Scope.
PERFORMANCE WORK STATEMENT (PWS)*Note that this sample has been revised from the source document on the Government Point of Entry as necessary to align formatting and applicable FAR procedures.* Scope.The U.S. Securities and Exchange Commission (SEC) Office of the Chief Operating Officer (OCOO) has a requirement for services to establish and maintain a Business Process Improvement (BPI) program to support the Commission and staff in all aspects of operational improvement.The scope of this task order encompasses the following main Task Areas:Task Area 1: Business Process Re-engineering (BPR) SupportTask Area 2: Project and Program Management SupportTask Area 3: Process Improvement Implementation SupportTask Area 4: Training SupportNOTE: Contractor performance for all tasks consists of advisory and assistance services only. Contractor personnel will not make substantive final decisions as to business processes or to any associated funding, procurement, or reorganization. Contractor personnel will not direct or supervise any SEC personnel.Background.The mission of the SEC is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.The SEC’s strategic goals are to:Focus on the long-term interests of our Main Street investorsRecognize significant developments and trends in our evolving capital markets and adjust our efforts to ensure we are effectively allocating our resourcesElevate the SEC’s performance by enhancing our analytical capabilities and human capital developmentThe SEC’s success in fulfilling its mission and in achieving its strategic goals and objectives is highly dependent on its ability to continually innovate and improve its internal business processes and technologies.The SEC requires business process improvement professionals to support the establishment and maintenance of a comprehensive BPI program. The BPI program will be a service available to all SEC offices and that leverages leading industry best practices to execute BPI projects to streamline business processes, improve performance, and reduce operational risk. The BPI program will work closely with SEC offices to document and map processes, develop and implement effective measurement metrics, and provide practical recommendations on business process improvements. The BPI program will also assist the SEC offices with the development of policy and procedural documentation, requirements analysis, organizational studies, strategic planning documents, and functional and mission statements. The BPI program framework will follow leading business process re-engineering techniques such as Lean Six Sigma (LSS), Agile, and others as appropriate.In accordance with task orders, and subject to review and approval by SEC personnel, the Contractor will be required to effectively coordinate and execute the portfolio of projects in the BPI program. At any given time, this portfolio will include multiple, concurrent projects supporting various SEC offices, each with unique scope parameters, resource needs, and timelines. As new BPI projects are initiated, the Contractor will be required to provide contractor staff expeditiously within the timeframe specified in the Performance Objectives section of this contract. If needed, the SEC may obligate more funding onto the contract during the delivery period to fund the execution of additional individual or a series of BPI projects. The SEC requires the Contractor to provide the highest quality of Program Management support to coordinate all elements of the complex project portfolio in the BPI program.The SEC will direct the Contractor on performing the specific Task and Sub-Task Areas listed below during the contract period. All tasks below are subject to review and approval by SEC personnel, and are to be performed pursuant to protocols and processes approved by SEC personnel.Task AreasTask Area 1: Business Process Reengineering (BPR) SupporteThe Contractor shall provide BPR leadership to support the BPI program and individual business process improvement projects across the Agency. The Contractor shall collaborate with the SEC in developing the framework, document and map existing and new processes, facilitate process improvement workshops and meetings, develop performance metrics and measures, utilize appropriate process re-engineering techniques and methodologies, establish internal controls, provide process improvement expertise and recommendations, develop and present oral and written documentation related to process improvement projects, program or requirements analyses or organizational studies, as required, and develop and populate a knowledge base as part of the process improvement program.Sub-Task 1.1: Business Process Improvement (BPI) Program Implementation SupportThe Contractor shall support the OCOO and other SEC offices in implementing a BPI program to manage the BPI activities across the Agency. The Contractor, in developing the BPI program, shall follow a framework that, at a minimum addresses the following:Methodology for systematically identifying BPI project opportunities;Methodology for developing and managing the pipeline of BPI projects;Methodology for prioritizing BPI projects in pipeline (e.g. scoring);Methodology for scoping and structuring BPI projects (e.g. project charters, stakeholder questionnaires, business case, process maturity assessments);Methodologies for executing BPI projects, taking into consideration variations in project type, process maturity, goals, resources, etc.;Methodology to manage all phases of the BPI project lifecycle;Recommendations for instituting the appropriate governance structure to oversee the program;Standardized practices for maintaining quality control across portfolio;Industry-leading methodologies for quantifying and assessing BPI project costs and benefits (e.g. value measurement methodology);Compliance with Federal guidelines and frameworks for reengineering programs (e.g. GAO Framework for Assessing Reengineering);Methodologies to monitor the performance of BPI projects post-implementation against measured qualitative and quantitative metrics; andRecommendations for applying process modeling and simulations.Following review and approval, the Contractor shall consistently execute the program framework elements for all BPI projects.Sub-Task 1.2: Policy and Strategy SupportSubject to SEC review and approval, the Contractor shall develop or update policy, procedural, strategic, and business planning documents, and Mission and Functional statements for various program offices, branches, or other SEC organizational units. The Contractor shall develop supporting documentation for policies and procedures. Where documentation exists, the Contractor shall leverage existing documentation and artifacts to identify any gaps, inconsistencies and relevance to SEC policies and procedures and the related business process reengineering tasks.Sub-Task 1.3: Process Review SupportThe Contractor shall schedule, participate, and/or facilitate interviews, workshops, and meetings designed to collect information from business customers in order to review, analyze, document, and map "as is" and "to be" processes.Sub-Task 1.4: As-Is Process Mapping SupportThe Contractor shall investigate and map current SEC work processes using industry standard tools and techniques. The Contractor shall define process parameters: objective and definition, owner(s), stakeholder(s), related processes, involved parties, communication interfaces, IT requirements, and other appropriate dependencies. Process Flow: input, output, steps, activities, owner, and dependencies. The Contractor shall define Rules and Regulations: rules, regulations, and/or policies that govern the process.The Contractor shall analyze existing work practices, identify gaps and opportunities for improving cost or operational efficiencies through workflow redesign, and quantify the benefits of such redesign. The Contractor shall clearly identify the existence or absence of internal controls in the As-Is documentation. The Contractor shall consult with all applicable process stakeholders and obtain formal acceptance from them to ensure that the As-Is documentation is a complete and accurate representation of the actual process.Sub-Task 1.5: To-Be Process Design SupportThe Contractor shall analyze the data collected in order to determine deficiencies, obstacles, and opportunities for improvement. The Contractor will define and design a recommended end state or the "To-Be" process using Government and industry standards and best practices such as LEAN, Six Sigma, Agile and CMMI for SEC that will lead to substantial quantitative and measurable improvements in efficiency and effectiveness over near- and long term time horizons. For every To- Be process development, the Contractor shall demonstrate that rigorous research has been performed in benchmarking and assessing the best-practices from comparable Government and industry organizations in order to avoid redesigned processes that “reinvent the wheel”.The To-Be process shall identify enterprise-wide efficiency opportunities, economies of scale and functional similarities that would improve business process flow and minimize unnecessary operating differences between business functions and across Divisions and Offices. Subject to review and approval by SEC personnel, the Contractor shall ensure problems/issues identified in one task are vetted completely in the other tasks. For example, a technical problem/issue identified in one Division or Office may have roots in a business process in a different Division or Office, therefore proper coordination amongst all tasks is paramount. The To-Be process shall be in compliance with all federal rules and regulations as well as with all applicable SEC policies. The Contractor shall conduct gap analysis between the current process (As-Is) and the desired end state (To-Be). The objectives of the comparison are to highlight functional differences, identify activities required to attain the recommended end-state, identify needed human, financial, and technological resources and anticipated process owners and stakeholder roles and responsibilities. The Contractor shall assist the SEC with socialization of the To-Be process across all stakeholders to obtain consensus for implementation.Sub-Task 1.6: Process Documentation SupportThe Contractor shall document the SEC As-Is and To-Be processes using industry standard notations including process flow charts and diagrams, narrative descriptions and any analyses performed. The Contractor shall maintain the documentations as directed by the SEC.Sub-Task 1.7: Process Metrics SupportThe Contractor shall work with the program staff to develop process performance metrics and measures. Subject to review and approval by SEC personnel, the Contractor shall establish repeatable processes to collect and track these metrics and measures. The Contractor shall work with the program staff to define the appropriate performance metrics to measure progress against goals and evaluate the effectiveness and efficiency of business processes.The metrics and measures shall be designed to support decisions such as setting program priorities, allocating resources, and measuring performance. The metrics and measures shall be quantitative, clear, consistent, and tailored to the desired audience. The Contractor shall provide support to the SEC in measuring and collecting process information for the purpose of meeting requirements of the Government Performance and Results Modernization Act of 2010 and the OMB Circular A-11 Part 6.The Contractor shall follow industry and Government guidelines when developing process metrics (e.g. GAO Performance Measurement and Evaluation guidance). The Contractor shall collaborate with management and process owners in the development and deployment of Service Level Agreements (SLA) for transactional procedures, when necessary and appropriate.Sub-Task 1.8: Strengthen Internal Controls in Business ProcessesFor every BPI project, the Contractor shall work with the process owners to identify, design, document, and embed appropriate internal controls within the To-Be process. The Contractor shall work with the program staff and SEC Office of the Chief Risk Officer experts to ensure that each BPI project results in a strengthened internal control environment. The Contractor shall:Incorporate expertise with regulations that drive internal control including OMB A-123, GAO Standards for Internal Control in the Federal Government, and others as appropriate.Provide operational risk management and internal controls expertise to embed the identification of operational risks and the development and documentation of strong internal controls into all BPI efforts.Identify internal control gaps and support the design and implementation of internal controls as appropriate within a given process.Partner with program staff and the Office of the Chief Risk Officer program to coordinate on the identification of internal controls gaps, and incorporate strengthened controls into the risk assessments, risk registers, and controls testing documentation.Sub-Task 1.9: Value Measurement Analysis SupportThe Contractor shall perform analysis to classify, define, measure, and analyze value and costs associated with process improvement and related initiatives at the SEC. The Contractor shall utilize industry-leading value assessment tools and methodologies such as those included in value measuring methodology (VMM) or others as appropriate. The Contractor shall quantify cost savings and measure efficiencies in a clear and defensible manner. The Contractor shall perform the value measurements consistently across a wide range of project types and situations in order to allow meaningful side-by- side comparisons across the project portfolio.The Contractor shall apply the value measurement techniques to assess the As-Is baseline against expected or realized To-Be performance goals. For all projects, including those situations where the data required for performing the value measurements are not readily available, the Contractor shall work with the process owners to develop a data capture plan that efficiently gathers or reasonably estimates the required information.The Contractor shall measure both tangible and intangible value provided by process improvement projects over the short, medium, and long-term horizons. The Contractor shall provide detailed analysis of the cost and value measures and develop appropriate assessments to support decision making including, but not limited to, return on investment and cost benefit analysis.Sub-Task 1.10: Requirements Analysis SupportThe Contractor shall perform analysis to classify, define, measure, and analyze value and costs associated with process improvement and related initiatives at the SEC. The Contractor shall utilize industry-leading value assessment tools and methodologies such as those included in value measuring methodology (VMM) or others as appropriate. The Contractor shall quantify cost savings and measure efficiencies in a clear and defensible manner. The Contractor shall perform the value measurements consistently across a wide range of project types and situations in order to allow meaningful side-by- side comparisons across the project portfolio.The Contractor shall apply the value measurement techniques to assess the As-Is baseline against expected or realized To-Be performance goals. For all projects, including those situations where the data required for performing the value measurements are not readily available, the Contractor shall work with the process owners to develop a data capture plan that efficiently gathers or reasonably estimates the required information.The Contractor shall measure both tangible and intangible value provided by process improvement projects over the short, medium, and long-term horizons. The Contractor shall provide detailed analysis of the cost and value measures and develop appropriate assessments to support decision making including, but not limited to, return on investment and cost benefit analysis.The Contractor shall work with stakeholders to elicit and fully document functional requirements that accurately reflect business driven requirements and business processes verified by business stakeholders. Subject to SEC review and approval, and in accordance with SEC processes and protocols, the Contractor shall lead and manage activities, including facilitating requirements workshops, as well as developing the standard requirements artifacts and support the SEC’s System Development Framework process.The Contractor shall gather and analyze the SEC’s business and functional needs from an end-user’s perspective, define current (As-Is) and target (To-Be) business processes and prepare gap analyses. The Contractor shall suggest improvements in business processes, including where technology can be leveraged to improve productivity and quality of service, and develop use case scenarios that model the desired business workflows using industry standard notations. The Contractor shall define data requirements in accordance with the required information flow in the desired To-Be business process. The Contractor shall work with program staff to develop appropriate process metrics and establish processes to measure process performance and business outcomes.The Contractor shall collaborate with management and process owners in the development and deployment of Service Level Agreements (SLA) for transactional procedures, when necessary and appropriate. The Contractor shall document business and functional requirements in detail using standard techniques, tools and templates accepted by the SEC. The Contractor shall apply their knowledge, understanding, and expertise of the IT software lifecycle to develop clear business requirements for future state processes.The contractor shall develop and produce materials to document business needs and requirements including business analysis services that identify project business goals and objectives; portfolio analysis, Analysis of Alternatives; office workflow mapping documents, gap analysis, project requirements management plans; and defining, documenting, testing, validating and managing project requirements.Project Recommendations and SummaryThe Contractor shall work with stakeholders to develop and deliver a final presentation based on the culmination of the business process improvement project support. The presentation shall include, but not limited to, As-Is and To-Be process analyses’ process parameters; gap analysis; process metrics and value measures; and process improvement recommendations that are concrete, feasible, cost efficient, and effective given the operational parameters in which they must be executed.The Contractor shall present these recommendations to the SEC upon completion of the project as requested. The Contractor shall also provide a concise project summary that includes, but not limited to, the process improvement project’s problem statement, approach and methodology used, and realized (or anticipated) measurable outcomes. These project outcomes shall clearly incorporate the process metrics and value measures.Task Area 2: Program and Project Management SupportSub-Task 2.1: Program Management SupportThe Contractor shall assist the SEC leadership and staff with program management of the BPI program. The Contractor shall provide recommendations in the areas below to SEC program officials, and assist with the execution upon approval by the SEC. The type of program management activities anticipated are, but not limited to:Program Assessment: feasibility studies, impact analysis, position papers and action items;Program Planning: life cycle cost definition, cost/benefit analysis, requirement management, scope management, resource management, implementation plan development and management, schedule management, and dependencies management;Program Performance: program metrics, timeline and milestones, and action item management;Communications: stakeholder management (under direction of the SEC);Risk Management: risk management planning, threat and vulnerability assessment, risk identification, analysis, response, monitoring and control;Program Review, Oversight, and Reporting: resource, schedule and change management;Workflow Management;Post-Production Operation Management; andBenefit Realization.The Contractor shall assist with the preparation, review and editing of:Investment proposals and business justifications;Program management artifacts: andProgram briefings and reports.Sub-Task 2.2: Project Management SupportThe Contractor shall perform project management support services for business process improvement projects under the oversight of SEC program managers. Subject to SEC review and approval, and in accordance with SEC processes and protocols, the Contractor shall serve as an independent entity supporting SEC staff in initiating, planning, executing, monitoring and closing SEC projects. The SEC will determine project management activities required for each specific BPI project; however an initiative may require the entire range of project management activities as defined in the PMBOK Guide that include, but not limited to:Schedule Management;Risk and Issue Management;Stakeholder Management Support;Quality Management;Communication Management;Cost Management Support;Scope Management;Resource Management.Task Area 3: Process Improvement Implementation SupportSub-Task 3.1: Process Improvement Implementation PlanningThe Contractor shall provide an implementation plan that translates the required process and organizational changes into a defined work plan that covers all areas needed to reach the target improved process. The plan shall align the organizational structure, information systems, and policies and procedures with the redesigned processes. The plan shall include elements of a change management plan and communication plan.Sub-Task 3.2: Process Improvement Implementation SupportThe Contractor shall provide implementation support to the SEC for the deployment of new business processes or automated workflows.Sub-Task 3.3: Change Management SupportThe Contractor shall provide change management support to ensure successful process implementation. The Contractor shall coordinate with the SEC to select and apply applicable industry- leading change management practices, including but not limited to, readiness/feasibility assessments, stakeholder analysis, communication plans, targeted training and development, issue management, and continuous feedback and improvement.Sub-Task 3.4: Ex-Post Process EvaluationThe Contractor shall develop and consistently implement ex-post process implementation evaluations to assess the effectiveness of completed business process improvement engagements. The Contractor shall coordinate with the SEC to identify, collect information for, assess, and report on applicable evaluation criteria including, but not limited to, performance metrics and measures, effectiveness of internal process controls, and stakeholder acceptance and satisfaction. The Contractor shall promptly report the findings of these ex-post evaluations to the SEC and translate the lessons learned into program improvement recommendations.Sub-Task 3.5: Process Tools SupportThe Contractor shall research commercial off-the-shelf (COTS) and Government off-the shelf (GOTS) products for potential use in process automation, workflow management, or process design. The Contractor shall work with SEC staff to plan and implement COTS/GOTS process management tools that have been selected through the SEC IT investment process.Task Area 4: Training SupportSub-Task 4.1: Training SupportSubject to SEC review and approval, and in accordance with SEC processes and protocols, the Contractor shall develop and conduct BPR capability training using vetted, effective and experienced instructors as needed. All training content is subject to prior SEC review and approval. The training acquired under this contract will be specific to the areas covered under the scope of this contract. The Contractor shall assist the SEC with developing training requirements, and work with the SEC University if needed to design and deliver the training. The Contractor shall provide training in a variety of forums. This includes one-on-one sessions with SEC Senior Leadership, classroom sessions, participating in workshops for project managers, discussion forums, brown bag meetings, etc. (as requested). The Contractor shall develop training session content in accordance with the topic to be presented. The Contractor shall be responsible for ensuring content is appropriate for the audience for which it is presented and that appropriate handouts are provided. In addition, the Contractor shall provide various means of receiving feedback on “lessons learned” from audience members and revise and update the training material and training methods as necessary.DeliverablesAll deliverable products shall be submitted to the SEC in accordance with contract timeframes and/or schedules agreed upon between the SEC and the Contractor. The Contractor shall store all work, both draft “in progress” work and final deliverables, in the BPI program shared network location in order to ensure program transparency and continuity. Deliverable products shall be accurate in presentation and technical content and adhere to accepted elements of style. The products shall be clear and concise and all diagrams shall be easy to understand and be relevant to the subject. All text and diagrammatic files shall be editable by the SEC (PDF excepted).All deliverables shall be formatted by the contractor and prepared using Microsoft Office Suite applications. Two versions shall be supplied; 1.) Word format and 2.) PDF format. If it is deemed necessary to use a product outside the MS Office Suite (i.e. diagrams), the document must be able to be exported from the software application and imported into the resulting MS Office Suite document and must be approved in advance by the Contracting Officer Representative (COR). Diagrams may be developed in Visio.The SEC will have full ownership of all work products developed by the Contractor on this contract, including draft and final deliverables and supporting documentation. All work products developed by the Contractor are considered non-public and may not be disseminated outside of the SEC without prior approval by the SEC.Deliverables for Task Area 1: Business Process Reengineering (BPR) SupportBPI Program DeliverablesThe Contractor shall deliver the BPI program artifacts and methodologies as detailed in the sub-task area 1.1.Policy and Strategy DocumentationThe Contractor shall deliver the Policy and Strategy Documentation as detailed in the sub-task area 1.2.Process ParametersProcess parameters include objective and definition, owner(s), stakeholder(s), related processes, involved parties, communication interfaces, IT requirements, and other appropriate dependencies. Process flow includes input, output, steps, activities, owner, and dependencies. Rules and regulations include rules, regulations, policies, procedures, and other guidance that govern the process.Existing "As Is" Processes DocumentationThe Contractor will gather information related to current critical, urgent, or most challenging process issues. This shall be used to document work flow. The work flow shall be verified with processes owners and stakeholders to ensure accuracy, relevance and establish a sound baseline for the reengineering of identified processes and sub-processes. The deliverables of this stage are the processes maps and supporting documentation.Recommended "To-Be" End-StateAfter compiling "As-Is" documentation, the Contractor will analyze the data collected in order to determine deficiencies, obstacles, and opportunities for improvement. The Contractor will define and document a recommended "To Be" process.Gap AnalysisThe Contractor shall complete a comparison between the "As-Is" and "To-Be" process models and workflows. The objectives of the comparison are to highlight functional differences, identify activities required to attain the recommended end-state, identify needed human, financial, and technological resources and anticipated process owners and stakeholder roles and responsibilities for the Gap Analysis Report.Process DocumentationDevelop Processes, Service Level Agreements and Metrics. The Contractor shall develop new processes, policies, narratives, executive summaries, and metrics, when deemed necessary, in collaboration with program managers or process owners.Process MetricsThe Contractor shall develop, collect, and deliver process metrics for each BPI project as detailed in the sub-task area 1.7. The Contractor shall work with the program staff to develop appropriate process metrics and establish processes to measure, and ensure reports contain relevant information regarding the metrics.Risk and Control MatrixThe Contractor shall develop a risk and control matrix, showing the relationship between processes, operational risks, and internal controls that exist within the process. The Contractor shall work with process participants to identify, document, and assess the internal controls within the business process. The Contractor shall clearly label existing and proposed internal controls in the “As-Is” and “To-Be” process documentation.Value MeasuresThe Contractor shall perform and deliver value measures for each BPI project as detailed in the sub- task area 1.12.Business RequirementsThe Contractor shall provide Business Requirements as defined in the sub-task area description.Project Recommendations and SummaryThe Contractor shall provide Project Recommendations and Project Summaries as defined in the sub- task area description.Deliverables for Task Area 2: Program and Project Management SupportProgram ManagerThe Contractor shall provide a continuous single point of contact (POC) for communicating with the SEC any issues, concerns, or problems that arise. The POC must have the authority to commit the Contractor; make decisions for the Contractor; be the single Contractor representative responsible for resolving all issues, concerns, or problems; readily respond to SEC questions, concerns, and comments; and proactively alert the SEC to potential contractual issues. The POC shall be a Key Personnel and should not be separately billed.Monthly Program and Project Status ReportsThe Contractor shall prepare and deliver written Monthly Program and Project Status Reports to the COR describing, at a minimum, the current status and progress by projects, work accomplished during the report period, work to be accomplished during the next report period, contract costs incurred and benefits achieved during the reporting period, and identifying any risk, issues or concerns requiring resolution. The contract cost reporting shall include a detailed cost breakdown of labor hours by contract staff, labor rates, and other fundamental cost data. The Contractor shall ensure that the amounts reported match the invoices. The report shall also contain status on the Contractor's performance based the Performance Requirements Summary.Quality Control ProgramThe Contractor shall develop and maintain an effective quality control program (QCP) to ensure services are performed in accordance with this statement of work. The Contractor shall develop and implement procedures to identify, prevent, and ensure non-recurrence of defective services. The Contractor’s quality control program is the means to ensure work complies with the contract requirements and meets the SEC’s high standards of deliverable quality. The QCP shall be delivered within fifteen (15) days after task order award and shall include metrics and thresholds for ensuring quality requirements are met.After acceptance of the quality control plan the Contractor shall receive the Contracting Officer’s acceptance in writing of any proposed change to their QCP.Written or Verbal BriefingsThe Contractor shall provide the COR and the designated Government Project Manager with periodic written and/or verbal briefings as requested by the Government and make available upon request work papers and supporting documentation, supporting analysis, and all other relevant documentation prepared or generated under this contract.Contract Utilization ReportsThe Contractor shall continuously monitor and regularly report to the SEC detailed information on all Contractor staff working on the contract. The report shall include, but not limited to, current and forecasted alignments of Contractor staff with individual projects; percentage of time Contractor staff are allocating to specific projects; forecasted utilization and number of hours Contractor staff are expected to work per week; detailed ongoing accounting of individual project and overall program costs; requested telework days for all Contractor staff; and anticipated Contractor staff absences (i.e. vacations). This report, in conjunction with the Monthly Program and Project Status Reports, shall provide the SEC a complete, accurate, and detailed status of Contract resource utilization.Project PlansThe Contractor shall create and/or review individual Project Plans and Schedules to ensure the following: timelines are appropriate for size and scope of project; resources are adequately assigned; and all appropriate milestone and checkpoints are included. The Project Plans and Schedules may be in the format of a project charter. The Contractor shall provide comments and recommendations on each Project Plan and Schedule to the SEC. Once approved, the project plan will become the baseline for the project.Weekly Project Status ReportsThe Contractor shall prepare and deliver written Weekly Project Status Reports to the COR. The Weekly Project Status Report shall include, at a minimum the following: portfolio view of all projects; contractor resource allocation across projects and initiatives; current status by project; work accomplished; work planned for the following week; project and program risks; issues that require resolution, if any, and expected/needed resolution dates; action items with assignees and due dates; and summary of meetings attended. The Contractor shall coordinate and assist the COR to develop and maintain a program and project Risk Registry throughout the lifecycle of the project. The Contractor shall immediately notify the COR of any major risk to the project and provide recommendation on the mitigation of the risk.Deliverables for Task Area 3: Process Improvement Implementation SupportProcess Improvement Implementation PlanThe Contractor shall define the plan for implementing the new models of the recommended end-state as advised by activities in the Gap Analysis Report. The plan will translate the required changes into a defined work plan that covers all changes needed to be done to reach the target process. The plan shall align the organizational structure, information systems, and policies and procedures with the redesigned processes. The plan shall include detailed communication and change management plans.Ex-Post Process EvaluationThe Contractor shall provide ex-post process implementation evaluations to assess the effectiveness of completed business process improvement engagements as defined in the sub-task area description.Deliverables for Task Area 4: Training SupportTraining Curriculum and ContentThe Contractor shall provide training curriculum for various programs, processes, applications, etc. The curriculum should be clear, concise, and should be understandable by an audience spanning a multitude of skill levels. The Contractor shall conduct training seminar planning, and collaborate with assigned program staff to facilitate training seminars and strategic communications activities.Training Feedback and “Lessons Learned”.The Contractor shall provide various means of receiving feedback on “lessons learned” from audience members and revise and update the training material and training methods as necessary.Schedule of Deliverables.The Contractor shall prepare and provide deliverables in electronic format to the COR. The COR will review all deliverables and provide comments and/or approvals/disapprovals in a timely manner so as not to adversely impact the project schedule. Deliverable schedules may include, but will not be limited to, the following:No.SectionDeliverableScheduleC.4.1Business Process Reengineering Support1C.4.1.1BPI Program DeliverablesPer project plan2C.4.1.2Policy and Strategy DocumentationPer project plan3C.4.1.3Process ParametersPer project plan4C.4.1.4Existing “As-Is” Process DocumentationPer project plan5C.4.1.5Recommended “To-Be” End StatePer project plan6C.4.1.6Gap AnalysisPer project plan7C.4.1.7Process DocumentationPer project plan8C.4.1.8Process MetricsPer project plan9C.4.1.9Risk and Control MatrixPer project plan10C.4.1.10Value MeasuresPer project plan11C.4.1.11Business RequirementsPer project plan12C.4.1.12Project Recommendations and SummaryPer project planC.4.2Program and Project Management Support13C.4.2.1Program ManagerDaily14C.4.2.2Monthly Program and Project Status ReportsMonthly15C.4.2.3Quality Control ProgramWithin 15 days ofaward date16C.4.2.4Written or Verbal BriefingsAs requested17C.4.2.5Contract Utilization ReportsWeekly18C.4.2.6Project PlansWithin one weekof project begin19C.4.2.7Weekly Project Status ReportsWeekly20C.4.2.2Written or Verbal BriefingsAs requestedC.4.3Process Improvement Implementation Support21C.4.3.1Business Requirements Process ImprovementImplementation PlanPer project plan22C.4.3.2System Requirements Ex-Post Process EvaluationPer project planC.4.4Training Support23C.4.4.1Training Curriculum and ContentPer training plan24C.4.4.2Training Feedback and “Lessons Learned”Per training planPlace of PerformanceUnless otherwise noted, the work will be performed at the U.S. Securities and Exchange Commission, Station Place Headquarters located at 100 F Street, NE, Washington, DC 20549.TravelThe Government does not anticipate any long distance travel. Local travel will not be reimbursed. However, in the event travel is required, all travel shall be in accordance with Federal Travel Regulations (FTR) and approved in advance by the COR. Additionally, costs for transportation, lodging, meals, and incidental expenses must be coordinated and approved in advance by the COR. Submit cost breakdown electronically to the COR. (1) Costs incurred by contractor personnel on official company business are allowable, subject to the limitations contained in FAR Part 31.205-46. Government per diem rates can be found on the website at . The ability to perform unscheduled travel is contingent upon Government approval and will only be used to address travel needs as they occur.All approved travel related expenses will be reimbursed in accordance with the current Federal Travel Regulation found at . The reimbursement of travel expenses is subject to the following limitations: (1) any subsistence allowance (i.e., meals and lodging) is limited by a per diem allowance prescribed by the link above; (2) expenses incurred as a result of travel using a personal automobile are reimbursed as prescribed by the link above; (3) reimbursement of air and train travel is limited to the most economical rate and reasonable traveled route; and (4) each out-of-pocket travel and allowable miscellaneous administrative expense exceeding $75 requires a receipt that is to be attached to the expert's invoice.While long distance travel is not anticipated, in the event travel is required to the regional offices, the addresses are:1. Atlanta Regional Office 950 East Paces Ferry, N.E.,Suite 900 Atlanta, GA 303262. Fort Worth Regional Office801 Cherry Street, Suite 1900, Unit 18 Fort Worth, TX 761023. Philadelphia Regional Office 1617 JFK Boulevard, Suite 520 Philadelphia, PA 191034. Boston Regional Office 33 Arch Street, 24th Floor Boston, MA 021105. Los Angeles Regional Office444 South Flower Street, Suite 900 Los Angeles, CA 900716. Salt Lake Regional Office 351 S. West Temple St., Suite 6.100 Salt Lake City, UT 841017. Chicago Regional Office175 W. Jackson Boulevard, Suite 1450 Chicago, IL 606048. Miami Regional Office801 Brickell Ave., Suite 1950Miami, FL 331319. San Francisco Regional Office44 Montgomery Street,Suite 2800San Francisco, CA 9410410. Denver Regional Office 1961 Stout Street, Suite 1700 Denver, CO 8029411. New York Regional Office 200 Vesey Street, Suite 400 New York, NY 10281TeleworkTelework may be allowed on a case by case/adhoc basis. A telework request detailing the number of telework hours and the assignments that will be completed must be submitted to the COR at least a week in advance for review and approval prior to the requested telework date.Other Direct CostsIt is anticipated that ODCs (incidental materials) may not be required in support of this task however the government reserves the right to make changes in accordance to FAR 52.212-4 (c). ODCs that exceed the micro-purchase threshold must be priced on the Contractor's GSA FSS ernment Furnished Resources/InformationThe government will provide office space, supplies, and/or access to necessary telecommunications and computer equipment for the support services work that is to be performed on-site. The Contractor will not have a due diligence event to evaluate the government furnished property or information prior to award. The government will make meeting rooms available when required.On-site PerformanceIn the current events (i.e. COVID-19) it’s unknown if at the time of the beginning of the term of the Award (08/24/2020) whether on-site work may be available. The Order will follow the SEC’s on-site policy. If work can be performed from remotely, then the COR will give written permission to proceed. If the COR determines that work cannot effectively be performed remotely because of the type of work that is being performed, then the work will be delayed (at no cost to the SEC if T&M or the PoP of the Order extended if FP) until such time that it can resume. ................
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