Location Section 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

Section C

Proposal

C.1 - C.1.1 C.1.1.1

c) The Offeror’s demonstrated understanding of the key technical issues that will C.1.2 have the largest impact on the success of the project d) The Offeror’s demonstrated understanding of the project activities by contract C.1.1.3 period e) A Requirements Traceability Matrix (RTM) that references the section/page in All the Offeror’s Technical Proposal on which the requirement(s) of the solicitation are addressed per Attachment B L.8.2 L.8.2.1 TECHNICAL APPROACH 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) Project activities by contract period L.8.2.2 Base Period Approach Base Period - First Component Describe the Offeror’s approach to the following activities: 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 b) Testing the scale up production processing system Base Period - Third Component

C.1.1.2 C.1.1.3

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

C.1.2.2.1 C.1.2.2.2

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) 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 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

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

C.1.3.1.1

C.1.3.1.2 C.1.3.1.3 C.1.3.1.4

e) Incorporating potential value-added features, upon request, per Attachment O C.1.3.1.5, O Second Component - Advance Pre-processing Activities a) Performing system startup and processing Plan Year 2008 and 2009 forms 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 C.1.4, C.1.4.1, C.1.4.1.2, C.1.4.2, operations C.1.4.2.2, C.1.4.3, C.1.4.3.2, C.1.4.4,

C.1.3.2 C.1.3.2.1, C.1.3.2.2

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 C.1.4.1.1, C.1.4.2.1, C.1.4.3.1, operations 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) Incorporating annual forms changes and GFI materials into the system rollover C.17, C.23
process

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 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) Describe the Offeror’s approach to performance monitoring

C.13, C.13.1 C.13.2 C.13.3

d) Describe the Offeror’s approach to hardware hosting and open hardware C.13.4 - C.13.5 architecture in compliance with the requirements of Section C.13 e) Discuss the Offeror’s approach to designing EFAST2 to fully support IPv4 and C.13.6 IPv6 internet protocols f) Describe the Offeror’s approach to developing security infrastructure and C.13.7 - C.13.8 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, including both “processable” and “unprocessable” filing submissions b) Developing and maintaining a tracking database to measure system performance, and managing tracking database records c) Implementing a tracking database to support supplementary tracking, production control reports and large monthly plan reports 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 e) Generating invoices that will accurately account for factors affecting costs

C.4 C.6.1 - C.6.3 C.6.4 - C.6.6 C.2.1 - C.2.2 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 web portal that is accessible to different user audiences c) Demonstrate the Offeror’s approach to designing a user-friendly and organized webpage structure for the EFAST2 web portal 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 e) Describe the Offeror’s approach to creating an iterative process for developing and maintaining the web portal 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 g) Discuss the Offeror’s approach to developing an Internet Filing Registration (IREG) capability to allow all EFAST2 participants to apply for and receive authenticable credentials to access certain portal functions and electronic signing

C.10.2 - C.10.2.2 C.10.2.3 C.10.2.4 - C.10.2.5 C.10.2.6 - C.10.2.7 C.10.2.8 - C.10.2.11 C.10.3 - C.10.3.1

h) Describe the Offeror’s approach to accommodating shared signing in the IREG application I) Describe the IREG application and instruction materials that the Offeror would develop j) Describe the process by which IREG will issue access credentials and passwords to all different classes of EFAST2 users/ IREG applicants k) Describe the Offeror’s approach to managing electronic filing credentials to accurately authenticate various EFAST2 web service requests l) Describe the Offeror’s approach to promoting electronic filing through kick-off postcards 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 n) Describe the Offeror’s approach to providing IFILE access control, allowing authorized users to author filings o) Describe the Offeror’s approach to importing and exporting functionality, 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 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 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.10.3.2 C.10.3.3 C.10.3.4 - C.10.3.5 C.10.3.6 C.10.3.7 C.10.5.1 C.10.5.2 - C.10.5.3 C.10.5.4 - C.10.5.9 C.10.5.10 - C.10.5.16

C.10.4.1 - C.10.4.2

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

C.10.4.7

g) Describe the Offeror’s approach to managing, storing and disseminating IFAS C.10.4.8 filing status information and acknowledgments 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 store and organize Form 5500 return/report information

C.14.1

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

a) Describe the Offeror’s approach to designing a web-based data dissemination C.15 service per Section C.15 b) Describe the Offeror’s approach for providing varying access control and data C.15.1 - C.15.7 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 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 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) Describe the Offeror’s approach to converting Attachment P - Volume 2 XML Schema into applied electronic filing accept/reject criteria 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 e) Describe the Offeror’s approach to designing and operating the consolidated contact center in accordance with the requirements of Section C.18 f) Describe the Offeror’s approach to contact center monitoring, reporting and training requirements 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 b) Indicate the Software Engineering Institute Capability Maturity Model (SEICMM) level for the Offeror would maintain for EFAST2 c) Describe the Offeror’s approach to QA reviews, inspections and audits

Attachment E

C.10.6.1 - C.10.6.2, G C.10.6.3 - C.10.6.5 C.10.6.6 C.10.6.6 - C.10.6.6.5

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

C.19.1 - C.19.10 C.19.11 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 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 C.20.1.1

g) Describe the Offeror’s approach to measuring QC performance standards, correcting defects, conducting inspections, and conducting QC briefings 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

C.20.2 - C.20.10 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

a) Describe the Offeror’s approach to developing and maintaining a security C.22 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: 1) Meeting Federal security requirements 2) Maintaining hardware, software and other system applications security 3) Maintaining personnel security 4) Reporting and documenting system security status L.8.4 L.8.4.1 MANAGEMENT Integrated Management System, Planning Deliverables, and Reporting

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

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 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 L.8.4.2 Risk Management and Production Recruiting Plan The Offeror shall provide the following: a) Project Risk Management Plan b) Production Recruiting and Training Plan

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 C.24.14 vendor at the conclusion of any option period b) Limiting copyright restrictions per the requirements of C.24.18 C.24.18

L.8.4.4

Documentation a) The Offeror shall describe the procedures it will employ to maintain full system C.24.16 - C.24.17 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

L.8.5 L.8.5.1

PAST PERFORMANCE 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

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 N/A b) volume and contract type. Describe demonstrated ability to provide backup personnel on an as-needed N/A c) basis in the event of key or other significant personnel loss. Describe the years of industry experience for the staff that would service this N/A d) 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 N/A e) Offeror. L.8.5.2 Project Descriptions 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: a) 1) The name and address of the client for whom the work was performed 2) The general nature and scope of the work

N/A N/A N/A

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

5)

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

N/A

N/A 6) The dollar value of the project A description of the major products or services produced that were accepted by N/A 7) the customer The name and telephone number of two persons in the client's organization who are knowledgeable about the Offeror's performance on the project N/A 8) The contract number and/or delivery order number under which the Offeror N/A 9) performed the prescribed work for the Government The Offeror shall provide a concise description of each project or contract and shall demonstrate successful recent and relevant experience with the following N/A b) specific areas: Design, development, testing, and operation of large-scale, XML based electronic document processing systems, web portal development, and N/A 1) electronic signature administration. Production control and tracking of filings or similar electronic documents. N/A 2) Electronic/Internet filing back-end processing, or transmission of data, receipt N/A 3) acknowledgement, and edit testing. Data management and secure telecommunications/Internet connectivity to N/A 4) Government sites. Continuity of operations and system architecture techniques to prevent or N/A 5) minimize service disruptions. N/A 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 N/A a) one page for each project): Project Title: N/A 1) 2) Project Description: 3) Contract Number: 4) Period of Performance: 5) Key Personnel Involved: 6) Government Points of Contract: 7) An Operational URL: L.8.6 KEY PERSONNEL 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:

N/A N/A

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

1) Project Manager 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. 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. 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. a)

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