Layout
File Name: PDPEM.SCHEDI Element # 001 DLN 002 003 004 005 006 007 008 009 010 011 012 013 014 015 016 017 018 019 020 021 022 023 024 025 026 027 028 029 030 031 032 033 034 035 036 037 038 039 040 041 042 Date: 6/5/2006

Element Name

Dec 0 15 24 33 37 47 63 79 95 111 127 143 159 175 191 207 223 239 255 271 287 303 319 335 351 367 369 385 387 403 405 421 423 439 441 457 459 475 477 493 495 511

Length Type 14 8 8 3 9 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 1 15 1 15 1 15 1 15 1 15 1 15 1 15 1 15 1 C C C C C C C C C C C C C C C C C C C C C N C C C C C C C C C C C C C C C C C C C

Ref 2007.00

Remarks

SCH-I-PLAN-YEAR-BEGIN-DATE SCH-I-TAX-PRD SCH-I-PLAN-NUM SCH-I-EIN SMALL-TOT-ASSETS-BOY-AMT SMALL-TOT-LIABILITIES-BOY-AMT SMALL-NET-ASSETS-BOY-AMT SMALL-TOT-ASSETS-EOY-AMT SMALL-TOT-LIABILITIES-EOY-AMT SMALL-NET-ASSETS-EOY-AMT SMALL-EMPLR-CONTRIB-INCOME-AMT SMALL-PARTICIPANT-CONTRIB-AMT SMALL-OTH-CONTRIB-RCVD-AMT SMALL-NON-CASH-CONTRIB-BS-AMT SMALL-OTHER-INCOME-AMT SMALL-TOT-INCOME-AMT SMALL-TOT-DISTRIB-BNFT-AMT SMALL-CORRECTIVE-DISTRIB-AMT SMALL-DEEMED-DSTRB-PARTCP-LNAMT SMALL-ADMIN-SRVC-PROVIDERS-AMT SMALL-OTH-EXPENSES-AMT SMALL-TOT-EXPENSES-AMT SMALL-NET-INCOME-AMT SMALL-TOT-PLAN-TRANSFERS-AMT SMALL-JOINT-VENTURE-EOY-IND SMALL-JOINT-VENTURE-EOY-AMT SMALL-EMPLR-PROP-EOY-IND SMALL-EMPLR-PROP-EOY-AMT SMALL-INVST-REAL-ESTATE-EOY-IND SMALL-INVST-REAL-ESTATE-EOY-AMT SMALL-EMPLR-SEC-EOY-IND SMALL-EMPLR-SEC-EOY-AMT SMALL-MORTG-PARTCP-EOY-IND SMALL-MORTG-PARTCP-EOY-AMT SMALL-OTH-LNS-PARTCP-EOY-IND SMALL-OTH-LNS-PARTCP-EOY-AMT SMALL-PERSONAL-PROP-EOY-IND SMALL-PERSONAL-PROP-EOY-AMT SMALL-FAIL-TRANSMIT-CONTRIB-IND SMALL-FAIL-TRANSMIT-CONTRIB-AMT SMALL-LOANS-IN-DEFAULT-IND

YYYYMMDD; Populate from 5500 YYYYMMDD; Populate from 0814.00 5500 0815.00 Populate from 5500 0813.00 0816.00 Populate from 5500 0817.00 0818.00 0819.00 0820.00 0821.00 0822.00 0823.00 0824.00 0825.00 0826.00 0827.00 0828.00 0829.00 0830.00 0831.00 0831.50 0832.00 0833.00 0834.00 0835.00 0836.00 0837.00 0838.00 0839.00 0840.00 0841.00 0842.00 0843.00 0844.00 0845.00 0846.00 0847.00 0848.00 0849.00 0850.00 0851.00 0852.00

Page B-30

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Appendix B – Physical Record Layout File Name: PDPEM.SCHEDI Element Element Name # 043 SMALL-LOANS-IN-DEFAULT-AMT 044 045 046 047 048 049 050 051 052 053 054 055 056 057 058 059 060 061 062 063 064 065 SMALL-LEASES-IN-DEFAULT-IND SMALL-LEASES-IN-DEFAULT-AMT SMALL-PARTY-IN-INT-NOT-RPTD-IND SMALL-PARTY-IN-INT-NOT-RPTD-AMT SMALL-PLAN-INS-FDLTY-BOND-IND SMALL-PLAN-INS-FDLTY-BOND-AMT SMALL-LOSS-DISCV-DUR-YEAR-IND SMALL-LOSS-DISCV-DUR-YEAR-AMT SMALL-ASSET-UNDETERM-VAL-IND SMALL-ASSET-UNDETERM-VAL-AMT SMALL-NON-CASH-CONTRIB-IND SMALL-NON-CASH-CONTRIB-AMT SMALL-20-PRCNT-SNGL-INVST-IND SMALL-20-PRCNT-SNGL-INVST-AMT SMALL-ALL-PLAN-AST-DISTRIB-IND WAIVER-ANNUAL-IQPA-REPORT SMALL-FAIL-PROVIDE-BENEFIT-DUEIND SMALL-FAIL-PROVIDE-BENEFIT-DUEAMT SMALL-PLAN-BLACKOUT-PERIOD-IND SMALL-COMPLY-BLACKOUT-NOTICEIND SMALL-RES-TERM-PLAN-ADPT-IND SMALL-RES-TERM-PLAN-ADPT-AMT Total Record Length

Operational Date: January 1, 2009 Revision Date: June 5, 2006 Date: 6/5/2006

Dec 513 529 531 547 549 565 567 583 585 601 603 619 621 637 639 655 657 659 661 677 679 681 683 699

Length Type 15 1 15 1 15 1 15 1 15 1 15 1 15 1 15 1 1 1 15 1 1 1 15 C C C C C C C C C C C C C C C C C C C C C C C

Ref 0853.00 0854.00 0855.00 0856.00 0857.00 0858.00 0859.00 0860.00 0861.00 0862.00 0863.00 0864.00 0865.00 0866.00 0867.00 0868.00 0868.01 0868.10 0868.15 0868.20 0868.30 0869.00 0870.00

Remarks

B.26

Schedule I Part 1 Record Layout
File Name: PDPEM.SCHEDIP1 Element # 001 002 003 004 005 DLN REC-SEQ-NUM SMALL-PLAN-TRANSFER-NAME SMALL-PLAN-TRANSFER-EIN SMALL-PLAN-TRANSFER-PN Total Record Length Date: 6/5/2006

Element Name

Dec

Length Type

Ref

Remarks

0 15 36 177 187 191

14 20 140 9 3

N N C C C

2007.00 TBP by Contractor 0871.00 0872.00 0873.00

Page B-31

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Appendix B – Physical Record Layout

Operational Date: January 1, 2009 Revision Date: June 5, 2006

B.27

Schedule R Record Layout
File Name: PDPEM.SCHEDR Element # 001 002 003 004 005 006 007 008 009 010 011 012 013 014 015 016 017 018 019 020 021 022 023 024 025 026 027 028 029 030 DLN SCH-R-PLAN-YEAR-BEGIN-DATE SCH-R-TAX-PRD SCH-R-PN SCH-R-EIN PEN-VALUE-DSTRB-PD-PRPTY-AMT PEN-PAYOR-01-EIN PEN-PAYOR-02-EIN PEN-BNFT-DISTRIB-SNGL-SUM-CNT PEN-ELEC-SATISFY-CODE-412-IND PEN-FNDNG-WVRS-DATE PEN-EMPLR-CONTRIB-RQR-AMT PEN-EMPLR-CONTRIB-PAID-AMT PEN-FUNDING-DEFICIENCY-AMT PEN-FUNDING-DEADLINE-IND PEN-CHG-FNDNG-METHOD-IND PEN-AMDMT-INCR-VAL-BNFT-IND PEN-SEC-REPAY-LOAN-IND PEN-SEC-REPAY-LOAN-TEXT ESOP-PREF-STOCK-IND ESOP-PREF-CNVRT-TEXT ESOP-BACK-TO-BACK-IND ESOP-STOCK-NOT-TRADABLE-IND CONTRIB-EMPLR-NAME CONTRIB-EMPLR-EIN CONTRIB-EMPLR-AMT CONTRIB-EMPLR-RATE CONTRIB-EMPLR-BASE-CD CONTRIB-EMPLR-OTH-BASE-TEXT CONTRIB-EMPLR-CBA-EXP-DATE Total Record Length Date: 6/5/2006

Element Name

Dec

Length Type

Ref

Remarks

0 15 24 33 37 47 63 73 83 92 94 103 119 135 151 153 155 158 160 411 413 664 666 668 739 749 765 770 772 798 807

14 8 8 3 9 15 9 9 8 1 8 15 15 15 1 1 2 1 250 1 250 1 1 70 9 15 4 1 25 8

N C C C C C C C C C C C C C C C C C C C C C C C C C C C C C

2007.00 0898.00 YYYYMMDD; Populate from 5500 YYYYMMDD; Populate from 0899.00 5500 0900.00 Populate from 5500 0901.00 Populate from 5500 0902.00 0903.00 0904.00 0905.00 0906.00 0907.00 YYYYMMDD 0908.00 0909.00 0910.00 0910.50 0911.00 0913.00 0950.00 0951.00 0952.00 0953.00 0954.00 0955.00 0956.00 0957.00 0958.00 0959.00 0960.00 0960.50 0961.00

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Appendix B – Physical Record Layout

Operational Date: January 1, 2009 Revision Date: June 5, 2006

B.28

Schedule R Part 1 Record Layout
File Name: PDPEM.SCHEDRP1 Element # 001 002 003 004 005 006 007 008 009 DLN REC-SEQ-NUM CONTRIB-EMPLR-NAME CONTRIB-EMPLR-EIN CONTRIB-EMPLR-AMT CONTRIB-EMPLR-RATE CONTRIB-EMPLR-BASE-CD CONTRIB-EMPLR-OTH-BASE-TEXT CONTRIB-EMPLR-CBA-EXP-DATE Total Record Length Date: 6/5/2006

Element Name

Dec

Length Type

Ref

Remarks

0 15 36 107 117 133 138 140 166 175

14 20 70 9 15 4 1 25 8

N N C C C C C C C

2007.00 TBPby Contractor 0956.00 0957.00 0958.00 0959.00 0960.00 0960.50 0961.00

B.29

Tracking Record Layout
File Name: PDPEM.TRACKING Element # Date: 6/5/2006

Element Name

Dec

Length Type

Ref

Remarks

001 002 003 004 005 006 007 008 009 010 011 012 013 014 015 016 017 018 019 020 021 022 023

DLN FILING-HEADER-EIN FILING-HEADER-PN FILING-HEADER-PLAN-YEAR-BEGIN FILING-HEADER-PLAN-YEAR-END FILING-HEADER-AMENDED-IND FILING-HEADER-REF-ACK-ID FILING-HEADER-FORM-YEAR FILING-HEADER-PRIOR-YR-IND Form Type (5500,5500-SF) FILING-ID FILING-HEADER-FILING-SOFTWARE-ID SPONSOR-SIGNATURE-USERID ADMIN-SIGNATURE-USERID DFE-SIGNATURE-USERID AGENT-SECURITY-SIGNERID SUBMISSION-REQUEST-ID TRANSMITTER-ID TRANSMISSION-SOFTWARE-ID ACK-ID FILING-STATUS ERROR-CODE [] FILING-HEADER-TIMESTAMP

0

14 9 3 8 8 1 TBP 4 TBP 20 TBP 8 8 8 TBP 20 8 8 30 20

N C C C C C C C N C C C C C C C C C C C

2007.00 1502.00 1503.00 1503.50 1504.00 1505.00 1505.50 1506.00 1507.20 TBP 1500.00 1507.50 1512.00 1508.00 1515.50 1517.00 2000.00 2000.70 2001.00 1622.00 TBP 1501.00

TBP TBP

TBP TBP 1621.00 TBP TBP

Page B-33

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EFAST2 Interface Requirements Document
Appendix B – Physical Record Layout File Name: PDPEM.TRACKING Element # 024 025 026 027 028 029 030 031 032 033 034 035 036 037 038 039 040 041 042 043 044 045 046

Operational Date: January 1, 2009 Revision Date: June 5, 2006 Date: 6/5/2006

Element Name

Dec

Length Type

Ref

Remarks

RECEIVED-TIMESTAMP Tracking Record Created Timestamp TRANSMISSION-RESPONSETIMESTAMP VALIDATED-TIMESTAMP Acknowledgement Response Timestamp Output Record Timestamp Completed EBSA Availability Timestamp Completed IRS Availability Timestamp Completed PBGC Availability Timestamp Completed Public Disclosure Availability Timestamp EBSA Availability Indicator IRS Availability Indicator PBGC Availability Indicator Public Disclosure Availability Indicator Completed EBSA Delivery Timestamp Completed IRS Delivery Timestamp Completed PBGC Delivery Timestamp COMPLETED-PROC-TIMESTAMP DLN Link to XML output record Link to Archived Input message Suspect Duplicate Indicator True Duplicate Indicator

25

C

1621.00 TBP 2005.00 1624.00 . TBP TBP TBP TBP TBP TBP TBP

TBP TBP 25 25 C C

TBP TBP TBP TBP TBP TBP TBP TBP TBP TBP TBP TBP TBP TBP

TBP TBP TBP TBP TBP TBP TBP TBP TBP TBP TBP TBP TBP 25 C TBP TBP TBP TBP TBP TBP TBP TBP TBP TBP TBP TBP TBP TBP TBP 1624 TBP TBP TBP TBP TBP

Page B-34

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Appendix B – Physical Record Layout

Operational Date: January 1, 2009 Revision Date: June 5, 2006

B.30

Control Record Layout
Date: 6/5/2006

File Name: 260-xx-03-001 Record Title: EFAST2 Control Record

Element Name

Dec

Length

Type

Remarks

DATA-SET-NAME FILLER RECORD-COUNT

0 44

44 1 12

C C C C C C C C C C C C C C C C C C C C C C

Name of Data File

45 FILLER AGENCY-NUMBER FILLER AGENCY-NAME FILLER AGENCY-ADDRESS FILLER TYPE-OF-DATA FILLER CREATION-DATE FILLER 5500-COUNT FILLER 5500SF-COUNT FILLER SCHEDULES-COUNT FILLER TRANSMISSION-DATE FILLER Total Record Length 57 58 61 62 106 107 151 152 153 154 162 163 175 176 188 189 201 202 210 243 1 3 1 44 1 44 1 1 1 8 1 12 1 12 1 12 1 8 33

Total record count (Should = sum of four counts shown below)

Blank

Vendor name

Address + City, State, Zip

O (Original), B (Backup), R (Replacement), or T (Test)

YYYYMMDD

Unsigned

Unsigned

Unsigned

YYYYMMDD

Page B-35

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EFAST2 RFP Attachment J, Page 1 of 16

Attachment 9
Attachment J EFAST2 Tracking Database and Production Control Reporting Requirements

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This Page is Intentionally Left Blank

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EFAST2 RFP Attachment J, Page 3 of 16

J.1

Tracking Database Purpose

The purpose of the tracking database is multifold: 1. Production Control Reports. Provide an automated infrastructure enabling timely, automatic generation of accurate production control reports to the Government, based on self-consistent counts of all filings received in valid submission requests, including accepted, not accepted, and in-process, and counts of filings failing each edit test. Audit. Provide an auditable basis for measuring system performance, including timeliness performance standards and associated incentive payments. End User Reference. Allow authorized Government end users to search for filing information, including across multiple plan years, and obtain identifiers used to retrieve posted filing data. Tracking Database Requirements

2. 3.

J.2

The tracking database requirements described below are not intended to fully satisfy the Contractor's internal production control needs. They concern only functionality required for the purposes listed above. The database shall include one record for every filing submission received in a valid request message as defined in Section C.10.4, including not-accepted submissions and filings still in process in IFAS (i.e., not yet posted to Data Management). Filing status records shall be retained in the tracking database from filing receipt for a minimum of five years after delivery to the Government of final status structured data records. J.2.1 Tracking Database Records and Data Elements

Each record in the database shall contain, at a minimum, the following data elements (See the DER, Attachment P, for detailed description): Field FILING-HEADER-EIN FILING-HEADER-PN FILING-HEADER-PLAN-YEARBEGIN Source FilingHeader FilingHeader FilingHeader When Populated Tracking record creation Tracking record creation Tracking record creation

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EFAST2 RFP Attachment J, Page 4 of 16

Field FILING-HEADER-PLAN-YEAREND FILING-HEADER-AMENDEDIND FILING-HEADER-REF-ACK-ID FILING-HEADER-FORM-YEAR FILING-HEADER-PRIOR-YR-IND Form Type (5500, 5500-SF) FILING-ID FILING-HEADER-FILINGSOFTWARE-ID SPONSOR-SIGNATURE-USERID ADMIN-SIGNATURE-USERID DFE-SIGNATURE-USERID AGENT-SECURITY-SIGNERID SUBMISSION-REQUEST-ID TRANSMITTER-ID TRANSMISSION-SOFTWARE-ID

Source FilingHeader FilingHeader FilingHeader FilingHeader FilingHeader Filing structure FilingHeader FilingHeader FilingHeader FilingHeader FilingHeader FilingHeader RequestHeader RequestHeader RequestHeader

When Populated Tracking record creation Tracking record creation Tracking record creation Tracking record creation Tracking record creation Tracking record creation Tracking record creation Tracking record creation Tracking record creation Tracking record creation Tracking record creation Tracking record creation Tracking record creation Tracking record creation Tracking record creation

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EFAST2 RFP Attachment J, Page 5 of 16

Field ACK-ID

Source Filing Status database. System-generated unique identifier of a filing submission, whether accepted or not. Generated on completion of acceptance processing. Filing Status database

When Populated On completion of acceptance processing

FILING-STATUS

On completion of acceptance processing On completion of acceptance processing Tracking record creation Tracking record creation Tracking record creation

ERROR-CODE []

Filing Status database (array) of all schema failures and edit test failures FilingHeader RequestHeader System-generated, indicates time of receipt of valid submission message. This value shall be used to determine compliance with timeliness performance standards described in Section C.2. System-generated by tracking database at time this record is inserted. System-generated by tracking database at time the receipt is generated and returned to filer.

FILING-HEADER-TIMESTAMP TRANSMISSION-MESSAGETIMESTAMP RECEIVED-TIMESTAMP

Tracking Record Created Timestamp

Tracking record creation

TRANSMISSION-RESPONSETIMESTAMP

Receipt sent to filer

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EFAST2 RFP Attachment J, Page 6 of 16

Field VALIDATED-TIMESTAMP

Source System-generated, indicates time of completion of acceptance processing in IFAS and generation of filing status field in tracking database. The value for this data element shall be used to determine compliance with timeliness performance standards described in Section C.2. System-generated, indicates time of completion of acceptance processing in IFAS and generation of acknowledgement response to filer. The value for this data element shall be used to determine compliance with timeliness performance standards described in Section C.2. System-generated, indicates time of generation of ProcessedFiling output data record. System-generated, indicates availability of data distribution record to EBSA. The value for this data element shall be used to determine compliance with timeliness performance standards described in Section C.2.

When Populated On completion of acceptance processing

Acknowledgement Response Timestamp

Acknowledgement sent to filer

Output Record Timestamp

On completion of output record creation

Completed EBSA Availability Timestamp

On completion of EBSA output record availability

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EFAST2 RFP Attachment J, Page 7 of 16

Field Completed IRS Availability Timestamp

Source System-generated, indicates availability of data distribution record to IRS. The value for this data element shall be used to determine compliance with timeliness performance standards described in Section C.2. System-generated, indicates availability of data distribution record to PBGC. The value for this data element shall be used to determine compliance with timeliness performance standards described in Section C.2. System-generated, indicates availability of data distribution record to Public Disclosure. System-generated, relates to selection criteria for EBSA distribution described in Attachment E.2.1.2. System-generated, relates to selection criteria for IRS distribution described in Attachment E.2.2.2. System-generated, relates to selection criteria for PBGC distribution described in Attachment E.2.3.2.

When Populated On completion of IRS output record availability

Completed PBGC Availability Timestamp

On completion of PBGC output record availability

Completed Public Disclosure Availability Timestamp

On completion of Public Disclosure output record Tracking record creation; set = 0 if delivery not required, set = 1 if delivery required Tracking record creation; set = 0 if delivery not required, set = 1 if delivery required Tracking record creation; set = 0 if delivery not required, set = 1 if delivery required

EBSA Availability Indicator

IRS Availability Indicator

PBGC Availability Indicator

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EFAST2 RFP Attachment J, Page 8 of 16

Field Public Disclosure Availability Indicator

Source System-generated, relates to selection criteria for Public Disclosure described in Section C.15.2. System-generated, indicates delivery of data dis tribution record to EBSA. The value for this data element shall be used to determine compliance with timeliness performance standards described in Section C.2. System-generated, indicates delivery of data distribution record to IRS. The value for this data element shall be used to determine compliance with timeliness performance standards described in Section C.2. System-generated, indicates delivery of data distribution record to PBGC. The value for this data element shall be used to determine compliance with timeliness performance standards described in Section C.2.

When Populated Tracking record creation; set = 0 if delivery not required, set = 1 if delivery required On sending of email notification message to EBSA indicating that the “push” data distribution product has been generated and is available for pickup by EBSA. On sending of email notification message to IRS indicating that the “push” data distribution product has been generated and is available for pickup by IRS. On sending of email notification message to PBGC indicating that the “push” data distribution product has been generated and is available for pickup by PBGC.

Completed EBSA Delivery Timestamp

Completed IRS Delivery Timestamp

Completed PBGC Delivery Timestamp

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EFAST2 RFP Attachment J, Page 9 of 16

Field COMPLETED-PROCTIMESTAMP

Source System-generated, indicates availability of data distribution record to EBSA, IRS, PBGC, and Public Disclosure. The value for this data element shall be used to determine compliance with timeliness performance standards described in Section C.2.

When Populated Calculated as follows: COMPLETEDPROCTIMESTAMP = MAX(Completed EBSA Availability Timestamp * EBSA Availability Indicator, Completed IRS Availability Timestamp * IRS Availability Indicator, Completed PBGC Availability Timestamp * PBGC Availability Indicator, Completed Public Disclosure Availability Timestamp * Public Disclosure Availability Indicator) On completion of output record creation

DLN

System-generated globally unique identifier of an accepted filing submission. Allows retrieval of filing data. Used for special ad hoc Government requests only.

Link to XML output record

On completion of output record creation Tracking record creation

Link to Archived Input message

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EFAST2 RFP Attachment J, Page 10 of 16

Field Suspect Duplicate Indicator

Source System-generated from automated query of Tracking Database System-generated from automated query of Tracking Database

When Populated Tracking record creation Subsequent to completion of filing acceptance

True Duplicate Indicator

J.2.2

Creating and Populating Tracking Database Records

Each record shall be created immediately upon receipt of a valid filing submission request, whether or not the filing submission itself is ultimately accepted or not accepted. For details of submission request validation, see Section C.10.4. Each tracking record element shall be populated in the tracking database and accessible to queries within one minute of completion of the "when populated" event listed in Section J.2.1. Contractor's technical proposal shall demonstrate that the system technical architecture is capable of capturing each such timestamp automatically and recording it in the tracking database. J.2.3 Tracking Database Audit Trail, Query Application, and Detail Reports

All changes to populated filing records in the tracking database, including deletion, shall be logged and visible for audit purposes. The Contractor shall provide a programmatic query interface to the database suitable for automatically generating report deliverables such as the Production Control (PC) Reports. Upon Government request, the Contractor shall create a snapshot of the tracking database as of a specified date, suitable for validating or auditing PC Reports. In addition, the Contractor shall make this available to the Government as supporting documentation for PC Reports and verification of timeliness standard compliance. Supporting documentation requirements for invoices are specified in Section G. J.2.4 True Duplicate Detection

The Contractor shall inspect all accepted filing submissions to determine whether they are true duplicates of previously accepted filings. A filing submission shall be considered a true duplicate if all FilingData or ShortFormData elements in the ProcessedFiling output record are identical to those of a previously accepted filing submission. In that case, the submission with the later Received Timestamp value in the Tracking Database shall be considered a duplicate, and the submission with the earlier Received Timestamp value shall not be considered a duplicate.

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EFAST2 RFP Attachment J, Page 11 of 16

The detection shall take place in two steps. Upon creation of the tracking record for a filing submission, if the values of FILING-HEADER-FORM-YEAR, FILING-HEADER-EIN, FILING-HEADER-PN, and FILING-HEADER-PLAN-YEAR-END match those of an existing Tracking Database record, and if FILING-HEADER-AMENDED-IND does not equal '1', then the tracking record with the later RECEIVED- TIMESTAMP value shall be marked as a Suspect Duplicate in the Tracking Database. Subsequent to completion of filing acceptance, each accepted filing submission marked as a Suspect Duplicate shall be checked to determine whether it is a true duplicate as described above and in Sections C.11.1 and C.14.5, and if so shall be marked as a True Duplicate in the Tracking Database. The Contractor shall complete duplicate detection for each accepted filing within 24 hours of filing acceptance. J.2.5 Tracking Database Performance

The Contractor shall design the tracking database to include, at a minimum: • • • • • Inquiries spanning multiple plan years Aggregation of records by TRANSMITTER-ID, TRANSMISSIONSOFTWARE-ID, or FILING-HEADER-SOFTWARE-ID Aggregation of records by ERROR-CODE Marrying amended to original filings (matching FILING-HEADER-REF-ACKID to ACK-ID) Detection of “true duplicate” filings

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EFAST2 RFP Attachment J, Page 12 of 16

J.3 J.3.1

Production Control Reports Purpose

The purpose of Production Control (PC) Reports is to help the Government do the following: 1. 2. 3. 4. J.3.2 1. Monitor the overall status of EFAST2 production Analyze volume trends vs. historical patterns Analyze performance of edit tests Track compliance with timeliness performance standards Production Control Report General Requirements PC Reports shall be delivered to the Government on a weekly basis. Each report shall record the state of the system as of the end of the processing week, however the Contractor defines it (e.g. after last shift, Saturday). Reports shall be delivered within 2 business days of conclusion of the reporting period. The report shall be in a format suitable both for computation and analysis, such as Microsoft Excel, and formatted as a printable record.. Except as indicated otherwise, all report elements shall be generated automatically by queries against the tracking database or against a snapshot report of the database. PC Report values shall be consistent with values obtained by Government queries against the same data set, such as for audit purposes. PC reports shall be self-consistent, as determined by self-consistency checks specified below. Delivered reports that fail any such checks shall be accompanied by a reasonable explanation of each discrepancy, or shall be not accepted by the Government as deficient or defective. Production Control Report Required Data Elements

2. 3. 4. 5. 6. 7.

J.3.3

The following data elements shall be included in each report. Production Control Report Header Items: 1. 2. 3. Report date. This is the Date/time of the tracking database snapshot used to create the report was generated. Version number of the report Delivery date. Date report delivered to the Government.

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EFAST2 RFP Attachment J, Page 13 of 16

J.3.3.1

Production Control Report Section 1 – Volumes

This section shall contain 3 columns, representing the following: A. Filing submissions, current week B. Filing submissions, previous week C. Filing submissions, cumulative count (by processing year) Rows in this report section shall include the following data elements: 1. Count of filing submissions received. The value indicates receipt by filing acceptance system, and shall include the sum total of filings accepted, filings not accepted, and filings still in acceptance processing. It shall not include filings included in invalid web service requests, as described in Section C.10.4. a) Regular filings b) Short form filings c) Prior year filings 2. Count of filing submissions not accepted, as described in Section C.10.4. a) Regular filings b) Short form filings c) Prior year filings 3. Count of filing submissions accepted, as described in Section C.10.4. a) Regular filings b) Short form filings c) Prior year filings 4. Count of filing submissions completing structured output data record. a) Regular filings b) Short form filings c) Prior year filings 5. Count of filing submissions completing delivery to Government end users. a) Regular filings b) Short form filings

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EFAST2 RFP Attachment J, Page 14 of 16

c) Prior year filings 6. Count of duplicate filings or amended filings.

J.3.3.2

Production Control Report Section 2 - Backlogs

This section shall contain 3 columns, as follows: A. Filings, current week B. Filings, previous week C. Filings, weekly change

Rows in this report section shall include the following data elements: 1. Validation backlog. Received but not completed acceptance processing. 2. Structured data processing backlog. Completed acceptance processing but not yet completed posting of output data record. 3. Distribution backlog. Completed output data record but not yet completed distribution to all end user agencies and public disclosure.

J.3.3.3

Production Control Report Section 3 - Timeliness

This section shall contain 3 columns, as follows: A. Filings, current week B. Filings, previous week C. Filings, current performance standard measurement period, to date Rows in this report section shall include the following data elements: 1. Mean time to acknowledgment. Calculated as average of Validated timestamp minus Received timestamp, computed using all filing submissions with Validated timestamp in the specified reporting interval. 2. Mean time to structured output data. Calculated as average of Output Record timestamp minus Received timestamp; computed using all filing submissions with Output Record timestamp in the specified reporting interval. 3. Mean time to delivery. Calculated as average of Completed Delivery timestamp minus Received timestamp; computed using all filing submissions with Completed Delivery timestamp in the specified reporting interval.

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EFAST2 RFP Attachment J, Page 15 of 16

4. Timely acceptance count. Count only filings with Validated timestamp in the specified reporting interval. 5. Not-timely acceptance count. Count only filings with Validated timestamp in the specified reporting interval. 6. Acceptance timeliness percentage. This is calculated as the timely acceptance count divided by the sum of the timely acceptance count and the not-timely acceptance count. 7. Timely delivery count. Count only filings with Completed Delivery timestamp in the specified reporting interval. 8. Not-timely delivery count. Count only filings with Completed Delivery timestamp in the specified reporting interval. 9. Delivery timeliness percentage. This is calculated as the timely delivery count divided by the sum of the timely delivery count and the not-timely delivery count.

J.3.4

Production Control Report Section 4 - Edit Test Performance

This section shall contain 3 columns, representing the following: A. Filings validated, current week B. Filings validated, previous week C. Filings validated, cumulative count (by processing year)

Rows in this section represent specific error/alert conditions, to include, at a minimum: 1. Total count 2. No errors or alerts 3. Schema error (If multiple schema error codes, break out each code in separate row. See Section C.10.4.8) 4. Invalid binary attachment 5. Invalid FilingSoftwareId 6. Edit test errors, one row for each edit test number (also indicate Severity in row label)

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EFAST2 RFP Attachment J, Page 16 of 16

J.3.5

Production Control Report Quality Control Consistency Checks

In order to ensure that PC reports delivered to the Government are accurate and self-consistent, the reports shall include consistency checks, as described below. Each PC report shall report values of both the left and right sides of each consistency check equation. Any equations that do not balance shall be explained in an attached note. 1. Overall system balance check: Cumulative filings received = Cumulative filings not accepted + Cumulative filings completing delivery + Cumulative validation backlog + Cumulative structured data backlog + Cumulative delivery backlog + Prior year correction, where Prior year correction = Cumulative filings not accepted at end of previous processing year + Cumulative filings completing delivery at end of previous processing year – Cumulative filings received at end of previous processing year 2. Validation backlog check: Weekly change in Validation backlog = Current week filings received – current week filings completing validation. 3. Structured data backlog check: Weekly change in Structured Data backlog = Current week filings accepted – current week filings completing structured data. 4. Delivery backlog check: Weekly change in Delivery backlog = Current week filings completing structured data – current week filings completing delivery.

The Contractor shall attach to the PC Report an explanation of any consistency check that fails.

DOL069RP20266 Amendment 02 - Attachment 10

EFAST2 RFP Attachment P

Attachment 10
Attachment P.2008 Data Element Requirements (DER)

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Data Element - Plan Year 2008
Form SF Form Label Plan Year Beginning Date IRD Variable

SF-PLAN-YEAR-BEGIN-DATE
Line Number PLAN YEAR BEGIN

Var Number 1092

Input Specification
XML Element Name ElementID PlanYearBeginDate 1092 Required in schema

Edit tests: P-209SF X-008SF

Reject when the Form 5500-SF plan year ending date is earlier than the Form 5500-SF plan year beginning date, or when the difference exceeds 371 days. Reject when any of the PlanYearBeginDate, PlanYearEndDate, EIN, Plan Number, or Amended Indicator in the Filing Header do not match corresponding element on the Form5500-SF. Reject when the Plan Year Beginning Date on Schedule B does not match the Plan Year Beginning Date on Form 5500-SF. Alert when Schedule B Line 1a is not a date between the Plan Year Beginning and Plan Year Ending dates on Form 5500-SF.

X-027SF X-031SF

Schema Info: Type DateType

minOccurs= 1; maxOccurs= 1

Type Info: DateType - simpleType [Base type for a date in the format of YYYY-MM-DD ] Base: xsd:date Restrictions: None

Acknowledgment Error Message: The value for the XML element PlanYearBeginDate in line PLAN YEAR BEGIN of SF is invalid for the datatype DateType. Valid values for this datatype include valid calendar dates in the format YYYY-MM-DD (hyphens required).

Output Specification - XML Format
Copy input element value exactly

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Data Element - Plan Year 2008
Form SF Form Label Plan Year Ending Date IRD Variable

SF-TAX-PRD
Line Number PLAN YEAR END

Var Number 1093

Input Specification
XML Element ElementID 1093 Name PlanYearEndDate Required in schema

Edit tests: P-209SF X-004SF X-008SF

Reject when the Form 5500-SF plan year ending date is earlier than the Form 5500-SF plan year beginning date, or when the difference exceeds 371 days. Reject when the Effective Date of the Plan on Form 5500-SF Line 1c is not a date between 1800-01-01 and the Plan Year End date. Reject when any of the PlanYearBeginDate, PlanYearEndDate, EIN, Plan Number, or Amended Indicator in the Filing Header do not match corresponding element on the Form5500-SF. Reject when the Plan Year Ending Date on Schedule B does not match the Plan Year Ending Date on Form 5500-SF. Alert when Schedule B Line 1a is not a date between the Plan Year Beginning and Plan Year Ending dates on Form 5500-SF.

X-028SF X-031SF

Schema Info: Type DateType

minOccurs= 1; maxOccurs= 1

Type Info: DateType - simpleType [Base type for a date in the format of YYYY-MM-DD ] Base: xsd:date Restrictions: None

Acknowledgment Error Message: The value for the XML element PlanYearEndDate in line PLAN YEAR END of SF is invalid for the datatype DateType. Valid values for this datatype include valid calendar dates in the format YYYY-MM-DD (hyphens required).

Output Specification - XML Format
Copy input element value exactly