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Attachment 2 to RFI - FAACO - Federal Aviation Administration

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Attachment 2 to RFI - FAACO - Federal Aviation Administration Powered By Docstoc
					                                                      Federal
                                                      Aviation
                                                      Administration


                                                      Fully Releasable

                                                      Version 1.0

                                                      Date: August 31,2009


Preliminary Program Requirements for the
Unified Contracting System(UCS)

Air Traffic Organization
Operations Planning Service
Systems Engineering
NAS Operations Concepts and Service Engineering


Approved By:

_________________________________________      Date__________

Frank Spampinato
Director, Contracting and Acquisition Policy




Concurred By:

_________________________________________      Date__________

Jim Williams
Director of Systems Engineering and Safety
          FAA

Acquisition and Business Services




Unified Contracting System (UCS)

Preliminary Program Requirements
Table of Contents




1.      BACKGROUND .................................................................................................................................... 1

2.      OPERATIONAL CONCEPT ................................................................................................................. 4

3.      TECHNICAL PERFORMANCE ............................................................................................................ 7

4.      PHYSICAL INTEGRATION ................................................................................................................ 15

5.      FUNCTIONAL INTEGRATION ........................................................................................................... 17

6.      HUMAN INTEGRATION ..................................................................................................................... 18

7.      SECURITY ......................................................................................................................................... 19

8.      IN-SERVICE SUPPORT .................................................................................................................... 21

9.      TEST AND EVALUATION .................................................................................................................. 23

10.         IMPLEMENTATION AND TRANSITION........................................................................................ 25

11.         QUALITY ASSURANCE ................................................................................................................ 26

12.         CONFIGURATION MANAGEMENT .............................................................................................. 27

13.         IN-SERVICE MANAGEMENT ........................................................................................................ 28

14.         SYSTEM SAFETY MANAGEMENT .............................................................................................. 29

Appendices ................................................................................................................................................. 30

Appendix 1. Acronyms ................................................................................................................................ 31

Appendix 2. Draft Procurement Process Diagrams .................................................................................... 38

Appendix 3. Glossary .................................................................................................................................. 40
Change History




Number     Date         Sections   Change Description / Purpose
                        Affected
1.0        08/31/2009   All        First Draft
    1. BACKGROUND

The FAA’s acquisition system has evolved over time, adapting to agency needs without a defined, unified
plan of progression. The FAA is not subject to the Federal Acquisition Regulation (FAR) policies and
guidelines. Instead, the FAA’s Acquisition Management System (AMS) Lifecycle sets the agency’s
acquisition policies and provides guidelines for following the policies. The figure below depicts the AMS
process as defined in the FAA Acquisition System Toolkit (FAST).




Figure 1 - AMS Process

In order to better manage their own processes, various groups within the agency have introduced
specialized home grown or ―cuff‖ systems that employ manual and paper-based processes to move data
from one tool, system, or process to the next.

The lack of a unified, automated contracting system within the FAA has resulted in the following unmet
procurement needs:

       No system-wide automated contract management tools: FAA’s contracting staff is
        responsible for managing a wide range of contracts, many of which are highly complex and/or
        technical in nature. The lack of automated tools leaves the contracting staff at a disadvantage in
        managing these contracts, forcing them to use a variety cuff systems to track invoices,
        milestones, and deliverables. Because each of these cuff systems stands alone, there is no way
        to gather the information across all procurements for reporting purposes.
       Stove-piped systems—few steps of the acquisition process are automated; however, steps that
        are automated do not all tie to a single system so that manual processes are required to move
        the procurement in successive stages from one phase or tool or system to the next. This often
        requires contracting staff to enter and maintain information in more than one location, such as
        within the contract file and in PRISM. This leads to duplication of effort and can lead to errors.
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       Few on-line collaboration tools—there is no central repository for acquisition documents such
        as SIRs, contracts, and contract modifications, which increases the likelihood of having to search
        for key contract documents for each procurement. This is especially true for contracts that have
        been completed, but are awaiting contract closeout. We estimate that an average of eight person
        hours per procurement is wasted in searching for copies of these records. In addition, 10% of all
        contracting document paper copies are estimated to be permanently misplaced.

       Lack of metrics and workload management—collecting metrics and managing contracting
        workloads are difficult tasks, as there are limited tools available that provide management
        information regarding the procurement process; e.g., How many contracts are in progress? At
        what stage are they? What are the values of the contracts?

       Legal risk— Lack of complete FAA records jeopardizes FAA legal positions.

The purpose of the Unified Contracting System (UCS) Program is to unify the Federal Aviation
Administration (FAA) procurement processes under one system that improves efficiency, reduces costs,
and eliminates redundant and paper-based processes. UCS will be an electronic, user-friendly, and
secure internet-based contract lifecycle management system that automates contract formulation and
execution (planning, pre-award, award, administration/post-award, and close-out). UCS will use a
sophisticated Graphical User Interface (GUI) based toolset, which will allow future acquisitions process
changes to be implemented by the FAA, with minimal external involvement. This automated system will
provide accurate and timely acquisition data, electronic storage and retrieval of contractual documents
and data, and management information reports, such as workload distribution and visibility into each
contracting action through its lifecycle.

UCS aligns with the strategic and performance goals defined in the FAA’s Flight Plan, to achieve delivery
of efficient, low-cost services. UCS focuses directly on the strategic and performance goals set out by the
FAA to best meet the procurement needs of its customers. All FAA lines of business (LOBs) must bring
their business plans into alignment with the FAA Flight Plan. In turn, the service organizations must align
their operating plans with the business plans of the lines of business.

In an August 2008, UCS program was established to address the following Flight Plan Organizational
Excellence Goals:

            Improve financial management (Objective 3)

            Make decisions based on reliable data (Objective 4)

            Respond to crises rapidly and effectively (Objective 5)

UCS will also align with FAA’s information technology (IT) strategy and Next Generation (NextGen)
system procurement needs.




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The FAA's Chief Information Officer (CIO) Council and Information Systems Security Managers (ISSMs)
incorporated further alignment with these Agency goals when developing the AIO's fiscal year (FY) 09
Business Plan. Specific goals are as follows:

               Reduce agency spending in the areas of IT hardware and software.

               Integrate enterprise architecture (EA) with acquisitions, software development lifecycle, and
                configuration management processes to provide support for selecting, controlling, and
                evaluating IT investments.

               Integrate Internet Protocol version 6 (IPv6) into the FAA's Information Resources
                Management strategic plan and modify the FAA's AMS policy to include language requiring
                IPv6 compatibility in future networking procurements.

               Implement enhancements to provide Department of Defense access for acquisition of
                required National Airspace System (NAS) Air Traffic/Airways Facilities data.

               Review and revise, as needed, acquisition processes to accommodate shared services
                among Agency lines of business/staff offices (LOBs/SOs).

               Continuously improve processes that are critical to the performance of FAA mission,
                business functions, and acquisition programs.



1.1 Document References/Sources
References and sources used in writing this Functional Specifications document include the following:

                General Services Administration (GSA) Exposure for Comments for Acquisition System
                 Requirements, Exposure Draft Version 2.0, 4/10/2008
                 (http://www.acquisition.gov/fas_reqdraft042808.pdf)

                Acquisition Management System (AMS) Policies and Guidelines
                 (http://fasteditapp.faa.gov/ams/do_action?do_action=ListTOC&contentUID=4)

                FAA Acquisition System Toolkit (FAST)

                 (http://fast.faa.gov/)

Note: This Preliminary Program Requirements Document is written in accordance with Exhibit 300
Program Requirements template. Sections might be added/updated as further requirements are elicited
and system constraints are elaborated and clarified.




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    2. OPERATIONAL CONCEPT

2.1 Operations

UCS will be used initially throughout the procurement community by various groups of users to include:
policy, management and oversight personnel, contracting personnel, program management offices, and
property support personnel. Within these user groups, numerous other support personnel will use UCS to
assist in processing procurement actions. Other acquisition processes and roles may be incorporated in
the future.

2.2 Maintenance

Maintaining UCS is an essential part of its continued operation. Routine diagnostics will be performed in
order to determine potential areas of improvement and prevent production defects. Basic maintenance
includes hardware and software upgrades, and updates to ensure the system stays current with the latest
patches and maintains adequate processing performance. Backing up the system on determined backup
intervals will allow for timely recovery of lost data due to system crashes or other unforeseen events.

UCS will align with the FAA’s Continuity of Operations Plan (COOP) and disaster recovery policies and
procedures for information retrieval availability. In addition, incremental backups will be performed on
transaction logs, as well as the database to enable the ability to reconstruct all transactions against the
database despite the consequences of potential system failure.

2.2.1 Hardware Maintenance

UCS hardware maintenance requirements will be defined in subsequent phases of the UCS project.

2.2.2 Software Maintenance

UCS software maintenance requirements will be defined in subsequent phases of the UCS project.

2.3 Quantities and Location

UCS will be universally accessible via web access, subject to user access rights and login authentication.
UCS will have an initial capacity of user accounts of up to 10,000 FAA employees with an expansion
capability to 20,000, and up to 5,000 concurrent users with the ability to accommodate 10,000 concurrent
users pursuant to FAA request. The servers will be physically located at FAA-approved locations.




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2.4 Schedule Constraints

The table below contains the high level milestone dates for the UCS effort.


     Fiscal Year            Key Milestones

                            1. Initiate UCS Project

       2009                 2. Define Requirements

                            3. Conduct Alternatives Analysis / Cost Benefit Analysis

                            4. Release RFI

                            1. Receive RFI Responses & Down-select Vendors

                            2. Release SIR with UCS Requirements Document (RD)

                            3. Conduct Pilot Test and Evaluation

                            4. Select COTS/GOTS Solution(s)

                            5. Refine Requirements (as necessary)
     2010
                            6. Design COTS/GOTS Integration

                            7. Acquire Solution(s)

                            8. Integrate COTS/GOTS Solution(s)

                            9. Conduct System Test and Evaluation

                            10. Conduct System Deployment Planning




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     Fiscal Year            Key Milestones

                            1. Develop UCS

                            2. Test (modify as needed)

     2011                   3. Deploy and Rollout of UCS (in phases)

                            4. Conduct System Operations and Maintenance

                            5. Enhance Functionality (incremental)

     2012                   1. Full agency implementation

    Table 1: Key Milestones




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    3. TECHNICAL PERFORMANCE

3.1 Functional and Operational Requirements

As an overall goal, UCS must support electronic contracting and the procurement of goods and services
in a unified secure contracting system environment. Within this high-level goal, functional requirements
which are specific enough to be further decomposed into detailed requirements are outlined below.

    3.1.1    Manage Interfaces
      3.1.1.1 UCS must allow authorized users to access UCS via the internet.

                                         rd
      3.1.1.2 UCS must interface with 3 Party systems.

      3.1.1.3 UCS must interface with FAA’s legacy systems.

      3.1.1.4 UCS must integrate with 3rd party Email software.

      3.1.1.5 UCS must obtain data from an FAA controlled DELPHI data repository (currently updated
               once a day).

    3.1.2    Manage AMS Workflows and Activities
      3.1.2.1 UCS must allow authorized users to define workflows based on the AMS defined
              Procurement Scenarios, Procurement Activities, and Procurement Items.
        3.1.2.1.1  UCS must allow authorized users to create workflows.
        3.1.2.1.2     UCS must allow authorized users to edit workflows.
        3.1.2.1.3     UCS must allow authorized users to delete workflows.
        3.1.2.1.4 UCS must allow authorized users to define workflow attributes.
      3.1.2.2 UCS must allow authorized users to implement workflows.

      3.1.2.3 UCS must allow authorized users to define workflow activities.
        3.1.2.3.1     UCS must allow authorized users to create workflow activities.
        3.1.2.3.2     UCS must allow authorized users to edit workflow activities.
        3.1.2.3.3     UCS must allow authorized users to delete workflows activities.
        3.1.2.3.4     UCS must allow authorized users to define workflow activity attributes.
        3.1.2.3.5     UCS must allow authorized users to define approval processes for workflow
                  activities.
      3.1.2.4 UCS must allow authorized users to implement workflow activities.

      3.1.2.5 UCS must allow authorized users to define workflow decision points.
        3.1.2.5.1     UCS must allow authorized users to create workflow decision points.
        3.1.2.5.2     UCS must allow authorized users to edit workflow decision points.
        3.1.2.5.3     UCS must allow authorized users to delete workflow decision points.

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        3.1.2.5.4     UCS must allow authorized users to define decision point attributes.


      3.1.2.6 UCS must allow authorized users to define workflow milestones.
        3.1.2.6.1 UCS must allow authorized users to create workflow milestones.
        3.1.2.6.2     UCS must allow authorized users to edit workflow milestones.
        3.1.2.6.3     UCS must allow authorized users to delete workflow milestones.
        3.1.2.6.4     UCS must allow authorized users to define workflow milestone attributes.

    3.1.3    Manage Documents
      3.1.3.1 UCS must allow authorized users to define document types based on AMS defined
              Acquisition Documents.
        3.1.3.1.1  UCS must allow authorized users to create document types.
        3.1.3.1.2     UCS must allow authorized users to edit document types.
        3.1.3.1.3     UCS must allow authorized users to delete document types.
        3.1.3.1.4     UCS must allow authorized users to define document type attributes.
        3.1.3.1.5     UCS must allow authorized users to link documents with dependencies to other
                      documents.
      3.1.3.2 UCS must allow authorized users to create documents by filling out defined templates.
      3.1.3.3 UCS must allow authorized users to create documents for which there are no defined
               templates.
      3.1.3.4 UCS must allow authorized users to perform search operations on documents.
      3.1.3.5 UCS must allow authorized users to share ownership of documents.
      3.1.3.6 UCS must allow authorized users to transfer ownership of documents.
      3.1.3.7 UCS must allow system administrator to take ownership of documents at any phase of the
              workflow.

    3.1.4    Manage Document Approvals
      3.1.4.1 UCS must allow authorized users to define levels of document approvals based on FAA
              defined criteria for document approval.
        3.1.4.1.1     UCS must allow authorized users to create levels of document approvals.
        3.1.4.1.2     UCS must allow authorized users to edit levels of document approvals.
        3.1.4.1.3     UCS must allow authorized users to delete levels of document approvals.

    3.1.5    Manage Storage of Documents
      3.1.5.1 UCS must store all documents in accordance with FAA Records Organization, Transfer,
              And Destruction Standards 1350.15C
        3.1.5.1.1  UCS must allow authorized users to store scanned hard copies of documents.
        3.1.5.1.2     UCS must allow authorized users to store documents imported from 3rd party
                      systems.
        3.1.5.1.3     UCS must allow authorized users to store documents created in UCS.
        3.1.5.1.4     UCS must store templates for document types.
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        3.1.5.1.5     UCS must store forms for document types.
        3.1.5.1.6     UCS must store data periodically as configured by the authorized user.
        3.1.5.1.7     UCS must retain all contract data in its database for more than or equal to 10 years
                      after contract completion / closure.
        3.1.5.1.8     UCS must allow authorized users to configure automatic archiving.

    3.1.6    Manage Notifications
      3.1.6.1 UCS must allow authorized users to define email notifications
        3.1.6.1.1     UCS must allow authorized users to create email notifications.
        3.1.6.1.2     UCS must allow authorized users to edit email notifications.
        3.1.6.1.3     UCS must allow authorized users to delete email notifications.
        3.1.6.1.4     UCS must allow authorized users to define email notifications attributes.
      3.1.6.2 UCS must automatically send email notifications
      3.1.6.3 UCS must allow authorized users to send email notifications.

    3.1.7    Manage Reports
      3.1.7.1 UCS must allow authorized users to define reports.
        3.1.7.1.1 UCS must allow authorized users to create reports.
        3.1.7.1.2     UCS must allow authorized users to edit reports.
        3.1.7.1.3     UCS must allow authorized users to delete reports.
        3.1.7.1.4 UCS must allow authorized users to define report attributes.
      3.1.7.2 UCS must allow users to generate reports.

    3.1.8    Manage User Roles
      3.1.8.1 UCS must allow authorized users to define user roles.
        3.1.8.1.1 UCS must allow authorized users to create user roles.
        3.1.8.1.2     UCS must allow authorized users to edit user roles.
        3.1.8.1.3     UCS must allow authorized users to delete user roles.
        3.1.8.1.4 UCS must allow authorized users to define user role attributes.
      3.1.8.2 UCS must allow authorized users to assign user roles to contract administrative functions.
      3.1.8.3 UCS must allow authorized users to assign users to user roles.
      3.1.8.4 UCS must allow authorized users to assign users to workflow activities.

    3.1.9    Validation
      3.1.9.1 UCS must validate information.
        3.1.9.1.1 UCS must allow authorized users to validate UCS data against data imported from
                      PRISM.
        3.1.9.1.2     UCS must allow authorized users to validate UCS data against Delphi data.
        3.1.9.1.3     UCS must validate metadata types when information is input into data fields.



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    3.1.10 Track Documents
      3.1.10.1 UCS must maintain a history of changes made to each document.
      3.1.10.2 UCS must store the credentials of the user who initiated modifications to a document in
              the history of changes.
      3.1.10.3 UCS must maintain a history of status for each document.
      3.1.10.4 UCS must allow authorized users to track the status of documents.

3.2 Performance Characteristics and Performance Requirements

  3.2.1    Performance
    3.2.1.1 UCS must process FAA’s total daily procurement workload with no measurable online
             performance degradation.
    3.2.1.2 UCS must process month-end transaction volumes with no measurable online performance
            degradation.
    3.2.1.3 UCS must process year-end transaction volumes with no measurable online performance
            degradation.
    3.2.1.4 UCS must have 5 second or less response time for the web browser application.
    3.2.1.5 UCS must have 10 second or less response time for database queries.
    3.2.1.6 UCS must allow authorized users to process queued jobs (i.e. reports, transaction files from
             interfacing systems, bulk record updates) with no measurable online performance
             degradation.
    3.2.1.7 UCS must allow for 1 million transactions per day.

  3.2.2    Service Levels

Note: Service levels will be defined between the UCS program office and the vendor once the UCS
solution is selected.

  3.2.3    Recoverability
    3.2.3.1 UCS must comply with MIL-STD-470B, Maintainability Program for Systems and Equipment.
    3.2.3.2 UCS solution contractor must identify the best solutions for backup and recovery.
    3.2.3.3 UCS must prevent damage of the application data from such events as operator errors,
            simultaneous changes, or system failures.
    3.2.3.4 UCS must automatically back out all incomplete transactions.
    3.2.3.5 UCS must allow authorized users to restore the system to its last consistent state.
    3.2.3.6 UCS must allow for the restoration of the database, in the event of database corruption, to its
             normal condition with a data currency less than or equal to 24 hours before the corruption
             began.
    3.2.3.7 Data must be backed up once or more every hour.
    3.2.3.8 Transaction logs must be maintained between backups to allow restoration of the
             transactions that occurred since the last backup.
    3.2.3.9 UCS must support off site backup of data-to be backed up once or more in a 24 hour period.
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  3.2.4    Reliability
    3.2.4.1 UCS reliability requirements must comply with FAA-HDBK-006A, Reliability, Maintainability
            and Availability (RMA) Handbook
    3.2.4.2 UCS must have a MTBF of more than or equal to 10,000 hours.

  3.2.5    Availability
    3.2.5.1 UCS availability requirements must comply with FAA-HDBK-006A, Reliability, Maintainability
             and Availability (RMA) Handbook
    3.2.5.2 UCS must continue to function if other parts of the integrated system are down (e.g. PRISM
            and/or DELPHI), excluding the FAA telecommunications infrastructure.
    3.2.5.3 UCS must have 99% operational availability system availability level.

  3.2.6    Enhanceability
    3.2.6.1 UCS must allow for system enhancements based on user needs.
    3.2.6.2 UCS must allow for system enhancements based on policy changes.

  3.2.7    Scalability
    3.2.7.1 UCS must be scalable to allow for an increase in the total number of users.
    3.2.7.2 UCS must be scalable to allow for an increase in the number of concurrent users.
    3.2.7.3 UCS must be scalable to allow for an increase in the number of user locations.
    3.2.7.4 UCS must be scalable to allow for an increase in the extent and size of the data stored.
    3.2.7.5 UCS must be scalable to allow for an increase in the transaction volume.
    3.2.7.6 UCS must be scalable to allow for an increase to the output volume.
    3.2.7.7 UCS must be scalable to allow for a decrease in the response time.


3.2.8 Audit Trail
    3.2.8.1 UCS must have an event logging / audit logging capability for all transactions, tables, and
            system parameters.
    3.2.8.2 UCS must store audit trail information in an appropriate and accessible manner.
    3.2.8.3 UCS must have a document record change audit trail.
    3.2.8.4 UCS must have a document processing audit trail.
    3.2.8.5 UCS must have a contract file audit trail.
    3.2.8.6 UCS must generate auditable records of changes made to the workflow approval routing
             design.
    3.2.8.7 UCS must have a configurable item audit trail.

3.2.9 Data Currency
                                                                                       rd
    3.2.9.1 UCS must provide up-to-date, near real-time data for data imported from 3 Party systems.

3.2.10 Operational Software

Note: Operational software will be determined once the UCS solution is selected.
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3.2.11 Operational Hardware

3.2.11.1 Systems Platforms

UCS must work with one or more of the following Operating Systems as listed in the ATO Technical
Reference Model (TRM) V2.7:
    Server
    1.   Windows 2003
    2.   Solaris 10
    3.   Windows 2008
    4.   Redhat Linux
    5.   VMWARE Hypervisor (Virtualed OS: Linux Redhat, Windows 2003, Solaris i386, Windows 2008)
    6.   VMWARE ESX Server 3.5 or higher

    Client
    1. Windows XP Pro SP 2

Note: The system platforms currently in use at the FAA have been in place for some time. The FAA is
currently evaluating newer versions of these platforms and is likely to upgrade its platforms to their most
current versions within the same timeframe that the UCS solution will be implemented. The UCS solution
must not have a dependency on what will become a legacy operating environment.


3.2.11.2 Hardware

UCS must work with one or more of the following hardware as listed in the ATO TRM V2.7:

    Server
    1.   DELL 2950, DELL 1950, DELL M600 Blade Server, R900 (Intel)
    2.   SUN 4450 (Intel)
    3.   SUN V490 (Sparc)
    4.   SUN T5240 (UltraSparc)
    5.   SUN M4000-M9000 SPARC

    Client
    1. Intel Dual Core 2.5 Ghz or higher (Desktop)
    2. Intel Dual Core 2 Ghz or higher Mobile
    3. 3-4 GB RAM

3.2.11.3 Application Server

UCS must work with one or more of the following Application Servers as listed in the ATO TRM V2.7:

    1. Oracle Appserver 10.1.3.1 or higher

    2. IIS 6

    3. Citrix Metaframe XP/XenApp Systems Protocols/Standards



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3.2.11.4 Authentication, Access & Delivery

UCS must work with one or more of the following authentication, access, & delivery mechanism as listed
in the ATO TRM V2.7:
Authentication

    1. LDAP Integration:

                 1.1 UCS must integrate with Windows Active Directory or Lotus Notes Domino for user
                     authentication and role based access. Full encryption of authentication process is
                     required.

Access and Delivery

    1. Web browser – Windows Internet Explorer 6.0 SP2

    2. Java 1.6.0 Update 1

    3. Java JRE

    4. Blackberry PDA (Both EasySynch and mNotes are being used to sync PDA w/ Lotus Notes)

3.2.11.5 Operation

    1. UCS solution must allow authorized users to work within a three-tiered environment:
        Development, Test, and Production Environment.

    2. Clients (if any) must be designed and built for remote deployment via Remedy/Marimba toolset in
        accordance with ATO release management practices.

    3. System documentation must include scripts, knowledge base, etc for National Service Center
        (NSC) use for known minor problems and general Tier 1 support, as well as role based access
        allowing for Tier 1 Password resets.

    4. UCS hardware, COTS application software, operating system software, and other third party
        application components must be independently replaceable.

3.2.11.6 Systems Protocols/Standards

UCS must utilize the TCP/IP protocol suite and interoperate/ be supported by the following protocols:

    1. TCP/IP

    2. IPX/SPX

    3. WAP

    4. SNMP v1

    5. SNMP v2
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    6. SMNP v3

    7. SMTP

    8. RMON

    9. RMON2

    10. HTTP

    11. s/HTTP

    12. DHCP

    13. DNS

    14. MIME

    15. S/MIME

    16. LDAP

    17. X.500

    18. SOAP

3.2.11.7 Data/Information Requirements

    1. UCS must install on databases supported by the FAA TRM V2.7 –

           1.1 Oracle 10g RAC (10.2.0.4) or
           1.2 MS SQL 2005.

    2. UCS data management activities must be in accordance with FAA Order 1375.1D, Data
       Management Order.

3.2.11.8 Technical Reference Model (TRM) Requirements

UCS must comply with TRM V2.7 or the current reference model in use by the FAA and be fully functional
within such model. TRM V2.7 will be provided as an attachment in Section J of the SIR Package.




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    4. PHYSICAL INTEGRATION

UCS must be implemented into the FAA’s physical environment. When UCS moves to production, it
should be reported to the FAA and ATO-IT Enterprise Architecture (EA) and to identify the application’s
new business processes, data model and architecture, and software licenses associated with UCS. This
will facilitate innovation, integration, and alignment with agency business goals and enforce enterprise
standards and processes to maximize cost efficiencies.

Note: Physical integration details will be further defined in subsequent phases of the UCS project.
4.1 Real Property

Note: Not applicable for the UCS solution.



Land

Note: Not applicable to the UCS solution.



Space

UCS solution will require space for two UCS systems. Both systems will physically similar, but installed at
separate Continental United States (CONUS) locations. This increases complexity, but it provides for
continuity of operations and load sharing during peak usage periods for a distributed CONUS user base.
The systems would require synchronization to occur on a near real-time basis.

UCS systems will be interfaced to the existing networking infrastructure for the facility / campus where
they are located. This would nominally provide a nominal Gigabit Ethernet connectivity for local users
with long haul, data mirroring, and backup limited to T-3 or fractional speeds.

4.2 Reserved

Note: Reserved requirements will be defined in subsequent phases of the UCS project.



4.3 Environmental

Note: Environmental requirements will be defined in subsequent phases of the UCS project.


4.4 Energy Conservation

Note: Energy conservation requirements will be defined in subsequent phases of the UCS project.

UCS Preliminary Program Requirements         Issued on August 31, 2009                              Page 15

                                         Acquisition and Business Services
4.5 Heating, Ventilation, Air Conditioning (HVAC)

Note: HVAC requirements will be defined in subsequent phases of the UCS project.


4.6 Grounding, Bonding, Shielding, and Lightning Protection

Note: Grounding, bonding, shielding, and lightning protection requirements will be defined in subsequent
phases of the UCS project.


4.7 Cables

Note: Cable requirements will be defined in subsequent phases of the UCS project.



4.8 Hazardous Materials

Note: Hazardous requirements will be defined in subsequent phases of the UCS project.


4.9 Power Systems and Commercial Power

Note: Power systems and commercial power requirements will be defined in subsequent phases of the
UCS project.


4.10 Telecommunications

Note: Telecommunications requirements will be defined in subsequent phases of the UCS project.


4.11 Special Considerations

Note: Any special considerations requirements will be defined in subsequent phases of the UCS project.




UCS Preliminary Program Requirements      Issued on August 31, 2009                             Page 16

                                        Acquisition and Business Services
    5. FUNCTIONAL INTEGRATION

5.1 Integration with Other FAA Enterprise Architecture Elements

Note: Requirements for Integration with Other FAA Enterprise Architecture Elements will be defined
during subsequent phases of the UCS project.



5.2 Information Requirements

Note: Information requirements will be defined in subsequent phases of the UCS project once the UCS
solution is selected.


5.3 Software Integration

Note: Software integration requirements will be defined in subsequent phases of the UCS project once
the UCS solution is selected.


5.4 Spectrum Management

Note: Not applicable to the UCS solution as this will be a non-NAS administrative procurement system.


5.5 Standardization

Note: Standardization requirements will be defined in subsequent phases of the UCS project once the
UCS solution is selected.




UCS Preliminary Program Requirements      Issued on August 31, 2009                             Page 17

                                        Acquisition and Business Services
    6. HUMAN INTEGRATION

6.1 Human/Product Interface

Human Factors requirements for UCS are as follows:
        6.1.1    UCS must comply with DOT/FAA/CT-96/1, Human Factors Design Guide for Acquisition
                 of Commercial Off-The-Shelf Subsystems, Non-Developmental Items, and
                 Developmental Systems.

        6.1.2    UCS must conform to Section 508 of the Rehabilitation Act of 1973.

        6.1.3    UCS must have a help module which provides the user with detailed steps and field
                 information to accomplish the current tasks.

        6.1.4    UCS wizards must be user friendly, intuitive and flow in a logical manner.

        6.1.5    UCS must allow authorized users to view the UCS user guide.

        6.1.6    All UCS GUIs must be intuitive and flow in a logical manner.

        6.1.7    UCS must validate all user inputs.

        6.1.8    UCS must provide meaningful and concise error messages.

        6.1.9    UCS must have a homogenous look and feel.




6.2 Employee Safety and Health

Note: Employee safety and health requirements will be defined in subsequent phases of the UCS project
once the UCS solution is selected.



6.3 Specialized Skills and Capabilities

Note: Specialized skills and capabilities requirements will be defined in subsequent phases of the UCS
project once the UCS solution is selected.




UCS Preliminary Program Requirements         Issued on August 31, 2009                          Page 18

                                          Acquisition and Business Services
    7. SECURITY

7.1 Physical Security

Physical security requirements for UCS are as follows:
        7.1.1    Physical access to information systems, equipment, and the respective operating
                 environments must be limited by providing access to only authorized individuals.

        7.1.2    Implementation of appropriate security measures to protect the physical plant and
                 support infrastructure for information systems.

        7.1.3    Protection from environmental hazards with appropriate environmental controls.



7.2 Information Systems Security

        7.2.1    UCS must comply with FAA Order 1370.82A ISS Program Policy.

        7.2.2    UCS must comply with NIST Special Publication 800.37, Guide for Security Certification
                 and Accreditation of Federal Information Systems.

        7.2.3    UCS must comply with Public Law 107-296, Critical Information Infrastructure Act.

        7.2.4    UCS must comply with Homeland Security Presidential Directive, HSPD-7.

        7.2.5    UCS must comply with Homeland Security Presidential Directive, HSPD-12.

        7.2.6    UCS must comply with Computer Fraud and Abuse Act.

        7.2.7    UCS must comply with Federal Information Security Management Act (FISMA).

        7.2.8    UCS must comply with Office of Management and Budget (OMB) Security Guidance.

        7.2.9    UCS must comply with National Institute of Standards and Technology (NIST) Standards
                 and Guidance.

        7.2.10 UCS must comply with Federal Information Processing Standards (FIPS).

        7.2.11 UCS must protect Personally Identifiable Information (PII) that will be stored or processed
               by UCS.

        7.2.12 UCS must provide access to the system and its data only with proper authentication and
               credentials.

UCS Preliminary Program Requirements       Issued on August 31, 2009                                 Page 19

                                         Acquisition and Business Services
        7.2.13 UCS must prevent unauthorized changes to documents and attachments.

        7.2.14 UCS must support digital signature, requiring an interface into a security structure to
                 allow for validation of the user and the user’s warrant level and role.

        7.2.15 UCS must provide the ability to upload signature page of contract to act as the equivalent
                 of an electronic signature, and store it in the appropriate section of the electronic
                 contract.

        7.2.16 UCS must validate authorizations prior to allowing digital signatures on documents other
                 than awards.

        7.2.17 UCS must validate authorizations and warrant levels prior to allowing digital signatures
                 on awards.

        7.2.18 UCS must utilize single system sign-on.

        7.2.19 UCS must restrict access to acquisition documents based on user permissions.

        7.2.20 UCS must grant or restrict information to users based on their rights, entitlements, user
                 groups and permissions.

        7.2.21 UCS must allow only users with appropriate permission to archive documents.

        7.2.22 UCS must allow users with appropriate permissions to view comments made on
                 documents.

        7.2.23 UCS must control access to reports based on user permissions.

        7.2.24 UCS must store user roles.

        7.2.25 UCS must allow authorized users to assign security levels to documents.



7.3 Personnel Security

        7.3.1    UCS personnel must get security clearance in accordance with the UCS program
                 requirements.

        7.3.2    A Personal Identity Verification (PIV) credential must be issued to anyone requiring
                 access for more than 6 months to UCS.

        7.3.3    UCS personnel must participate in security training as defined by the UCS program
                 office.

UCS Preliminary Program Requirements         Issued on August 31, 2009                                   Page 20

                                          Acquisition and Business Services
    8. IN-SERVICE SUPPORT

8.1 Staffing

Note: Staffing requirements will be defined in subsequent phases of the UCS project once the UCS
solution is selected.



8.2 Supply Support

Note: Supply support requirements will be defined in subsequent phases of the UCS project once the
UCS solution is selected.


8.3 Support Equipment

Note: Support equipment requirements will be defined in subsequent phases of the UCS project once
the UCS solution is selected.



8.4 Technical Data

Note: Technical data requirements will be defined in subsequent phases of the UCS project once the
UCS solution is selected.



8.5 Training and Training Support

Training will be conducted directly before UCS goes into production. Training will be conducted according
to the Training Plan that will be established for UCS. The development of a solid Training Plan is critical,
as it will provide the basis for appropriate funding for the identified training activities necessary for the
successful deployment and adoption of UCS. Additional supporting materials and/or activities will
include:

   UCS User Manual.

   Various types of training, including formal training sessions, computer based training (CBT), UCS
    tutorials, and train-the-trainer sessions.




8.6 First and Second Level Support

First and second level support for UCS will be as follows:

UCS Preliminary Program Requirements          Issued on August 31, 2009                                  Page 21

                                           Acquisition and Business Services
        First Level

        o    UCS Help Desk Support

        o    FAA ATO-IT Support

        Second Level

        o    Vendor Help Desk Support.



8.7 Packaging, Handling, Storage, and Transportation

Note: Packaging, handling, storage, and transportation data requirements will be defined in subsequent
phases of the UCS project once the UCS solution is selected.




UCS Preliminary Program Requirements       Issued on August 31, 2009                           Page 22

                                         Acquisition and Business Services
    9. TEST AND EVALUATION

9.1 Critical Operational Issues

Note: Critical Operational Issues will be defined in the UCS Test Strategy Document.



9.2 Test and Evaluation Requirements

UCS must support the test and evaluation guidelines provided in the Quality, Integration & Executive
Services – 200 System Development Lifecycle (AQS-200 SDLC) and the following potential activities:

       Mission Analysis and Investment Analysis

             o   Identify and prioritize the most critical needs, and define efficient and effective solutions
                 to those needs. T&E activities at this stage of the system lifecycle are geared towards
                 assisting in the process of evaluating the candidate solutions in order to make an
                 informed selection.

       Requirements Analysis and Specification

             o   Identify and analyze requirements to ensure that they can be properly tested. It also
                 entails active participation in the evaluation process for making a final investment
                 decision.

       Requirements Review

             o   Evaluating requirements to ensure they meet the solution objectives.

       Solution Implementation (SI) and In-Service Management (ISM)

             o   Ensuring that requirements are captured in testing scenarios and that testing can be
                 completed successfully to reduce technical, procurement, and acquisition risks. Provide
                 a means for verifying the technical performance specifications and objectives, and to
                 verify that the proposed system is operationally effective and suitable for use.

       Pilot Systems Planning

             o   Alternatives are compared against the requirements to locate deviation from
                 requirements. Test strategies are developed for testing the highest ranked solutions.
                 Testing resources are identified and testing activities are scheduled at this point. Testing
                 procedures and artifacts are developed in the form of Test Scripts and a Verification
                 Requirements Traceability Matrix (VRTM).

       Demonstration System Evaluation



UCS Preliminary Program Requirements         Issued on August 31, 2009                                 Page 23

                                           Acquisition and Business Services
             o   All candidates demonstrate a working system which is then evaluated against the project
                 requirements. The final investment decision is made after the completion of
                 demonstrations whereby one of the solution options is selected.

       Implementation Planning

             o   The activities defined in the Implementation Plan are planned. These activities include
                 testing activities, resources, schedules, requirements, execution, verification and signoff.
                 The Test Plan also discusses the tools involved in test planning and execution. A key
                 T&E activity at this stage is the maintenance of the VRTM and the development of Test
                 Scripts to support the various forms of testing – Functional Requirements, Tests,
                 Operational Tests, System Tests and User Acceptance Tests.

       Enhanced Baseline Solution

             o   The testing activities defined during the Implementation Planning continue in addition to
                 evaluating change requests and making test enhancements based on changes in scope
                 or requirements.

       System Deployment Planning

             o   The testing activities defined during the Implementation and Enhanced Baseline Solution
                 continues with emphasis on system deployment to ensure the system functions as
                 intended. A final step during this phase will be User Acceptance Testing (UAT).

Note: System Test Requirements and IOT&E Requirements will be defined in the UCS Test Strategy
Document.




UCS Preliminary Program Requirements         Issued on August 31, 2009                               Page 24

                                          Acquisition and Business Services
    10. IMPLEMENTATION AND TRANSITION

Note: Implementation and Transition will be further defined once the UCS solution is selected.




UCS Preliminary Program Requirements      Issued on August 31, 2009                              Page 25

                                        Acquisition and Business Services
    11. QUALITY ASSURANCE

Note: Quality Assurance Plan will be further defined once the UCS solution is selected.




UCS Preliminary Program Requirements      Issued on August 31, 2009                       Page 26

                                        Acquisition and Business Services
    12. CONFIGURATION MANAGEMENT

Note: Configuration Management Plan will be defined in subsequent phases of the UCS project.




UCS Preliminary Program Requirements     Issued on August 31, 2009                             Page 27

                                       Acquisition and Business Services
    13. IN-SERVICE MANAGEMENT

In-service management for UCS includes:

   Delivery of UCS into the FAA and ATO-IT enterprise.
   Post implementation reviews of UCS.
   Periodic functional and operational analysis of UCS.
   Enforcement actions, baseline changes, and investment recommendations to maintain or improve
    service delivery.
   Program technical reports and hardware discrepancy reports to correct hardware and software
    problems.
   Emergency sustainment actions to sustain high priority capabilities and services.
   Up-to-date configuration records for fielded equipment.
   Annual report on critical operational needs.
   Periodic assessment of facility security enhancements.
   Updated Implementation Strategy and Planning documents, if applicable.
   Annual OMB Exhibit 300 submissions of the UCS program, if applicable.
   Actions plans to remedy Exhibit 300 program baseline variances, if applicable.
   Annual Exhibit 53 submissions of the UCS program, if applicable.
   Actions plans to remedy Exhibit 53 program baseline variances, if applicable.

Note: In-service management will be further defined in subsequent phases of the UCS project.




UCS Preliminary Program Requirements        Issued on August 31, 2009                          Page 28

                                         Acquisition and Business Services
    14. SYSTEM SAFETY MANAGEMENT

Note: Not applicable to the UCS solution as this will be a non-NAS administrative procurement system.




UCS Preliminary Program Requirements      Issued on August 31, 2009                            Page 29

                                       Acquisition and Business Services
Appendices

The following appendices are included in this Functional Specifications document:

Appendix 1: Acronyms

Appendix 2: Draft Procurement Process Diagrams

Appendix 3: Glossary




UCS Preliminary Program Requirements      Issued on August 31, 2009                 Page 30

                                        Acquisition and Business Services
Appendix 1. Acronyms




Acronym               Description

A-E                   Architect Engineering

AIO                   Assistant Administrator for Information Services and Chief Information Officer

AITS                  Automated Inventory Tracking System

AJA-O                 Acquisition & Business Services

AMS                   Acquisition Management System

ANSI                  American National Standards Institute

AQS-200 SDLC          Quality, Integration & Executive Services – 200 System Development Lifecycle

ARC                   Office of Regions and Center Operations

ATO                   Air Traffic Organization

ATO-P                 Air Traffic Organization - Operations Planning

AutoCAD               Auto Computer Aided Design

BAA                   Broad Agency Announcement

BOA                   Basic Ordering Agreement

BPA                   Blanket Purchase Agreement

C&A                   Certification and Accreditation

CCR                   Central Contractor Registration

CDRP                  Contingency/Disaster Recovery Plan

CFO                   Chief Financial Officer

CIO                   Chief Information Officer


UCS Preliminary Program Requirements             Issued on August 31, 2009                             Page 31

                                           Acquisition and Business Services
Acronym               Description

CO                    Contracting Officer

ConWrite              Contract Writing

COOP                  Continuity of Operations Plan

COTR                  Contracting Officer’s Technical Representative

COTS                  Commercial-Off-The-Shelf

CS                    Contracting Specialist

DNS                   Domain Name System

DOT                   Department of Transportation

EA                    Enterprise Architecture

EEO                   Equal Employment Opportunity

eFast                 Electronic FAA Accelerated Simplified Tasks

EPLS                  Excluded Parties List System

FAA                   Federal Aviation Administration

FAR                   Federal Acquisition Regulation

FASA                  Federal Acquisition Streamlining Act

FAST                  FAA Acquisition System Toolset

FFMIA                 Federal Financial Management Improvement Act

FFP                   Firm Fixed Price

FIPS                  Federal Information Processing Standard

FISMA                 Federal Information Security Act

FPAF                  Fixed Price Award Fee


UCS Preliminary Program Requirements            Issued on August 31, 2009       Page 32

                                            Acquisition and Business Services
Acronym               Description

FPI                   Fixed Price Incentive

FPI-F                 Fixed Price Incentive (Firm Target)

FP-LOE                Fixed Price Level of Effort

FPI-S                 Fixed Price Incentive (Successive Targets)

FP w/EPA              Fixed Price with Economic Price Adjustment

FPDS-NG               Federal Procurement Data System – Next Generation

FSS                   Federal Supply Schedules

GAO                   General Accounting Office

GFM                   Government Furnished Material

GFP                   Government Furnished Property

GIF                   Graphics Interchange Format

GOTS                  Government-Off-The-Shelf

GSA                   General Services Administration

GUI                   Graphical User Interface

HFDS                  Human Factors Design Standard

HSPD                  Homeland Security Presidential Directive

HTML                  Hypertext Mark-up Language

HTTP                  Hypertext Transfer Protocol

ID/IQ(IDIQ)           Indefinite-Delivery, Indefinite-Quantity

IEEE                  Institute of Electrical and Electronic Engineers

IFB                   Invitation for Bids


UCS Preliminary Program Requirements          Issued on August 31, 2009         Page 33

                                            Acquisition and Business Services
Acronym               Description

IGCE                  Independent Government Cost Estimate

IIS                   Internet Information Services

IOT&E                 Initial Operational Test and Evaluation

IPv6                  Internet Protocol version 6

IPX/SPX               Internetwork Packet Exchange/Sequenced Packet Exchange

ISM                   In-Service Management

ISSP                  Information Systems Security Plan

IT                    Information Technology

JPEG                  Joint Photographic Experts Group

JRE                   Java Runtime Environment

KSN                   Knowledge Sharing Network

LDAP                  Lightweight Directory Access Protocol

LH                    Labor Hours

LOB                   Line of Business

MIME                  Multipurpose Internet Mail Extensions

MTBF                  Mean Time Between Failures

NARA                  National Archives and Records Administration

NAS                   National Airspace System

NCS                   National Service Center

NextGen               Next Generation Air Transportation System

NIST                  National Institute of Standards and Technology


UCS Preliminary Program Requirements         Issued on August 31, 2009         Page 34

                                           Acquisition and Business Services
Acronym               Description

OMB                   Office of Management and Budget

PAO                   Public Affairs Officer

PDA                   Personal Data Assistant

PDF                   Portable Document Format

PIA                   Privacy Impact Assessment

PII                   Personally Identifiable Information

PIV                   Personal Identity Verification

PMO                   Program Management Office

PO                    Program Office

POAM                  Plan-of-Action & Milestones

PPIMS                 Personal Property In-Use Management System

PPIRS                 Past Performance Information Retrieval System

PWS                   Performance Work Statement

PR                    Procurement Request

RAC                   Real Application Cluster

RD                    Requirements Document

REMS                  Real Estate Management System

RMON                  Remote Network Monitoring

S/MIME                Secure / Multipurpose Internet Mail Extensions

SBD                   System Boundary Document

SDLC                  System Development Life Cycle


UCS Preliminary Program Requirements             Issued on August 31, 2009         Page 35

                                               Acquisition and Business Services
Acronym               Description

SI                    Solution Implementation

SIR                   Screening Information Request

SMTP                  Simple Mail Transfer Protocol

SNMP                  Simple Network Management Protocol

SO                    Staff Office

SOAP                  Simple Object Access Protocol

SOO                   Statement of Objectives

SORN                  System of Records Notice

SOW                   Statement of Work

SSA                   Source Selection Authority

SSEB                  Source Selection Executive Board

SSO                   Source Selection Official

SQL                   Structured Query Language

T&M                   Time and Materials

TCP/IP                Transmission Control Protocol/Internet Protocol

TIFF                  Tagged Image File Format

TRM                   Technical Reference Manual

UCF                   Uniform Contract Format

UCS                   Unified Contracting System

VRTM                  Verification Requirements Traceability Matrix

WAP                   Wireless Application Protocol


UCS Preliminary Program Requirements         Issued on August 31, 2009         Page 36

                                           Acquisition and Business Services
Acronym               Description

XML                   Extensible Markup Language




UCS Preliminary Program Requirements      Issued on August 31, 2009         Page 37

                                        Acquisition and Business Services
Appendix 2. Draft Procurement Process Diagrams


                                                                                                FAA Procurement Process (DRAFT v0.9)
                                                                                                                                                                                                                                                                       **A Manual Process and future
                        Process             Decision        Terminator      Document                                                                                                                              PRISM           DELPHI    Manual            **
                                                                                                                                                                                                                                                            Manual
     Legend:                                                                                                                                                                                                                                                              Document Management



                                               Planning                                                                Pre-Award                                                    Award                                 Administration/Post-Award                               Closeout
                   Pre-Planning
                  -PMO Approval
                                                                                                        -Discuss SIR                                                          -CO Sends Award             COTR and Property
                                                                                                        -Discuss SIR
                                                                                                     -Answer Questions                         -Pre-Award Confirm/           Notification to PAO                                                                                Closeout Process
           -CFO Approval-CIO Approval                                                                                                                                                                       Administrator
        -GFP/GFM/CAP Evaluation Optional                           Management                        -Answer Questions
                                                                                                           -QA SIR                            Check CCR & EPLS to                 -PAO Sends                                                                                  -Liquidate Damages
         (SOW, IGCE, 1600.77, Drawings,                                                                                                                                                                     Delegation &                             Invoice
                                                                     Review                                -QA SIR
                                                                                                         -Amend SIR                            Make Sure Vendors                 Congressional                                                                                     -GFP/GFM
          Other Relevant PR Pkg Checklist
                                                                                                                                                                          Notification / Public Affairs    Confirmation of                           Analysis
                      Items)                                                                             -Amend SIR                              Are Responsible                                                                                                               -Contractor Access
                                                                                                                                                                                     >$3M                     Training



                PR Creation                                                                                                                                                        Award
                                                                                                          Receive                                                                                          Government and                                                           Final
                (in PRISM)                                                                                Receive
                                                                                                     Proposals / Quotes                                                     - Obligate Funding
                                                                                                     Proposals / Quotes                                                                                    Vendor Complete                    Acceptance Reports                Release from
                                                               Legal and Security                         for SIR                             - SSEB Recommends                    -FPDS
                                                                                                          for SIR                                                                                         Necessary Contract                  (acceptance of work             Vendor/Contractor
                                                                    Review                                                                    - SSO or CO Decides               (in PRISM)
                                                                                                                                                                                                              Paperwork                         done by vendor)
                                                                                                                                                                                      -

                                                                                                           Evaluate
         Requisition Manager                                                                               Proposals
         Requisition Manager
            Approves PR                                                                                                                                                            Award                                                      Review of Invoices for
                                                                                                     (In Accordance With                                                        Management
            Approves PR                                                                                                                                                        - Award Letter                                                 Construction (Payroll,
                                                                                                          SIR Criteria)                                                           Review
                                                                                                        Note: Section L                                                                                         Vendor                        Fringe Benefits, etc.)           Optional Closeout
                                                                                                           Section M                                                                                          Begins Work                              and                           Audit
                                                                  Revise SIR
                                                                   Revise SIR                                                                    Create Award                                                                                    Services (Labor
                                                                  (if needed)                                                                  Decision Document                                                                                Categories, etc.)
                                                                   (if needed)
                                                                                                    -Pre-Award Confirm/                                                             Award
No         PR Assigned to                                                                          Check CCR & EPLS to                                                             >100K?
          CO by PO Manager                                                                             Make Vendor
                                             Yes                                                       Responsibility
                                                                                                                                                                                                                GFP/GFM
                                                                                                       Determination                                                                  Yes                     (Government
                                                                                                                                                                                                                                                     Payment                        Final
                                                                                                                                                                                                          Furnished Property or
                                                                                                                                                                                                                                                                                   Payment
                PR Complete//                                                                                                                                               Announce Award to                   Materials)
                                                                  Post Public
            Includes All Required                                  Post Public                                             Technical              Management         No          Public
                                                                                                                                                                            Announce Award to
              Documentation?                                    Announcement                 Cost                          Technical
                                                                 Announcements                                             Evaluation               Review                       Public
                                                                (mandatory for             Evaluation                      Evaluation
                                                               (mandatory for over
                                                                 over $100K)
                                                                     $100/
                     Yes                                                                                                                                                                                                                        Vendor Submits
                Create                                                                                                                                                                                                                         Security Report of
                                                                                                                                                                                                                                                Vendor Submits
                                                                                        Cost Eval Report             Tech Eval Report                                            Notify                                                      Personnel on Contract
          Evaluation Plan and                                                                                        Tech Eval Report                                                                                                          Security Report of               PRISM/DELPHI
                Create                                                                 CO, Price Analyst, &           Tech Eval Lead                                      Unsuccessful Vendors
                                                                                                                                                                                 Notify
           Procurement Plan                                                             CO, Price Analyst,                                                                                                                                   Personnel on Contract               Reconciliation
          Evaluation Plan and                                                            DCAA Evaluate
                                                                                               and
                                                                                                                      Tech Findings
                                                                                                                    SubmitsEval Lead to                                   Unsuccessful Vendors
           Procurement Plan                                                              Cost Proposal              Submits Findings to
                                                                                                                      CO and SSEB
                                                                                         DCAA Evaluate
                                                                                                                      CO and SSEB
                                                                                               Cost                                                  Legal
                                                                                                                                                    Review
              Create SIR
            -Contract Writing                                       Issue SIR
          -SOW -CLINs -Etc.                                                                                                                                                Distribute Contracts
         -Attachments -Wage                                                                             SSO Makes the                                                                                                                                                               PRISM
                                                                                                                                                                                                                                                 DCAA Audit
            Rates -Drawings                                                                             Source Selection                                                                                                                                                           Closeout
                                                                                                                                                                                                                                             Of Contracts>$100M



                    SIR                                                                               Negotiate Pricing                           EEO/OFCCP
                 > $100K?                                                                            -Too High/Too Low                                                     Protest (if applicable)
                                                                                                                                                                           Protest Document (if
                                                       No                                                                                          Clearance
                                                                                                          -Overall                                  >$10M                       applicable)
                                                                                                                                                                                                                                                                                   Archive
                                                                                                      Reasonableness




UCS Preliminary Program Requirements                                                                                                          Issued on August 31, 2009                                                                                                                     Page 38

                                                                                                                                        Acquisition and Business Services
 Legend:   Process      Decision      Document                        FAA Contract Modification (‘Mods’) Process (DRAFT v0.2)

                     Planning                            Pre-Award                   Award                        Administration/Post-Award                Closeout

                         PR
                                                           Request                                                                                              Note
                 -PMO Approval                                                                                                 Note                   Follow Closeout Process
               -Funds Certification                      for Proposal                  Award                      Follow Administration/Post-Award
              -CLINs -SOW – Specs                                                                                                                          Identified in the
                                                       Change Request            -Obligate Funding                           Process                 FAA Procurement Process
                 -Justification for                    (Option Exercise            -Award Letter                          Identified in the
                 Option Exercise                                                                                                                              Workflow
                                                         Notification)                                           FAA Procurement Process Workflow
               -CFO/CIO Approval
               (When Over Certain
                   Percentage)



                                                                                     Contract
                                                                                   Modification
                  Manager                                 Receive
                                                                                   Distributed to
                 Approves PR                              Proposal
                                                                                  COTR, Budget,
                                                                                        etc.
    No
                                                 Yes



                     PR Goes
                                                          Evaluate
                      to CO




                PR Complete?                              Negotiate




                                                           Vendor
                                                        Responsibility/
                                                            EPLS
                                                           Check




                                                       Award Decision
                                                         Document




                                                        Legal Review




UCS Preliminary Program Requirements                                               Issued on August 31, 2009                                                                    Page 39

                                                                             Acquisition and Business Services
Appendix 3. Glossary




 rd
3 Party Systems            3rd party systems include but are not limited to:

                                 1. PRISM

                                 2. FedBizOps

                                 3. CCR

                                 4. EPLS

                                 5. PPIRS

                                 6. FPDS-NG




FAA’s Legacy               FAA’s legacy system includes but is not limited to:
System
                                 1. SharePoint(KSN)

 rd                         rd
3 Party Email              3 Party Email software includes but is not limited to
Software
                                 1. Lotus Notes

                                 2. Outlook

Procurement                Procurement Scenarios include but are not limited to:
Scenarios
                                 1. Procurement of goods and services using the procurement workflow
                                       process.

                                 2. Procurement of goods and services using the contract modification
                                       workflow process.

                           Procurement of goods and services using the emergency procurement workflow
                           process. For emergency procurement exceptions, refer to:

                           http://fasteditapp.faa.gov/ams/do_action?do_action=LinkSection&contentVersion
                           UID=10042&contentUID=3&sectionNumber=0.14.4.1



UCS Preliminary Program Requirements              Issued on August 31, 2009                        Page 40

                                              Acquisition and Business Services
Procurement                Procurement Activities include but are not limited to:
Activities
                               1. Procurement of commercially available hardware and developmental
                                       software.

                               2. Procurement of developmental hardware and developmental software.

                               3. Procurement of commercially available hardware and software.

                               4. Establishment / relocation of facilities.

                               5. Modernization of facilities.

                               6. Modernization of IT systems.

                               7. Procurement of services from single contractor.

                               8. Procurement of services from dual contractors.

                               9. Procurement of services from multiple contractors.

                               10. Procurement of construction services.




Procurement Items          Procurement Items include but are not limited to:

                               1. Supplies.

                               2. Research and Development.

                               3. Services.

                               4. Construction.

                               5. Leasing of Real and Personal Property.

                               6. Communication Services.

                               7. Dismantling and, Demolition and Removal of Improvements.

                               8. Architect-Engineering (A-E).


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                               9. Facilities.

                               10. Transportation.

                               11. Utility Services.




Acquisition                Acquisition Documents include but are not limited to:
Documents
                               1. AMS Policy

                               2. AMS Guidance

                               3. Acquisition Plans.

                               4. Evaluation Plans.

                               5. Independent Government Cost Estimate(IGCE)

                               6. Milestone Plans.

                               7. Public Announcements.

                               8. Procurement Requests

                               9. Screening Information Requests (SIR).

                               10. Statement Of Objectives (SOO)

                               11. Performance Work Statement(PWS)

                               12. Award documents.

                               13. Justifications.

                               14. Approvals.

                               15. Pre/Post Negotiation memorandum.

                               16. Base award and modifications.

                                               Contracts.



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                                              Acquisition and Business Services
                                               Purchase Orders.

                                               Task/Delivery Orders.

                                               Basic Ordering Agreement.

                                               Basic Agreement.




Templates                  Templates include but are not limited to:

                               1. AMS defined templates. Refer
                                  http://fast.faa.gov/docs/procurement/procurement.html




Forms                      Forms include but are not limited to:

                               1. FAA defined forms

                               2. Department of Transportation(DOT) branded forms

                               3. Other US government agencies’ forms




FAA defined criteria       FAA defined criteria for document approvals include but are not limited to:
for document
approvals                      1. Dollar amount

                               2. Type of items purchased

                               3. Document types

Reports                    Reports include but are not limited to:

                               1. CCR Company name change report.

                               2. PR management report.

                               3. Report of findings of facts and decisions issued under the disputes
                                  clause.



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                                              Acquisition and Business Services
                               4. Status reports of missing mandatory contract file items.

                               5. Report of calendar event rules for all pre-award and post-award
                                       procurement process.

                               6. Abstract of Offers report.

                               7. Bid abstract report.

                               8. Debriefing information report.

                               9. Report of contract actions.

                               10. Award protest report in the Government Accountability Office (GAO)
                                   Rule 4 file format.

                               11. Receiving report.

                               12. Inspection report.

                               13. Acceptance report.

                               14. Reports on unassigned PRs.

                               15. Report usage characteristics.

                               16. Ad-hoc Reports.

File Formats               File Formats include but are not limited to:

                               1. Comma Delimited Text files.

                               2. Spreadsheet files (MS Excel, Lotus 1-2-3).

                               3. Text / Word Processor files (MS Word, Rich Text Format).

                               4. XML / HTML files.

                               5. PDF ―full‖ files (image and data layers).

                               6. Image files (JPEG, Bitmap, GIF, TIFF, PDF).

                               7. Data files extracted from Oracle and MS SQL databases.



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                                              Acquisition and Business Services
                               8. Binary Large Object files (AutoCAD, MS Project, Blueprints).




Document Security          Documents Security Levels include but are not limited to:
Levels
                               1. For official use only (FOUO).

                               2. Sensitive Security Information(SSI)

                               3. Searchable




User Roles                 User Roles include but are not limited to:




                            User                        Responsibility

                            Accounts Payable            Involved in the processing and payment of invoices
                            Technician                  during Contract Maintenance and Closeout.

                            Acquisition Specialist      Provides contracting support for procurement
                                                        actions.

                            Administrative              Administers the contract.
                            Contracting Officer
                            (ACO)

                            Approving Official          Reviews the PR and makes final approval.

                            Buyer                       Does all preparation for the award, but does not
                                                        have the authority to sign for not having the right
                                                        warrant level. CO can do this work as well.

                            Contracting Officer         Involved in various stages of the procurement
                            (CO)                        process including SOW development activities,
                                                        evaluation criteria development activities, formation
                                                        of SIR, PRISM contract approval to generate award,
                                                        vendor communication activities, and contract
                                                        administration and closeout activities.



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                                           Acquisition and Business Services
                            Contract Specialist(CS)        Supports the planning, development and
                                                           establishment of acquisition strategy. Develops
                                                           screening information requests, pre-negotiation
                                                           positions, contract types, business clearance, and
                                                           justification for a full range of supplies, services and
                                                           systems. Directs contract administration actions
                                                           including modification, negotiation of changes,
                                                           exercise of options, contractor performance/delays
                                                           and disposition of claims

                            Contracting Officer            Assists the Contracting Officer in SOW generation
                            Technical                      and with contract administration activities.
                            Representative (COTR)

                            Contracting Oversight          Does internal audit of contracts.

                            Contracting Support            Contractors tasked with supporting FAA contracting
                                                           activities during Contract Maintenance and
                                                           Closeout.

                            Debarring Official             Permits awarding contract to vendors on EPLS list.

                            External Auditor               External audit agency representative

                            Finance Office                 Reports obligations and expenditures to the
                            Representative                 Contracting Officer.

                            Funds Certifying               Certifies funds availability for a contract.
                            Official

                            Legal Counsel                  Reviews PRs and awards according to specified
                                                           thresholds.

                            Program Office (PO)            Involved in PR package preparation activities. Is in
                            Manager                        charge of the buyers’ pool and allocates PR to CO
                                                           and (optionally) buyer based on their expertise,
                                                           warrant level, and workload.

                            Project Officer                Involved in various aspects of contracting, including
                                                           confirming contract completion prior to contract
                                                           closeout.



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                                              Acquisition and Business Services
                            Property Administrator        Involved in all property related activities of the
                                                          contract.

                            Property Manager              Supervises and assigns property administrator

                            Requisitioner                 Creates the Purchase Request (PR) which starts
                                                          the procurement process.

                            Security Officer              Reviews PR and makes security level
                                                          recommendation. Reviews award for security
                                                          compliance.

                            Source Selection              Evaluates proposals and reports on evaluation to
                            Executive Board               the SSO.
                            (SSEB)

                            Source Selection              Makes selection or screening decisions on
                            Official (SSO)                evaluation criteria established in each SIR.

                            System Administrator          Has full access to perform all system operations
                                                          and functions.

                            Vendor/Contractor             Responds to solicitations and is also involved in
                                                          Contract Award, Contract Maintenance and
                                                          Closeout




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