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BPA NO. 1.

CONTRACT ID CODE PAGE OF PAGES


AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT 1 21
2. AMENDMENT/MODIFICATION NO. 3. EFFECTIVE DATE 4. REQUISITION/PURCHASE REQ. NO. 5. PROJECT NO. (If applicable)
0002 10/24/2006 99-0693-559
6. ISSUED BY 7. ADMINISTERED BY (If other than Item 6)
CODE CODE
OASAM Office of Procurement Services OASAM Office of Procurement Services
U. S. Department of Labor U. S. Department of Labor
RM N5416 RM N5416
200 Constitution Ave., NW 200 Constitution Ave., NW
Washington DC 20210 Washington DC 20210

8. NAME AND ADDRESS OF CONTRACTOR (No., street, county, State and ZIP Code) (X) 9A. AMENDMENT OF SOLICITATION NO.

DOL069RP20266
To all Offerors/Bidders
9B. DATED (SEE ITEM 11)
X 09/01/2006

10A. MODIFICATION OF CONTRACT/ORDER NO.

10B. DATED (SEE ITEM 13)

CODE FACILITY CODE

11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS


X The above numbered solicitation is amended as set forth in Item 14. The hour and date specified for receipt of Offers x Is extended, is not extended.
Offers must acknowledge receipt of this amendment prior to the hour and date specified in the solicitation or as amended, by one of the following methods:
(a) By completing Items 8 and 15, and returning __________ copies of the amendment; (b) By acknowledging receipt of this amendment on each copy of the
offer submitted; or (c) By separate letter or telegram which includes a reference to the solicitation and amendment numbers. FAILURE OF YOUR AC-
KNOWLEDGMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE HOUR AND DATE SPECIFIED MAY
RESULT IN REJECTION OF YOUR OFFER. If by virtue of this amendment you desire to change an offer already submitted, such change may be made
by telegram or letter, provided each telegram or letter makes reference to the solicitation and this amendment, and is received prior to the opening hour
and date specified.
12. ACCOUNTING AND APPROPRIATION DATA (If required)
N/A

13. THIS ITEM APPLIES ONLY TO MODIFICATIONS OF CONTRACTS/ORDERS,


IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14.
A. THIS CHANGE ORDER IS ISSUED PURSUANT aTO: (Specify authority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE CONTRACT ORDER NO. IN ITEM 10A.

B. THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES (such as changes in paying office, appropriation date, etc.)
SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b).

C. THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF:

D. OTHER (Specify type of modification and authority)

E. IMPORTANT: Contractor is not, x is required to sign this document and return ___________
1 copies to the issuing office.

14. DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings, including solicitation/contract subject matter where feasible.)

The above referenced solicitation is hereby amended to: (i) extend the closing date for this solicitation
to November 27, 2006; (ii) incorporate administrative changes to the contractual sections of the RFP;
(iii) incorporate administrative changes to the technical sections of the RFP; and (iv) provide an
electronic copy of Attachment B in Microsoft Excel format as previously noted in Technical Question 28.
Please see Page 2 – Page 21.

As stated under Section E of the Standard Form 30, vendors with intent to bid on this solicitation are
required to sign this amendment and return an original copy to the Department’s Contracting Officer by no
later than October 27, 2006, or three calendar days after issuance of this Amendment to the Solicitation
on FedBizOpps.

Except as provided herein, all terms and conditions of the document referenced in Item 9A or 10A, as heretofore changed, remains unchanged and in full force and effect.

15A. NAME AND TITLE OF SIGNER (Type or print) 16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or print)
ERIC F. VOGT
Chief, Division of Contract Negotiations
Office of Procurement Services
15B. CONTRACTOR/OFFEROR 15C. DATE SIGNED 16B. UNITED STATES OF AMERICA 16C. DATE SIGNED

BY
(Signature of person authorized to sign) (Signature of Contracting Officer)

STANDARD FORM 30 (REV. 10-83)


DOL069RP20266 – Amendment 02 Page 2

DOL – EFAST2
Solicitation No. DOL069RP20266
Amendment 02
The above referenced solicitation is hereby amended to: (i) extend the
closing date for this solicitation to November 27, 2006; (ii) incorporate
administrative changes to the contractual sections of the RFP; (iii)
incorporate administrative changes to the technical sections of the RFP; and
(iv) provide an electronic copy of Attachment B in Microsoft Excel format as
previously noted in Technical Question 28.

The following changes represent further clarification to the EFAST2


Solicitation. Except as stated below, all other terms and conditions remain
unchanged.

Extension

The Government hereby extends the closing date for this solicitation until
5:00 PM Eastern Standard Time, Monday, November 27, 2006. Accordingly, the
Government amends Section A cover letter to reflect the extension.
Concurrently, the Section L.9.8.5 – Labor Rate and Indirect Rate Verification
is also modified to extend the due date for a separate copy of the Offeror’s
"Business Proposal" to December 27, 2006.

1) As such, please delete the following paragraph from the Section A cover
letter:
“Interested Offerors are requested to notify the Contracting Officer in writing via e-
mail of their intent to respond no later than September 8, 2006, 5:00 pm Eastern Standard
Time to the following e-mail address: carrion.sonya@dol.gov. This non-binding letter of
intent should include the company name, address, phone number, e-mail address, and point
of contact. Offeror clarification questions shall be submitted to Sonya Carrion
(Carrion.Sonya@dol.gov) in accordance with Section L.12 of the RFP DOL069RP20266 and no
later than September 22, 2006, 5:00 pm Eastern Standard Time. All future requests for
information concerning this solicitation and/or materials submitted after September 30,
2006 shall be directed to Paula Sheelor at Sheelor.Paula@dol.gov. Technical and Business
proposals must be received by the U. S. Department of Labor, Office of the Assistant
Secretary for Administration and Management, Office of Procurement Services, N-5416 200
Constitution Avenue, NW, Washington, DC, 20210-0001, no later than November 13, 2006,
5:00 pm Eastern Standard Time.”

And substitute the following in lieu thereof:


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

2) Concurrently, under Section L of the Contract Schedule, delete the


following paragraph from Section L.9.8.5 in its entirety:
DOL069RP20266 – Amendment 02 Page 3

L.9.8.5 LABOR RATE AND INDIRECT RATE VERIFICATION

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

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

And substitute the following in lieu thereof:


L.9.8.5 LABOR RATE AND INDIRECT RATE VERIFICATION

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

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

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

Contractual Sections

1) Under Section B of the Contract Schedule, delete Section B in its entirety


and replace with the attached wholesale replacement of Section B (See
Attachment 1 to this Amendment).

Explanation of Changes:

This wholesale replacement reflects changes to Section B.2 to clarify that


Option Period I is an 11-month period of performance and Option Periods II-XI
are each a 12-month period of performance. This change is executed to reflect
the changes addressed in Contractual Question 4.

This wholesale replacement reflects changes to Sections B.2.1.3, B.2.1.4, and


B.2.1.4.1 to replace the term “fixed fee” with “base fee” for all CPAF
requirements. This change also eliminates the text “FAR 52.216-08 – Fixed
Fee for the Base Period – Fixed Fee Component” from Section B.2.1.5. This
change is executed to reflect the changes addressed in Contractual Question
5.

This wholesale replacement reflects changes to Section B.2.1.4.2 to clarify


that the maximum Base Period Award Fee for each component should be 33.4%
(Component 1), 33.3% (Component 2), and 33.3% (Component 3). This change is
executed to reflect the changes addressed in Contractual Question 7.

This wholesale replacement reflects changes to administratively clarify


Section B.2.2.4. Specifically, to clarify that fees, expenses, and costs
associated with computers and equipment will be incurred during operations
DOL069RP20266 – Amendment 02 Page 4

into the FFP structure in Option Period I (2nd Component). This change is
executed to reflect the changes address in Contractual Question 8.

This wholesale replacement reflects changes to Section B.2.3.3 to clarify the


pricing and invoicing methodology for CLINS 1, 2, and 3. This change is
executed to reflect the changes addressed in Contractual Question 9.

Finally, this wholesale replacement reflects changes to Section B.2.3.4 to


clarify that the Government will request the Contractor to submit a
responsive proposal for the unreimbursed portion of equipment and software
items if the Government wishes to take title to these items. This change is
executed to reflect the changes addressed in Contractual Question 11.

2) Under Section G of the Contract Schedule, delete the following from


Section G.5 in its entirety:

G.5 52.217-9 OPTION TO EXTEND THE TERM OF THE CONTRACT

(a) The Government may extend the term of this contract by written notice to the
Contractor within sixty (60) calendar days of contract expiration, provided that the
Government gives the Contractor a preliminary written notice of its intent to extend
at least thirty (30) calendar days before the contract expires. The preliminary
notice does not commit the Government to an extension.

(b) If the Government exercises this option, the extended contract shall be considered
to include this option clause.

(c) The total duration of this contract, including the exercise of any options under
this clause, shall not exceed 11 years.

And substitute the following in lieu thereof:

G.5 52.217-9 OPTION TO EXTEND THE TERM OF THE CONTRACT

(a) The Government may extend the term of this contract by written notice to the
Contractor within sixty (60) calendar days of contract expiration, provided that the
Government gives the Contractor a preliminary written notice of its intent to extend
at least thirty (30) calendar days before the contract expires. The preliminary
notice does not commit the Government to an extension.

(b) If the Government exercises this option, the extended contract shall be considered
to include this option clause.

(c) The total duration of this contract, including the exercise of any options under
this clause, shall not exceed 12 years and 3 months.

To reflect a wholesale replacement of Section G.5 to clarify that the total


duration of this contract to 12 years and 3 months. This change is executed
to reflect changes addressed in Contractual Question 14 and 15.

3) Under Section H of the Contract Schedule, delete the following from


Section H.6 in its entirety:
H.6 RIGHT IN DATA AND COPYRIGHT

“Throughout the period of the EFAST2 Contract, the Contractor shall perform in accordance
with Section I. The Government and the Contractor shall each have rights in data and
copyright in accordance with this clause and Section I of the Contract. In the case of
any conflict, this caluse shall govern. For the Government, these rights include
unlimited data rights, limited data and restricted software rights, rights prohibiting
unauthorized marking, rights addressing subcontractor performance, copyrights, and patent
rights. For the Contractor, these rights include the right to protect from unauthorized
disclosure and use of any data deemed limited rights data or restricted software, and the
right to establish claim to technical or scientific articles based on EFAST2 data
published in professional trade journals or similar works. The following addresses, in
detail, each of the Government and Contractor’s rights in data.”
DOL069RP20266 – Amendment 02 Page 5

And substitute the following in lieu thereof:


H.6 RIGHT IN DATA AND COPYRIGHT

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

To administratively correct the misspelling of “clause” in the second


sentence.

4) Under Section H of the Contract Schedule, delete the following from


Section H.12.1 in its entirety:

H.12.1 Base Period and Option Period I (1st Component)

“The Base Period will be structured into three distinct components, which combined
reflect the required 21-month Base Period of Performance for Development and Scale up of
EFAST2. During this period, the Government will conduct a series of two Functional
Capability Tests (FCTs) of the Contractor’s prototype/scale up systems and a final
Systems Acceptance Test (SAT) of the production system prior to granting official
Authority to Operate (ATO) the Firm Fixed Price (FFP) EFAST2 operations.

The Option Period I (1st Component) will be a 6 month period during which the Contractor
shall conduct advance, preprocessing activities necessary to prepare for system startup.
Option Period I (1st Component) will be a Cost Plus Fixed Fee contract period that occurs
concurrently with the last 6 months of the Base Period.

At the conclusion of Base Period, and prior to commencement of Option Period I (2nd
Component), the Contractor shall correct all system defects and deficiencies identified
by the Government in its FCTs and/or SAT. If the Contractor cannot demonstrate the
ability to correct system defects and deficiencies by the end of the Government’s review
of FCT2, or provide an acceptable remediation plan within 30 days of the Government’s
review of FCT2, the Government has the right to terminate for default. For the purpose of
this contract, a defect shall be defined as a critical nonconformance that is likely to
prevent performance of a vital agency mission under EFAST2; a deficiency shall be defined
as a major or minor nonconformance that reduce the usability of EFAST2 supplies or
services for their intended purpose, as specified in Attachment M. Defects and
deficiencies must be recorded in the CM reporting system as Error Reports (ERs) as
specified in Section C.25.”

And substitute the following in lieu thereof:

H.12.1 Base Period and Option Period I (1st Component)

“The Base Period will be structured into three distinct components, which combined
reflect the required 21-month Base Period of Performance for Development and Scale up of
EFAST2. During this period, the Government will conduct a series of two Functional
Capability Tests (FCTs) of the Contractor’s prototype/scale up systems and a final
Systems Acceptance Test (SAT) of the production system prior to granting official
Authority to Operate (ATO) the Firm Fixed Price (FFP) EFAST2 operations.

The Option Period I (1st Component) will be a 5 month period during which the Contractor
shall conduct advance, preprocessing activities necessary to prepare for system startup.
Option Period I (1st Component) will be a Cost Plus Fixed Fee contract period that occurs
concurrently with the last 5 months of the Base Period.

At the conclusion of Base Period, and prior to commencement of Option Period I (2nd
Component), the Contractor shall correct all system defects and deficiencies identified
by the Government in its FCTs and/or SAT. If the Contractor cannot demonstrate the
ability to correct system defects and deficiencies by the end of the Government’s review
DOL069RP20266 – Amendment 02 Page 6

of FCT2, or provide an acceptable remediation plan within 30 days of the Government’s


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

To reflect a wholesale replacement of Sections H.12.1 to clarify that Option


Period I (1st Component) of the EFAST2 contract will be a 5-month period. This
amendment is executed to reflect the changes addressed in Contractual
Question 18.

5) Under Section I of the Contract Schedule, delete the following from Section
I.2.a:

I.2.a Clauses Applying to Cost Plus Sections of the Contract- Incorporated by Reference

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

FAR SECTION SC DESCRIPTION DATE


ALLOWABLE COST AND PAYMENT
52.216-07 @ Dec-02
COST CONTRACT -- NO FEE
52.216-11 @ Apr-84
LIMITATION OF FUNDS
52.232-22 @ Apr-84
PENALTIES FOR UNALLOWABLE COSTS
52.242-03 @ May-01
CERTIFICATION OF FINAL INDIRECT COSTS
52.242-04 @ Jan-97
CHARGES – COST REIMBURSEMENT ALTERNATE I (APR 1984)
52.243-02 @ Aug-87
SUBCONTRACTS ALTERNATE I (JAN 2006)
52.244-02A @ Jan-06
TERMINATION (COST REIMBURSEMENT)
52.249-06 @ May-04

And substitute the following in lieu thereof:


I.2.a Clauses Applying to Cost Plus Sections of the Contract- Incorporated by Reference

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

FAR SECTION SC DESCRIPTION DATE


52.216-07
@ ALLOWABLE COST AND PAYMENT Dec-02

52.232-22 @ LIMITATION OF FUNDS Apr-84


52.242-03
@ PENALTIES FOR UNALLOWABLE COSTS May-01
DOL069RP20266 – Amendment 02 Page 7

52.242-04
@ CERTIFICATION OF FINAL INDIRECT COSTS Jan-97
52.243-02
@ CHANGES – COST REIMBURSEMENT ALTERNATE I (APR 1984) Aug-87
52.244-02
@ SUBCONTRACTS Jan-06
52.249-06
@ TERMINATION (COST REIMBURSEMENT) May-04

To reflect a wholesale replacement of Section I.2.a to delete FAR 52.216-11,


and remove “Alternate 1” from FAR 52.244-02. This change is executed to
reflect changes addressed in Contractual Question 22.

6) Under Section I of the Contract Schedule, delete the following FAR 52.204-
02 from Section I.2.c:

52.204-02 SECURITY REQUIREMENTS Aug-96

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

52.233-01 DISPUTES Jul-02

To reflect the changes addressed in Contractual Questions 24 and 25.

7) Under Section L of the Contract Schedule, delete Section L in its entirety


and replace with the attached wholesale replacement of Section L (See
Attachment 2 of this Amendment).

Explanation of Changes:

This wholesale replacement reflects changes to Section L.8.2.5.7 to correct


references in L.8.2.5.7.(d) to C.10.6.7 - C.10.6.12 with C.10.6.6 -
C.10.6.6.5. This change is executed to reflect the changes addressed in
Contractual Question 30.

This wholesale replacement reflects changes to Section L.8.4.1 to replace


references to Cost Performance Report with Contract Performance Report. This
change is executed to reflect the changes addressed in Contractual Question
31.

This wholesale replacement reflects changes to Section L.8.5.1 to replace the


phrase “length of time in business” with “years of industry experience.” This
change is executed to reflect the changes addressed in Contractual Question
32.

This wholesale replacement reflects a change to clarify the identification of


key personnel assigned to prior projects rather than all non-clerical staff.
This change is executed to reflect changes addressed in Contractual Question
34 and 36.

This wholesale replacement reflects changes to Section L.8.5.2 to clarify


that the requirement can be applied to both active and completed projects and
may include projects performed by proposed subcontractors. This change is
executed to reflect the changes addressed in Contractual Questions 35 and 37.
DOL069RP20266 – Amendment 02 Page 8

This wholesale replacement reflects changes to Section L.8.7 to exempt small


businesses in accordance with NAICS 541511 and a size standard of $23,000,000
from the Small Business Subcontracting Utilization Plan requirement. This
change is executed to reflect the changes addressed in Contractual Questions
40.

This wholesale replacement reflects changes to Section L.9.3.a to replace the


term “fixed fee” with “base fee” for all CPAF requirements. This change is
executed to reflect the changes addressed in Contractual Question 5.

8) Under Section M of the Contract Schedule, delete the following from


Section M.1 in its entirety:

M.1 NOTICE LISTING SOLICITATION PROVISIONS INCORPORATED BY REFERENCE

“52.214-10 CONTRACT AWARD -- SEALED BIDDING (JULY 1990)”

And substitute the following in lieu thereof:

M.1 Reserved

To correct an administrative error. The EFAST2 award will be based on a best


value determination, rather than price and price-related factors.

8) Under Section M of the Contract Schedule, delete the following from


Section M.3.7 in its entirety:

M.3.7 Small Business Subcontracting Utilization Plan (25 Points)

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

And substitute the following in lieu thereof:

M.3.7 Small Business Subcontracting Utilization Plan (25 Points)

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

Offerors that are small businesses (i.e. businesses with NAICS Code of 541511 and a size
standard of $23,000,000) are automatically eligible for award of the maximum 25 points
for the Small Business Subcontracting Utilization Plan.”

To reflect a wholesale replacement of Section M.3.7 to indicate that small


businesses are automatically eligible for award of the maximum 25 points for
the Small Business Subcontracting Utilization Plan. This change is executed
to reflect the changes addressed in Contractual Questions 45.
DOL069RP20266 – Amendment 02 Page 9

9) Under Attachment B of the Contract Schedule, delete Attachment B in its


entirety and replace with the attached wholesale replacement of Attachment B
(See Attachment 3 to this Amendment).

Explanation of Changes:

This wholesale replacement of Attachment B reflects all changes made to


Section L, as described above. This change is executed to reflect the changes
addressed in Contractual Questions 30, 31, 32, 34, 35, 37, and 40.

Additionally, an electronic copy of Attachment B in Microsoft Excel format


has been provided to support offerors’ completion of the attachment in their
EFAST2 proposal, per the change addressed in Contractual Question 28.

10) Under Attachment Q of the Contract Schedule, delete Attachment Q in its


entirety and replace with the attached wholesale replacement of Attachment Q
(See Attachment 4 to this Amendment).

Explanation of Change:

This wholesale replacement reflects changes to Q.1, Q.2, and Q.3 to clarify
that the maximum Base Period Award Fee for each component should be 33.4%
(Component 1), 33.3% (Component 2), and 33.3% (Component 3). This change is
executed to reflect the changes addressed in Contractual Question 7.

11) Under Attachment T of the Contract Schedule, delete Attachment T in its


entirety and replace with the attached wholesale replacement of Attachment T
(See Attachment 5 to this Amendment).

Explanation of Change:

This wholesale replacement of Attachment T reflects changes to T.1-1 and T.1-


2 to remove any inconsistencies between Section B and Attachment T. This
change is executed to reflect the changes addressed in Contractual Question
10.

Technical Section

1) Under Section C of the Contract Schedule, delete the following performance


standard from Exhibit C.2.1 in its entirety:

Data Distribution / n% of EBSA “push” data distributions shall be delivered timely,


6.3 99.99 / 99.99
Timeliness (EBSA) as described in Section C.15, Section F, and Attachment E.

And substitute the following in lieu thereof:

Data Distribution n% of EBSA “push” data distributions shall be delivered


6.3.1 / Timeliness timely, as described in Section C.15, Section F, and 99.99 / 99.99
(EBSA) Attachment E.

n% of IRS “push” data distributions shall be delivered


Data Distribution
6.3.2 timely, as described in Section C.15, Section F, and 99.99 / 99.99
/ Timeliness (IRS)
Attachment E.
DOL069RP20266 – Amendment 02 Page 10

Data Distribution n% of PBGC “push” data distributions shall be delivered


6.3.3 / Timeliness timely, as described in Section C.15, Section F, and 99.99 / 99.99
(PBGC) Attachment E.

To reflect a wholesale replacement of Performance Standard 6.3 with


Performance Standards 6.3.1, 6.3.2, and 6.3.3 to clarify that performance
standards for push data distributions to EBSA, IRS, and PBGC are in
accordance with Section C.15, Section F, and Attachment E. This change is
executed to reflect the changes addressed in Technical Questions 72 and 104.

2) Under Section C of the Contract Schedule, delete the following performance


standard from Exhibit C.2.1 in its entirety:

99.9% of all changes to static content visible on the EFAST2


Web Portal Static web portal, or content of any communication with filers,
7.1 Content Changes / software developers, or other third parties, shall be accurately 1/1
Timeliness implemented as needed within n days of Contractor receipt of
Government’s request.

And substitute the following in lieu thereof:

99.9% of all changes to static content visible on the EFAST2


Web Portal Static web portal, or content of any communication with filers,
7.1 Content Changes / software developers, or other third parties, shall be 2/2
Timeliness accurately implemented as needed within n days of
Contractor receipt of Government’s request.

To reflect a wholesale replacement of Performance Standard 7.1 to increase


the implementation time of web portal content changes to 2 days for peak and
non-peak processing periods. This change is executed to reflect the changes
addressed in Technical Question 26.

3) Under Section C of the Contract Schedule, delete the following performance


standard from Exhibit C.2.1 in its entirety:

Contact Center / Queries received by email or web form shall be responded to 24 hours / 2
8.6
Email responses within n hours / days. days

And substitute the following in lieu thereof:

Contact Center / Queries received by email or web form shall be responded to 2 days / 24
8.6
Email responses within n hours / days. hours

To reflect a wholesale replacement of Performance Standard 8.6 to allow for


response times of 2 days during peak processing periods and 24 hours during
non-peak processing periods. This change is executed to reflect the changes
addressed in Technical Questions 19, 22, and 31.

4) Under Section C of the Contract Schedule, delete the following paragraph


from Section C.10.2 in its entirety:

C.10.2 Web Portal


DOL069RP20266 – Amendment 02 Page 11

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

And substitute the following in lieu thereof:

C.10.2 Web Portal

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

To reflect a wholesale replacement of Section C.10.2 to clarify that the


Contractor shall develop the web portal in accordance with all Government
requirements regarding public websites as cited in the contract and the
above-mentioned Government resources. This change is executed to reflect the
changes addressed in Technical Question 44.

5) Under Section C of the Contract Schedule, delete the following paragraph


from Section C.10.3.6.2 in its entirety:

C.10.3.6.2 Get Forgotten Credential Authentication

“The Contractor’s IREG website shall include a webpage for registered individuals who
have forgotten their ID, PIN, and/or password. The website shall have an automated
challenge requesting the individual’s email address and secret knowledge information
supplied during registration. The Contractor shall treat large numbers of forgotten
credential requests as a security incident. If the email address and secret knowledge
entered matches a record in the IREG database, the Contractor shall issue an automated
email containing a secure link within five (5) minutes. This secure link will take the
user to a web page allowing the registered applicant to change their ID, PIN, and/or
password. If the email address and/or secret knowledge entered does not match a record in
the IREG database, the Contractor shall send an email to the last supplied email address
(from the forgotten credential webpage) notifying the individual of the error. The
Contractor shall not specify which portion of the credential was incorrect (the email
address or secret knowledge) but only state the supplied information did not match the
IREG database records and instruct the individual to apply for new credentials by
submitting a new IREG application. Batch transmitters would not be able to retrieve their
ID or PIN and must re-apply for a new credential if needed.”

And substitute the following in lieu thereof:

C.10.3.6.2 Get Forgotten Credential Authentication

“The Contractor’s IREG website shall include a webpage for registered individuals who
have forgotten their ID, PIN, and/or password. The website shall have an automated
challenge requesting the individual’s email address and secret knowledge information
supplied during registration. The Contractor shall treat large numbers of forgotten
credential requests as a security incident. If the email address and secret knowledge
entered matches a record in the IREG database, the Contractor shall issue an automated
email containing a secure link within five (5) minutes. This secure link will take the
user to a web page allowing the registered applicant to view their ID, PIN, and/or
password. If the email address and/or secret knowledge entered does not match a record in
the IREG database, the Contractor shall send an email to the last supplied email address
(from the forgotten credential webpage) notifying the individual of the error. The
Contractor shall not specify which portion of the credential was incorrect (the email
address or secret knowledge) but only state the supplied information did not match the
IREG database records and instruct the individual to apply for new credentials by
DOL069RP20266 – Amendment 02 Page 12

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

To reflect a wholesale replacement of Section C.10.3.6.2 to specify that a


User ID may only be viewed and not changed in the IREG application. This
change is executed to reflect the changes addressed in Technical Question 49.

6) Under Section C of the Contract Schedule, delete the following paragraph


from Section C.10.5.10 in its entirety:

C.10.5.10 Software Architecture

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

And substitute the following in lieu thereof:

C.10.5.10 Software Architecture

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

To reflect a wholesale replacement of Section C.10.5.10 to clarify that each


form face or schedule face must be on its own page. This change is executed
to reflect changes addressed in Technical Question 63.

7) Under Section C of the Contract Schedule, delete the following paragraphs


from Section C.10.6 in its entirety:

C.10.6 Software Developer Support Program

Third party software plays a vital role in EFAST2. In the current paper-based EFAST
program, approximately 90% of all filings are prepared using Government-certified third
party software, and that trend is expected to continue in EFAST2. The Contractor shall
enable filers to complete, sign, and submit filings and retrieve filing status
information using approved third party software. The Contractor shall establish and
maintain a support program for EFAST2 software developers and service providers, and test
and certify third party software on behalf of the Government.

The Contractor’s software developer support program shall include developer registration,
access to schemas and edit test specifications, technical assistance, PATS testing, and
award of certification credentials to software packages meeting all requirements for
approval. Credentials signifying certified software shall be required by IFAS for filing
acceptance and validation of web service requests, as described in Section C.10.4.

And substitute the following in lieu thereof:


C.10.6 Software Developer Support Program

Third party software plays a vital role in EFAST2. In the current paper-based EFAST
program, approximately 90% of all filings are prepared using Government-certified third
party software, and that trend is expected to continue in EFAST2. The Contractor shall
enable filers to complete, sign, and submit filings and retrieve filing status
information using approved third party software. The Contractor shall establish and
maintain a support program for EFAST2 software developers and service providers, and test
and certify third party software on behalf of the Government.

The Contractor shall ensure software developer support and specifications are developed
to induce the widest range of participation by software developers. The Contractor shall
not limit access to the software developer support program. If the Contractor acts as a
filing software provider or transmission software provider, the Contractor must provide
DOL069RP20266 – Amendment 02 Page 13

IFAS software development and software developer support such that the Contractor’s
software provider group has no advantage over other software developers (e.g. early
software development or certification, shared code, information testing, etc.)

The Contractor’s software developer support program shall include developer registration,
access to schemas and edit test specifications, technical assistance, PATS testing, and
award of certification credentials to software packages meeting all requirements for
approval. Credentials signifying certified software shall be required by IFAS for filing
acceptance and validation of web service requests, as described in Section C.10.4.

To reflect a wholesale replacement of Section C.10.6 to ensure that software


developer support and specifications are developed to induce the widest range
of participation by software developers.

8) Under Section C of the Contract Schedule, delete the following paragraph


from Section C.13.1.2 in its entirety:
C.13.1.2 Interruptions Beyond Contractor’s Control

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

And substitute the following in lieu thereof:


C.13.1.2.1 Interruptions Beyond Contractor’s Control

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

To administratively change the section reference from Section C.13.1.2 to


Section C.13.1.2.1.

9) Under Section C of the Contract Schedule, delete the following paragraphs


from Section C.14.10 in their entirety:

Section C.14.10 Capacity

“The Contractor shall develop and manage EFAST2 data and information processes and
repositories such that capacities are not exceeded throughout the duration of this
contract. The Contractor shall store and manage the full number of plan years of filing
data processed during Option Periods II-XI.

The Contractor shall populate the IMA with full data from filings received from filers by
the Contractor. The Contractor shall design the IMA and other data repositories in an
organized and efficient manner. The Contractor shall consider using an XML-enabled,
object-relational database or a relational database with tables representing Form 5500
forms and schedules to structure the IMA. The Contractor shall design and size the IMA
and other data management elements to accommodate the demands of peak load processing and
DOL069RP20266 – Amendment 02 Page 14

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

And substitute the following in lieu thereof:

Section C.14.10 Capacity

“The Contractor shall develop and manage EFAST2 data and information processes and
repositories such that capacities are not exceeded throughout the duration of this
contract. The Contractor shall store and manage the full number of plan years of filing
data processed during Option Periods I (2nd Component) through Option Period XI.

The Contractor shall populate the IMA with full data from filings received from filers by
the Contractor. The Contractor shall design the IMA and other data repositories in an
organized and efficient manner. The Contractor shall consider using an XML-enabled,
object-relational database or a relational database with tables representing Form 5500
forms and schedules to structure the IMA. The Contractor shall design and size the IMA
and other data management elements to accommodate the demands of peak load processing and
shall consider data processing efficiency, performance concerns, and normal database
growth over the course of the contract.”

To reflect a wholesale replacement of Section C.14.10 to clarify that the


Contractor is required to store and manage the full number of plan years of
filing data processed during Option Period I (2nd Component) through Option
Period XI. This change is executed to reflect the changes addressed in
Technical Questions 7 and 47.

10) Under Section C of the Contract Schedule, delete the following paragraph
from Section C.15.2.4.1 in its entirety:

C.15.2.4.1 Fonts

“The font used for the item # and form labels in facsimiles shall be Helvetica. An
exception to this is the font used for the first two digits of the year in the upper
right corner on page 1 of each form is Swiss 721 Bold Outline BT. The font for data
fields shall be 12 point 10 pitch Courier or Courier New. All alphanumeric type data
fields must be printed in upper case.”

And substitute the following in lieu thereof:

C.15.2.4.1 Fonts

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

To reflect a wholesale replacement of Section C.15.2.4.1 to remove the


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

C.15.3.4 Files Pushed to Government


“Daily, the Contractor shall develop filing output and tracking database records
according to static Government specifications in Attachment E and push those files to
DOL, the IRS, and PBGC. The Contractor shall push files containing the required records
to Government servers through a Virtual Private Network (VPN) described in Section
C.15.3.4.1. Pushing the files will involve connecting to the Government secure drop box
servers through the VPN, FTP-ing files to a specified directory, then renaming the files
into the directory. The Contractor shall ensure each pushed file is a reasonable file
size for uploading and downloading. If necessary, the Contractor shall create multiple
DOL069RP20266 – Amendment 02 Page 15

files for each drop box to ensure no file sizes are unreasonably large. By 6AM the
Contractor shall have completed pushing all files.

The Contractor shall have the capability to re-create the pushed files if errors are
found or problems arise. The vendor shall have the capability to re-push the files, using
the original file names, for up to 30 days after the files are originally distributed.”

And substitute the following in lieu thereof:

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

The Contractor shall have the capability to re-create the pushed files if errors are
found or problems arise. The vendor shall have the capability to re-distribute the
files, using the original file names, for up to 30 days after the files are originally
distributed.”

To reflect a wholesale replacement of Section C.15.3.4 to eliminate the


requirement that files should be pushed daily and clarify that files should
be pushed in accordance to Section F and Attachment E. This change is
executed to reflect changes addressed in Technical Questions 72 and 104.

12) Under Section C of the Contract Schedule, delete the following paragraph
from Section C.22.3.3 in its entirety:

C.22.3.3 Personnel Full Clearance

“The estimated completion time for an MBI is one hundred and twenty (120) calendar days
from the date of receipt by DOL of the investigatory documents to the completion of the
scope of the investigation, when results are favorable. The Contractor is responsible for
maintaining an independent copy of the executed Temporary Security Clearance
Certification at the Contractor’s facility for subsequent Government inspection and
review. The Contractor shall pay the price (estimated to be approximately $450.00 per
individual) of the investigation for each person. Within two (2) Federal working days of
receiving such certification, the COTR will notify the Contractor in writing of personnel
newly certified by OPM to have access to ERISA data.”

And substitute the following in lieu thereof:

C.22.3.3 Personnel Full Clearance

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

To reflect a wholesale replacement of Section C.22.3.3 to direct the


Contractor to http://www.opm.gov/extra/investigate for current MBI prices.
This change is executed to reflect changes addressed in Technical Question
85.
DOL069RP20266 – Amendment 02 Page 16

13) Under Section E of the Contract Schedule, delete the following paragraphs
from Section E.7.3 in their entirety:
E.7.3 INSPECTION AND ACCEPTANCE OF OPTION PERIOD I (2ND COMPONENT) THROUGH OPTION PERIOD
XI PROCESSING DELIVERABLES

“During Option Period I (2nd Component) through Option Period XI, the Government will
evaluate data disseminated based on the following factors:
• Conformance with the data dissemination requirements in Section C.15, and Attachment P
(Data Element Requirements) and Attachment E (Interface Requirements Document), and other
relevant contract sections.
• Determination whether the deliverable fulfills all relevant functional requirements in
Section C, Attachment P, Attachment C, Attachment E, and Attachment F, and
related contract sections.
• Conformance with the performance standards in Section C.2.
• Conformance with the security compliance requirements in Section C.22.

Each year during Option Period I (2nd Component) through Option Period XI, and before the
exercise of the succeeding option period, the Government will conduct an acceptance test
of structured data deliverables received during production to ensure that these
deliverables can be successfully loaded into the Government’s end user systems. The
acceptance test will be based on the validation checks, range checks, and related
criteria documented in Attachment P (DER) and Attachment E (IRD). At a minimum, the
acceptance test will consist of the following checks:
• SPONS-DFE-EIN must have 9 numbers and must not start with 00, 07, 08, 09, 17, 18, 19,
28, 29, 49, 78, 79, 89, 96 or 97
• SPONS-DFE-PN must be 001-999
• TAX-PRD must be valid YYYYMMDD (TAX-PRD will be renamed as Plan Year End Date with
valid value of YYYYMMDD)
• TRANS-CD must be valid (150, 151, 155, 156, 977)
• DOCUMENT-LOCATOR-NUMBER must start with 84, 86, 91, 56, 62, or 72
• DOCUMENT-LOCATOR-NUMBER must have valid doc code, and doc code must match the format of
the record
• TRANS-DATE must be a valid date (valid date = YYYYMMDD)
• RECORD-TYPE-CODE must be valid (C, D, E, I, J, K, L, M, N, O, P, R, S, T, W)
• Form 5500 Series record must be present and must always be the first record for a
filing
• Cannot have more than one Form 5500 Series record for a single filing (can’t have
duplicate DOCUMENT-LOCATOR-NUMBERs)

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

And substitute the following in lieu thereof:

E.7.3 INSPECTION AND ACCEPTANCE OF OPTION PERIOD I (2ND COMPONENT) THROUGH OPTION PERIOD
XI PROCESSING DELIVERABLES

“During Option Period I (2nd Component) through Option Period XI, the Government will
evaluate data disseminated based on the following factors:
• Conformance with the data dissemination requirements in Section C.15, and Attachment P
(Data Element Requirements) and Attachment E (Interface Requirements Document), and other
relevant contract sections.
• Determination whether the deliverable fulfills all relevant functional requirements in
Section C, Attachment P, Attachment C, Attachment E, and Attachment F, and
related contract sections.
• Conformance with the performance standards in Section C.2.
• Conformance with the security compliance requirements in Section C.22.

Each year during Option Period I (2nd Component) through Option Period XI, and before the
exercise of the succeeding option period, the Government will conduct an acceptance test
of structured data deliverables received during production to ensure that these
deliverables can be successfully loaded into the Government’s end user systems. The
acceptance test will be based on the validation checks, range checks, and related
criteria documented in Attachment P (DER) and Attachment E (IRD). At a minimum, the
acceptance test will consist of the following checks:
DOL069RP20266 – Amendment 02 Page 17

• SPONS-DFE-EIN must have 9 numbers and must not start with 00, 07, 08, 09, 17, 18, 19,
28, 29, 49, 78, 79, 89, 96 or 97
• SPONS-DFE-PN must be 001-999
• TAX-PRD must be valid YYYYMMDD (TAX-PRD will be renamed as Plan Year End Date with
valid value of YYYYMMDD)
• DOCUMENT-LOCATOR-NUMBER must start with 84, 86, 91, 56, 62, or 72
• DOCUMENT-LOCATOR-NUMBER must have valid doc code, and doc code must match the format of
the record
• SUBMITTED-DATE must be a valid date (valid date = YYYYMMDD)
• Form 5500 Series record must be present in a filing.
• Cannot have more than one Form 5500 Series record for a single filing (can’t have
duplicate DOCUMENT-LOCATOR-NUMBERs)

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

To reflect a wholesale replacement of Section E.7.3 to delete variable checks


RECORD-TYPE CODE and TRANS-CD. Concurrently, the Trans-Date variable is
deleted and replaced by the Submitted-Date variable. Finally, the “first
record” check is eliminated. This change is executed to reflect the changes
addressed in Technical Questions 90, 91, 92, and 93.

14) Under Section F of the Contract Schedule, delete Section F in its


entirety and replace with the attached wholesale replacement of Section F
(See Attachment 6 to this Amendment).

Explanation of Change:

This wholesale replacement reflects changes to the Transmission of Structured


Data Records to End Users Deliverable to clarify that the tracking database
“push” distribution will occur monthly and shall coincide with the tracking
database version used by the Contractor to measure the monthly performance
standards. This change is executed to reflect the changes addressed in
Technical Questions 37 and 73.

15) Under Section J of the Contract Schedule, delete Section J in its


entirety and replace with the attached wholesale replacement of Section J
(See Attachment 7 to this Amendment).

Explanation of Change:

This wholesale replacement updates the List of Attachments to reflect the


changes executed in Amendment 02.

16) Under Attachment E of the Contract Schedule, delete Attachment E in its


entirety and replace with the attached wholesale replacement of Attachment E
(See Attachment 8 to this Amendment).

Explanation of Changes:

This wholesale replacement reflects changes to Attachment E, Sections 2.1 and


2.1.3 to clarify that the tracking database “push” distribution will occur
monthly and shall coincide with the tracking database version used by the
Contractor to measure the monthly performance standards. This change is
executed to reflect the changes addressed in Technical Questions 37 and 73.

This wholesale replacement reflects changes to Attachment E, Sections 2.2 and


2.3 to specify that each Government agency may receive multiple files per
DOL069RP20266 – Amendment 02 Page 18

data set of push files. This change is executed to reflect the changes
addressed in Technical Question 99.

This wholesale replacement reflects changes to Attachment E, Sections 2.1.1,


2.1.2, 2.2.1, and 2.2.2 to clarify that the File Name shall be sufficiently
unique to prevent file name collisions and shall have a “.ZIP” extension.
This change is executed to reflect changes addressed in Technical Question
98.

This wholesale replacement reflects changes to Attachment E, Section 2.1.5 to


delete the phrase “(see Transfer Criteria 2.3.1-2.3.2)” and insert “(see
Format Description).” This change is executed to reflect the changes
addressed in Technical Question 100.

This wholesale replacement reflects changes to Attachment E to add Sections


2.1.3, 2.2.3, and B.29 to clarify the format and structure of the pushed
tracking database files addressed in Technical Questions 73 and 75.

16) Under Attachment G of the Contract Schedule, delete the following from
Attachment G.2.1 in its entirety:
G.2.1. PATS Test Scenarios

“Test scenarios in the PATS Package described in Section C.10.6 shall generally follow
the model of IRS Publication 4162. Contractor shall provide up to 10 scenarios, ranging
from a simple Short Form filing with no schedules or attachments to complex DFE filings
with numerous schedules and attachments. Each scenario shall be defined by a list of
forms, schedules, and attachments, with data for each provided in a simple Excel or PDF
table using common formatting of numbers, addresses, and dates.

• All EFAST2 schedules shall be included in at least one scenario.


• At least one scenario shall include multiple Schedule A’s.
• At least one scenario shall be for a large defined benefit plan.
• At least one scenario shall be for a welfare plan.
• At least one scenario shall be a DFE filing
• At least one scenario shall be for a terminated plan.
• At least one scenario shall be a secured/substitute return
• At least one scenario shall include an amended filing.
• At least one scenario shall include an extension.
• At least one scenario shall include an Accountant’s Opinion.
• At least one scenario shall include a text (not PDF) attachment
• At least one scenario shall include a user-defined “OtherAttachment” type

Data formats in the PATS Package scenarios shall intentionally contain differences from
the values and formats allowed by the EFAST2 schemas and shall comprehensively test the
software provider’s ability to understand the schemas, and detect and correct invalid
values entered by filers. Examples of data formats presented in the PATS Package shall
include:

• Hyphens and leading zeros in EIN


• Common date formats, such as 1/1/2009 or Jan. 1, 2009
• Commas, dollar signs, and decimal values in Amount fields
• Foreign addresses
• Telephone numbers with parentheses and hyphens
• Accented characters in name or address fields
• Literal state or country names (schema requires 2-character codes)
• Literal values where schema requires codes
• Fields allowed to be blank in filer instructions but required in the schema, e.g. Plan
Year Begin and Plan Year End date on Form 5500.”

And substitute the following in lieu thereof:

G.2.1. PATS Test Scenarios

“Test scenarios in the PATS Package described in Section C.10.6 shall generally follow
the model of IRS Publication 4162. Contractor shall provide up to 10 scenarios, ranging
DOL069RP20266 – Amendment 02 Page 19

from a simple Short Form filing with no schedules or attachments to complex DFE filings
with numerous schedules and attachments. Each scenario shall be defined by a list of
forms, schedules, and attachments, with data for each provided in a simple Excel or PDF
table using common formatting of numbers, addresses, and dates.

• All EFAST2 schedules shall be included in at least one scenario.


• At least one scenario shall include multiple Schedule A’s.
• At least one scenario shall be for a large defined benefit plan.
• At least one scenario shall be for a welfare plan.
• At least one scenario shall be a DFE filing.
• At least one scenario shall be for a terminated plan.
• At least one scenario shall include an amended filing.
• At least one scenario shall include an extension.
• At least one scenario shall include an Accountant’s Opinion.
• At least one scenario shall include a text (not PDF) attachment.
• At least one scenario shall include a user-defined “OtherAttachment” type.

Data formats in the PATS Package scenarios shall intentionally contain differences from
the values and formats allowed by the EFAST2 schemas and shall comprehensively test the
software provider’s ability to understand the schemas, and detect and correct invalid
values entered by filers. Examples of data formats presented in the PATS Package shall
include:

• Hyphens and leading zeros in EIN


• Common date formats, such as 1/1/2009 or Jan. 1, 2009
• Commas, dollar signs, and decimal values in Amount fields
• Foreign addresses
• Telephone numbers with parentheses and hyphens
• Accented characters in name or address fields
• Literal state or country names (schema requires 2-character codes)
• Literal values where schema requires codes
• Fields allowed to be blank in filer instructions but required in the schema, e.g. Plan
Year Begin and Plan Year End date on Form 5500.”

To reflect a wholesale replacement of Attachment G.2.1 to clarify that


secured/substitute filings will be submitted solely using the IFILE
application. This change is executed to reflect the changes addressed in
Technical Question 38.

18) Under Attachment I of the Contract Schedule, delete the following from
Attachment I.6.1 in its entirety:

I.6.1 Data Distribution / Timeliness (Performance Standard 6.1)

• Unit of Measure: A single output record produced per the requirements in Section C.10.4
and Section C.15, that is available for data dissemination to the Government end users
(through “push” or “pull” extracts) or the public (through public disclosure).
• Universe: N = All output records produced during the reporting period
• Validated Timestamp: Reference Attachment J.2.1 for definition of Validated Timestamp.
• Completed Delivery Timestamp: Reference Attachment J.2.1 for definition of
Completed Delivery Timestamp.
• Unit Calculation:
• 1 if (Completed Delivery Timestamp - Validated Timestamp) ≤ Performance
Standard 6.1
• 0 if (Completed Delivery Timestamp - Validated Timestamp) > Performance Standard
6.1
• Reporting period: Reported on a monthly (or 4-4-5) basis consistent with Contractor’s
invoicing cycle.
• Reported Value = ∑ (Unit Calculation) / N * 100.0

And substitute the following in lieu thereof:

I.6.1 Data Distribution / Timeliness (Performance Standard 6.1)

• Unit of Measure: A single output record produced per the requirements in Section C.10.4
and Section C.15, that is available for data dissemination to the Government end users
(through “push” or “pull” extracts) or the public (through Public Disclosure).
• Universe: N = All output records produced during the reporting period
DOL069RP20266 – Amendment 02 Page 20

• Received Timestamp: Reference Attachment J.2.1 for definition of Received Timestamp.


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

To reflect a wholesale replacement of Attachment I.6.1 to clarify that


availability, and not delivery, will be used to measure Performance Standard
6.1. This change is executed to reflect changes addressed in Technical
Question 103.

19) Under Attachment I of the Contract Schedule, delete the following from
Attachment I.6.3 in its entirety:
I.6.3 Data Distribution / Timeliness (Performance Standard 6.3)

• Unit of Measure: A single “push” data distribution product delivered per the
requirements in Section C.15 and Attachment E.
• Universe: N = All “push” data distribution products delivered during the reporting
period
• Delivery Timestamp: Delivery shall be measured as the timestamp of the notification
message sent to the Government indicating that the “push” data distribution product has
been generated and is available for pickup by the Government.
• Unit Calculation:
• 1 if (Delivery Timestamp) ≤ Section F prescribed delivery date / time
• 0 if (Delivery Timestamp) > Section F prescribed delivery data / time
• Reporting period: Reported on a monthly (or 4-4-5) basis consistent with Contractor’s
invoicing cycle.
• Reported Value = Σ (Unit Calculation) / N * 100.0

And substitute the following in lieu thereof:


I.6.3.1 Data Distribution / Timeliness (EBSA) (Performance Standard 6.3.1)

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

I.6.3.2 Data Distribution / Timeliness (IRS) (Performance Standard 6.3.2)

• Unit of Measure: A single “push” data distribution product delivered per the
requirements in Section C.15 and Attachment E to IRS.
• Universe: N = All “push” data distribution products delivered to IRS during the
reporting period
• Completed IRS Delivery Timestamp: Reference Attachment J.2.1 for definition of
Completed IRS Delivery Timestamp.
• Unit Calculation:
• 1 if (Completed IRS Delivery Timestamp) ≤ Section F prescribed delivery date /
time
• 0 if (Completed IRS Delivery Timestamp) > Section F prescribed delivery date /
time
DOL069RP20266 – Amendment 02 Page 21

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

I.6.3.3 Data Distribution / Timeliness (PBGC) (Performance Standard 6.3.3)

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

To reflect a wholesale replacement of Attachment I.6.3 with Attachment


I.6.3.1, I.6.3.2, and I.6.3.3 to clarify the calculation of the delivery
timestamps. This change is executed to reflect changes addressed in Technical
question 104.

20) Under Attachment J of the Contract Schedule, delete Attachment J in its


entirety and replace with the attached wholesale replacement of Attachment J
(See Attachment 9 to this Amendment).

Explanation of Changes:

This wholesale replacement reflects changes to Attachment J.2.1 to modify the


name and description of four timestamps from delivery to availability, add
four binary availability indicators, and clarify the calculation of
COMPLETED-PROC-TIMESTAMP to address changes related to Technical Questions
103, 105, and 106.

This wholesale replacement also reflects changes to Attachment J.2.1 to add


three delivery timestamps to be used in the calculation of Performance
Standards 6.3.1, 6.3.2, and 6.3.3 to address changes related to Technical
Question 104.

21) Under Attachment P of the Contract Schedule, delete Variables 1092 and
1093 in their entirety and replace with the attached changes pages (See
Attachment 10 to this Amendment).

Explanation of Change:

These change pages clarify that hyphens are not to be removed for DER
Variables 1092 and 1093. This change is executed to reflect the changes
addressed in Technical Question 110.

EXCEPT AS STATED ABOVE, ALL OTHER TERMS AND CONDITIONS SHALL REMAIN
UNCHANGED.
This Page is Intentionally Left Blank
EFAST2 RFP
Amendment 02
Attachments 1-10
This Page is Intentionally Left Blank
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 1 Section B, Page 1 of 16

Attachment 1

Section B
Information Technology Description,
Cost, And Pricing
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 1 Section B, Page 2 of 16

This Page is Intentionally Left Blank


DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 1 Section B, Page 3 of 16

PART I - THE SCHEDULE


SECTION B - INFORMATION TECHNOLOGY DESCRIPTION, COST, AND
PRICING

B.1 INFORMATION TECHNOLOGY DESCRIPTION, COST, AND PRICING

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

B.2 COMPENSATION

The contract comprises a 21-month Base Period, an 11-month Option Period I, and ten 1-year
options, Option Periods II through XI.

B.2.1 Base Period – Prototype System Module, Scaleup, and Certification &
Implementation

B.2.1.1 Base Period – Contract Type

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

B.2.1.2 Base Period – Period of Performance

The Base Period of the contract is contract award through December 31, 2008. The Base Period
will be structured into three distinct time components. These three components, combined, reflect
the required 21-month Base Period of Performance for Development, Scaleup, and Certification
and Implementation of EFAST2. The Base Period begins with initial development and testing of
a system prototype, and ends with certification and implementation of a full-scale processing
system authorized to begin operations. The three components of Base Period are described
below.

The Base Period (1st Component) commences upon award and continues to testing of a prototype
EFAST2 system. This component is estimated to continue through December 31, 2007. During
this period the Contractor shall design, build, and test a prototype system capable of processing
limited volumes, per the requirements in this contract. The Government will conduct a functional
capability test (FCT) of the prototype, as described in Section E.8. The Government will evaluate
the results of the prototype testing (FCT 1), along with Contractor deliverables and related
materials, in determining whether to grant the Contractor Notice-To-Proceed (NTP) to
commence with the Base Period (2nd Component), and determining whether to grant the first
award fee (AF1), as described in Attachment Q.

The Base Period (2nd Component) continues with scaleup of the prototype to full production
processing capability and is estimated to continue through July 31, 2008. The Government will
conduct a functional capability test of the scaleup, as described in Section E.8. The Government
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 1 Section B, Page 4 of 16

will evaluate the results of the scaleup end-to-end test (FCT 2), along with other Contractor
products, including deliverables, engineering process artifacts, and related materials, in
determining whether to exercise Option Period I and determining whether to grant the second
award fee (AF2), as described in Attachment Q.

The Base Period (3rd Component) continues with the correction of system problems identified
during the prototype and scaleup component phases and is estimated to continue through
December 31, 2008. This component is intended to correct all identified defects or deficiencies,
including retesting and system regression testing, in order to fully prepare the system for the
System Acceptance Test (SAT) and Security Certification. The Government will witness the
conduct of SAT of the production system (see Section E.8) and perform a Security Compliance
Review. The Government will evaluate the results of SAT and the Security Compliance Review,
along with other Contractor products, including deliverables and related materials, in determining
whether to grant the third award fee (AF3), as described in Attachment Q.

The Government will determine whether to authorize system startup and commencement of
EFAST2 production operations based on the following criteria: (1) the observed operational
capability of the system in the SAT; (2) the Contractor’s express certification that the security
controls designed for the EFAST2 system have been thoroughly tested and that the controls
effectively mitigate the threats and vulnerabilities documented in the Contractor’s security
documentation; and (3) the Government’s own Security Compliance Review. Should the
Government determine that the system is ready for startup, the Government will grant the
Contractor official Notice-To-Proceed (NTP) to Option Period I (2nd Component), and the
Contractor will commence production operations.

B.2.1.3 Base Period – Consideration

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

B.2.1.4 Base Period – Fee

The Base Period contract shall provide for a fee structure consisting of 2 parts: (1) a base fee
established at inception of the contract and (2) an award fee that the Government may award in
whole or in part during performance.

B.2.1.4.1 Base Period – Base Fee

The base fee shall be $______________ or 70% of the total negotiated fee structure. This base
fee shall be reimbursed to the Contractor as part of its best-effort performance of the
Government’s minimum requirements under this contract.
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 1 Section B, Page 5 of 16

B.2.1.4.2 Base Period – Award Fee

The Contractor may be eligible for a partial award fee at the conclusion of each component
identified under the Base Period. The maximum amount of the Base Period Award Fee that can
be awarded in each component will be 33.4% of the total award fee for Component 1, 33.3% of
the total award fee for Component 2, and 33.3% of the total award fee for Component 3. The
criteria for determining the award fee under each component and the percentage of the respective
award fee that may be awarded for each criterion are established in Attachment Q of this
contract. The four criteria that will be used to calculate the award fee are as follows:

• Critical Error Reports—Critical error reports (ER) may be generated during each
identified component under the Base Period of the EFAST2 contract. Critical errors
are defined as observed defects or deficiencies that would be detectable by the public
end users of the system or that could pose a risk to data or system confidentiality,
integrity, or availability. Such critical ERs would be issued in response to FCTs 1 or 2
and/or SAT and would require resolution prior to the commencement of the following
component’s period of performance. All critical ERs shall be corrected and retested,
including system regression testing, to ensure compliance with the Government’s
requirements before proceeding to the following component. Up to 40% of the award
fee may be awarded for this criterion.

• Minor Error Reports—Minor ERs may be generated during each identified


component under the Base Period of the EFAST2 contract. Minor errors are defined
as observed defects or deficiencies that would not be detectable by the public end
users of the system and that would not pose a risk to data or system confidentiality,
integrity, or availability. Such minor ERs would be issued in response to FCTs 1 or 2
and/or SAT and would require resolution prior to granting of Notice-To-Proceed
(NTP) to Option Period I (2nd Component). All minor ERs shall be corrected and
retested, including system regression testing, to ensure compliance with the
Government’s requirements before the commencement of production operations. Up
to 20% of the award fee may be may be awarded in each component for this criterion.

• Schedule Performance—Schedule performance shall be demonstrated by the


Contractor within the approved EFAST2 Performance Measurement Baseline (PMB).
In earned value measurement terms, for each Base Period component period of
performance, the cumulative Budgeted Cost of Work Performed (BCWP) shall be
equal to or greater than the cumulative Budgeted Cost of Work Scheduled (BCWS).
Up to 20% of the award fee may be awarded in each component for this criterion.

• Cost Performance—Cost performance shall be demonstrated by the Contractor within


the approved EFAST2 PMB. In earned value measurement terms, for each Base
Period component period of performance, the cumulative Budgeted Cost of Work
Performed (BCWP) shall be equal to or greater than the cumulative Actual Cost of
Work Performed (ACWP). Up to 20% of the award fee may be awarded in each
component for this criterion.
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 1 Section B, Page 6 of 16

Within 90 days of the conclusion of each component of the Base Period, the Government will
assess the Contractor's performance against the award fee criteria for that component, as
specified in Attachment Q of this contract. The Government will calculate the award fee for the
component and compensate the Contractor based on the calculation.

The award fee shall be $______________ or 30% of the total negotiated fee structure. The award
fee may be awarded to the Contractor in whole or in part for fulfillment of Government
performance standards without qualification for the measurement period. The awarding of this
fee shall be determined by the Government's judgmental evaluation of the Contractor's
performance in terms of the criteria stated in the Contract and according to the guidelines set
forth in Attachment Q of this contract.

B.2.1.5 Base Period – Reimbursement of Costs

Reimbursement shall be made to the Contractor monthly based on actual costs incurred, and
contingent upon Government inspection and acceptance of Base Period deliverables listed in
Section F received in the month preceding submission of the Contractor’s invoice, and subject to
the Section G invoicing instructions in this contract and FAR 52.216-7 — Allowable Cost and
Payment. The Contractor also agrees to use its best efforts to perform all work specified in the
Schedule and obligations under this contract within the estimated cost set forth herein, subject to
FAR 52.232-20 – Limitation of Cost.

All Contractor costs associated with the Base Period, including project planning, requirements
definition, system design, build, and test, hardware and software acquisition, commercial off-the-
shelf (COTS) software licenses, documentation, plant acquisition, labor, training, and security
certification, shall be built into the total CPAF cost figure proposed by the Contractor under the
Base Period.

The Contractor shall build all usage fees, maintenance expenses, upgrade costs, and all other
ongoing costs associated with computers and other equipment acquired (i.e., purchased or leased)
during the Base Period into the Base Period CPAF cost structure provided by the Contractor and
incorporated into this contract.

The Government does not intend to take title to computers, custom software, COTS licenses, or
any other non–Government Furnished Information (GFI) equipment produced and/or obtained,
purchased, leased, or rented by the Contractor during performance of the Base Period of this
contract. At the end of the Base Period, however, the Government reserves the right to take title
to any and all computers, COTS licenses, or other non-GFI equipment obtained, purchased,
leased, or rented by the Contractor in execution of this contract. If the Government does elect to
take title to such items to transition EFAST2 to another contractor, the Government shall request
the Contractor to submit a responsive proposal for the unreimbursed portion of the equipment
and software items identified herein.
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 1 Section B, Page 7 of 16

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

Appropriation Code Amount

B.2.1.6 Base Period – Incremental Funding

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

B.2.2 Option Period I (1st Component) – Advance Pre-Processing Activities

B.2.2.1 Option Period I (1st Component) – Contract Type

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

B.2.2.2 Option Period I (1st Component) – Period of Performance

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

B.2.2.3 Option Period I (1st Component) – Consideration

The total cost to the Government for the performance of work under the Option Period I (1st
Component) of the contract shall not exceed $______________, which is composed of a cost of
$______________ and a fixed fee of $______________. The Contractor agrees to use its best
efforts to perform all work specified in the Schedule and obligations under this component of the
contract within the estimated cost set forth herein, subject to FAR 52.232-20 – Limitation of Cost
and FAR 52.216-08 – Fixed Fee.
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 1 Section B, Page 8 of 16

B.2.2.4 Option Period I (1st Component) – Reimbursement of Costs

Reimbursement shall be made to the Contractor monthly based on actual costs incurred, and
contingent upon Government inspection and acceptance of the deliverables listed in Section F for
Option Period I (1st Component). The deliverables shall be those received by the Government in
the month preceding submission of the Contractor’s invoice, subject to the invoicing instructions
in Section G of this contract and FAR 52.216-7 — Allowable Cost and Payment. The Contractor
also agrees to use its best efforts to perform all work specified in the Schedule and obligations
under this component of the contract within the estimated cost set forth herein, subject to FAR
52.232-20 – Limitation of Cost and FAR 52.216-08 – Fixed Fee.

All Contractor costs associated with the Option Period I (1st Component) of the contract shall be
built into the total CPFF cost figure proposed by the Contractor under Option Period I (1st
Component). This includes labor, training, other direct costs (ODC), and other necessary
advance, pre-processing activities necessary to prepare for system startup and initial operations
and maintenance of the EFAST2 production system during Option Period I (1st Component).

The Contractor shall build all usage fees, maintenance expenses, upgrade costs, and all other
recurring and/or ongoing costs associated with computers and other non-GFI equipment acquired
during the Base Period and the Option Period I (1st Component) that will be incurred during
Operations into the Firm Fixed Price (FFP) cost structure proposed by the Contractor and
incorporated into this contract for Option Period I (2ndComponent) through Option Period XI.

The Government does not intend to take title to computers, custom software, COTS licenses, or
any other non–GFI equipment produced and/or obtained, purchased, leased, or rented by the
Contractor during performance of Option Period I (1st Component) of this contract. At the end of
Option Period I (1st Component), however, the Government reserves the right to take title to any
and all computers, COTS licenses, or other non-GFI equipment obtained, purchased, leased, or
rented by the Contractor in execution of this contract. If the Government does elect to take title to
such items to transition EFAST2 to another contractor, the Government shall request the
Contractor to submit a responsive proposal for the unreimbursed portion of the equipment and
software items identified herein.

No funding has yet been provided for Option Period I (1st Component).

B.2.3 Option Period I (2nd Component) through Option Period XI – Operations

B.2.3.1 Option Period I (2nd Component through) Option Period XI – Contract Type

Option Period I (2nd Component) through Option Period XI of the contract consist of a Firm
Fixed Price (FFP) with Incentive contract structure as defined in subpart 16.204 and 16.403 of
the Federal Acquisition Regulations.
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 1 Section B, Page 9 of 16

B.2.3.2 Option Period I (2nd Component) through Option Period XI – Periods of


Performance

EFAST2 production operations will be purchased in eleven contract option periods, starting with
Option Period I (2nd Component) and ending with Option Period XI. Option Period I (2nd
Component) commences at system startup with the Contractor’s receipt of the Government’s
Notice-To-Proceed (NTP) to production operations. This is planned for December 31, 2008. The
following periods of performance are associated with the eleven option periods:

• Option Period I (2nd Component) is January 1, 2009, through June 30, 2009.

• Option Period II is July 1, 2009, through June 30, 2010.

• Option Period III is July 1, 2010, through June 30, 2011.

• Option Period IV is July 1, 2011, through June 30, 2012.

• Option Period V is July 1, 2012, through June 30, 2013.

• Option Period VI is July 1, 2013, through June 30, 2014.

• Option Period VII is July 1, 2014, through June 30, 2015.

• Option Period VIII is July 1, 2015, through June 30, 2016.

• Option Period IX is July 1, 2016, through June 30, 2017.

• Option Period X is July 1, 2017, through June 30, 2018.

• Option Period XI is July 1, 2018, through June 30, 2019.

B.2.3.3 Option Period I (2nd Component) through Option Period XI – Cost and Pricing
Schedule

The Government will compensate the Contractor for performance during Option Period I (2nd
Component) through Option Period XI of this contract in accordance with the Contract Line Item
Number (CLIN) structure and incentive formulas established in the Cost and Pricing Schedule of
this contract.

The CLIN structure described herein for Option Period I (2nd Component) through Option
Period XI segments the negotiated Total Fixed Price (TFP) compensation into three (3) CLINs
for each option period. The CLIN structure provides for adjusting the final contract price by
application of a formula based on the Contractor's demonstrated ability to meet the performance
standards specified in Section C.2 of this contract.
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 1 Section B, Page 10 of 16

CLIN 1 represents the payment that shall be billable monthly as reimbursement for all EFAST2
operations, including applicable Customer Support activities, provided that the Contractor meets
the performance requirements specified under Section C of the Contract Schedule. The monthly
CLIN 1 price shall be one sixth (1/6) of the Total Fixed Price (TFP) base amount for Option
Period I (2nd Component), and one twelfth (1/12) for each of Option Period II through Option
Period XI.

CLIN 2 represents a performance standard incentive payment that shall be billable monthly and
is based on the Contractor's demonstrated ability to meet some or all of the performance
standards specified in Section C.2 of the contract, as measured and calculated by the
Government. The Contractor shall be entitled to a partial incentive payment for meeting some of
the performance standards and a full incentive payment for meeting all of the performance
standards during the evaluation period. In order to qualify for payment under each subpart of
CLIN 2, the performance standard described in Section C.2 corresponding to that subpart must be
met without qualification for the measurement period. For purposes of calculating the CLIN 2
payment, each performance standard will be considered of equal weight by the Government
towards calculation of the total incentive payment. The sum of all CLIN 2 monthly incentive
payments within Option Period II through Option Period XI shall not exceed the Contractor’s
declared total incentive amount payment contained in Section B.2.3.3 of this contract. The
monthly price of CLIN 2 shall be a maximum of one sixth (1/6) of the Total Fixed Price (TFP)
incentive amount for Option Period I (2nd Component), and one twelfth (1/12) for each of Option
Period II through Option Period XI. The monthly CLIN 2 price shall be based on a formula used
by the Government to measure Contractor compliance with the performance standards specified
in Section C.2, per the methodology contained in Attachment I. The incentive amount payment
formula used by the Government is contained in Attachment R.

CLIN 3 represents the payment that shall be billable monthly as reimbursement for all EFAST2
hardware depreciation and software amortization. The monthly CLIN 3 price shall be one sixth
(1/6) of the Total Fixed Price (TFP) depreciation/amortization amount for Option Period I (2nd
Component), and one twelfth (1/12) for each of Option Period II through Option Period XI. The
methodology to be used to determine the depreciation/amortization amount for each option
period is contained in Attachment T.

The Government will compensate the Contractor according to the negotiated Total Fixed Price
(TFP) compensation for each annual contract period, consisting of a base amount to be billed
under CLIN 1, an incentive amount to be billed under CLIN 2, and a depreciation/amortization
amount to be billed under CLIN 3.

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

The negotiated Total Fixed Price (TFP) to the Government for the performance of work under
Option Period II of this contract shall not exceed $______________, and shall consist of
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 1 Section B, Page 11 of 16

$______________ base amount to be reimbursed under CLIN 1, a maximum $______________


incentive amount to be reimbursed under CLIN 2, and $______________
depreciation/amortization amount to be reimbursed under CLIN 3..

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

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

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

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

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

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

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

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

B.2.3.4 Option Period I (2nd Component) through Option Period XI – Compensation

The Contractor shall establish a Total Fixed Price (TFP), consisting of a base amount, an
incentive amount, and a depreciation/amortization amount for each of Option Period I (2nd
Component) through Option Period XI. Payment shall be monthly or on a quasi-monthly “4-4-5”
schedule, depending upon the Contractor's approved accounting structure. In a 4-4-5 schedule,
the first month of a quarter consists of the first 4 weeks, the second month of the quarter consists
of the next 4 weeks, and the third month of the quarter consists of the remaining 5 weeks.

The Government will compensate the Contractor during Option Period I (2nd Component)
through Option Period XI according to the prices listed in the Cost and Pricing Schedule Section
B.2.3.3. The Government will compensate the Contractor through CLIN 1 for the Firm Fixed
Price (FFP) base amount compensation, through CLIN 2 for the Fixed Price Incentive amount
compensation, and through CLIN 3 for the FFP depreciation/amortization amount. The
Contractor, however, shall be entitled to payment only after an appropriately documented and
approved invoice is submitted, as stated in Section G.2, Submission of Invoices.

The Government will not provide the Contractor with any compensation during Option Period I
(2nd Component) through Option Period XI other than as specified in the Cost and Pricing
Schedule.

The Contractor shall recover the cost of major hardware items and commercial off-the-shelf
(COTS) software licenses required for the EFAST2 system on a depreciation and amortization
schedule during Option Period 1 (2nd Component) through Option Period XI. The schedule shall
be calculated as described in Attachment T. The cost of such hardware, COTS software, and
other non-GFI equipment used by the Contractor under this effort shall be included in the Firm
Fixed Price (FFP) CLIN 3 prices of Option Period I (2nd Component) through Option Period XI
of the contract.

At the end of each of Option Period I (2nd Component) through Option Period XI, the
Government reserves the right to take title to any and all computers, custom software, COTS
licenses, or other non-GFI equipment produced and/or obtained, purchased, leased, or rented by
the Contractor in execution of this contract. If the Government elects to take title to such items to
transition EFAST2 to another contractor, the Government will request the Contractor to submit a
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Amendment 02 - Attachment 1 Section B, Page 13 of 16

responsive proposal for the unreimbursed portion of the equipment and software items identified
herein.

No funding has yet been provided for Option Period I (2nd Component) through Option Period
XI.

B.3 ALLOWABLE COST AND PAYMENT – BASE PERIOD & OPTION PERIOD I
(1ST COMPONENT)

The Government will reimburse the Contractor during the Base Period and Option Period I (1st
Component) for the costs determined by the Contracting Officer to be allowable in accordance
with FAR 52.216-7 – Allowable Cost and Payment and the following provisions:

1. Purchase Orders and Subcontracts

The following shall require prior written approval of the Contracting Officer:

(a) Purchase or rental of items of non-expendable property having a unit value


exceeding $750.00. For the purpose of this contract, non-expendable property means
property or equipment having a normal life expectancy of one year or more.

(b) All proposed purchase orders or subcontracts that require prior approval in
accordance with FAR 52.244-2 — Subcontracts.

2. Consultants

Any fee or other payment to consultants in excess of $350 per day requires the prior
written authorization of the Contracting Officer.

3. Salaries and Wages

(a) Salaries and wages of employees directly employed in performing work required by
this contract.

(b) Actual wages and fringe benefits.

4. Out-of-Town and/or Overnight Travel

Travel and subsistence exclusively in direct performance of this contract shall be


reimbursed as follows:

(a) The Contractor shall be reimbursed for the cost transportation, lodging, meals, and
incidental expenses of personnel who are authorized to undertake out-of-town and/or
overnight travel under this contract. Such costs shall be reimbursed in accordance
with the established policy of the Contractor and to the extent that they are
reasonable and allowable as provided in FAR 31.205-46.
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(b) Costs incurred for lodging, meals, and incidental expenses shall be reimbursed only
to the extent that they do not exceed, on a daily basis, the maximum per diem rates
in effect at the time of the travel as set forth in the Federal Travel Regulations, Joint
Travel Regulations, or Standardized Regulations.

(c) Air fare costs in excess of the lowest customary coach or equivalent airfare offered
during normal business hours will not be reimbursed unless such accommodations
are not available and the Contractor certifies to this fact in the voucher or in other
documents for reimbursement.

(d) The Contractor shall be reimbursed for the cost of out-of-town travel and/or
overnight travel performed by personnel in their privately owned automobiles at the
rate set forth in the Federal Travel Regulations at the time of the travel, not to
exceed the cost by the most direct economy air route between the points so traveled.
If more than one person travels in such automobiles, no additional charge shall be
made by the Contractor for such travel.

(e) No travel cost for Contractor personnel traveling from place of residence to and
from the normally assigned worksite shall be directly reimbursed by the
Government.

5. Overtime

Overtime, shift, or other incentive premiums require prior written authorization by the
Contracting Officer’s Technical Representative (COTR).

6. Indirect Costs

Indirect costs shall be determined in accordance with FAR 52.216-7 — Allowable Cost
and Payment. Additionally, final annual indirect cost rates and the appropriate allocation
bases shall be established in accordance with FAR 42.700 for the period covered by the
indirect cost rate proposal. The Contractor shall submit an adequate final indirect cost
proposal to the Contracting Officer (or cognizant Federal agency official) and auditor
within the 6-month period following the expiration of each of its fiscal years. The
Contractor shall support its proposal with adequate supporting data.

The proposed rates shall be based on the Contractor’s actual cost experience for that
period. The appropriate Government representative and the Contractor shall establish the
final indirect cost rates as promptly as practical after receipt of the Contractor’s proposal.

The Contractor and the appropriate Government representative shall execute a written
negotiated agreement setting forth the final indirect cost rates. The agreement shall
specify (i) the agreed-upon final annual indirect cost rates, (ii) the allocation bases to
which the rates apply, (iii) the periods for which the rates apply, (iv) any specific indirect
cost items treated as direct costs in the settlement, and (v) the affected contract and/or
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Amendment 02 - Attachment 1 Section B, Page 15 of 16

subcontract, identifying any with advance agreements or special terms and the applicable
rates. The agreement shall not change any monetary ceiling, contract obligation, or
specific cost allowance or disallowance provided for in this contract. The negotiated
indirect cost agreement is incorporated into the contract upon execution.

B.4 ESTIMATED FILING VOLUMES – OPTION PERIOD I (2ND COMPONENT)


THROUGH OPTION PERIOD XI

Although the Government does not guarantee any minimum number of filings, the Government
will provide all filings received at the designated electronic delivery locations during the dates
covered by the executed option periods of this contract.

The Government makes no assertion and provides no guarantee regarding estimated filing
volumes for Option Period I (2nd Component) through Option Period XI. Historical filing
volumes are contained in Attachment A – Return Processing Volumes, and are provided for the
limited purpose of assisting Offerors in budgeting and developing their proposals. Although the
Government does not expect future filing volumes to deviate appreciably from historical filing
volumes, Offerors are forewarned that historical filing volumes may not necessarily be
representative of future projected filing volumes. Offerors are encouraged to clearly state the
filing volume assumptions underlying the Offeror’s calculations, including minimum and
maximum assumptions, and any attendant warranty, guarantee, and cost implications associated
with the Offeror’s filing volume assumptions.

B.5 CONTRACT AMOUNT INCREASE/DECREASE

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

The Government will also have the right to unilaterally decrease funds for this contract in the
same manner as above.
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Attachment 2
Section L
Instructions, Conditions, and
Notices to Offerors
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PART IV – REPRESENTATIONS AND INSTRUCTIONS


SECTION L - INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFERORS

L.1 52.252-1 NOTICE LISTING SOLICITATION PROVISIONS INCORPORATED


BY REFERENCE (FEBRUARY 1998)

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

NUMBER TITLE DATE


52.215-1 INSTRUCTIONS TO OFFERORS—COMPETITIVE JAN 2004
ACQUISITION (JAN 2004)
52.222-24 PREAWARD ON-SITE EQUAL OPPORTUNITY FEB 1999
COMPLIANCE REVIEW
52.222-46 EVALUATION OF COMPENSATION FOR FEB 1993
QUOTATIONS FOR PROFESSIONAL EMPLOYEES

L.2 SINGLE OR MULTIPLE AWARDS

The Government anticipates awarding one contract effective April 1, 2007.

L.3 52.215-16 FACILITIES CAPITAL COST OF MONEY

a) Facilities capital cost of money will be an allowable cost under the contemplated contract, if
the criteria for allowability in FAR 31.205-10(b) are met. One of the allowability criteria
requires the prospective Contractor to propose facilities capital cost of money in its offer.

b) If the prospective Contractor does not propose this cost, the resulting contract will include
the clause Waiver of Facilities Capital Cost of Money.

L.4 TYPE OF CONTRACT

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

L.5 52.233-2 SERVICE OF PROTEST

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

U.S. Department of Labor


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Office of the Assistant Secretary for Administration and Management


Procurement Services Center
200 Constitution Avenue, NW
Room N-5416
Washington, DC 20210

b) The copy of any protest shall be received in the office designated above within one day of
filing a protest with the GAO.

L.6 RELEASE OF RESTRICTED DATA

a) Offerors are hereby put on notice that regardless of their use of the legend set forth in FAR
52.215-1(e), “Restriction on Disclosure and Use of Data”, the Government may be required
to release certain data contained in the proposal in response to a request for the data under the
Freedom of Information Act. The Government’s determination to withhold or disclose a
record will be based upon the particular circumstances involving the data in question and
whether the data may be exempted from disclosure under the Freedom of Information Act. In
accordance with Executive Order 12600 and to the extent permitted by law, the Government
will notify the Offeror before it releases restricted data.

b) By submitting a proposal or quotation in response to this solicitation:

1. The Offeror acknowledges that the Government may not be able to withhold nor deny
access to data requested pursuant to the Act and that the Government’s FOI officials
shall make that determination;

2. The Offeror agrees that the Government is not liable for disclosure if the Government
has determined that disclosure is required by the Act;

3. The Offeror acknowledges that proposals not resulting in a contract remain subject to
the Act; and

4. The Offeror agrees that the Government is not liable for disclosure or use of
unmarked data and may use or disclose the data for any purpose, including the release
of the information pursuant to requests under the Act.

c) Offerors are cautioned that the Government reserves the right to reject any proposal
submitted with (1) a restrictive legend or statement differing in substance from the one
required by the solicitation provision in FAR 52.215-1(e), “Restriction on Disclosure and
Use of Data”, or (2) a statement taking exceptions to the terms of (A) or (B) of the provision.

L.7 GENERAL INSTRUCTIONS FOR THE PREPARATION OF PROPOSALS

The Offeror is instructed to provide the materials and support described in Sections L.8
(technical proposal instructions) and L.9 (business proposal instructions) to assist the
Government in the conduct of its source selection process.
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The proposal shall be submitted by the Offeror in two volumes in accordance with the following
requirements:

1. Volume I - Technical Proposal: 8 paper copies (original and 7 copies) and 1


machine-readable copy in PDF format delivered on CD-ROM. Paper copies of the
Offeror’s small business subcontracting plan shall be separately bound as an
attachment to the Offeror’s technical proposal. The machine-readable copy in PDF
format of the Offeror’s small business subcontracting plan shall be included on the
CD-ROM in an easily identifiable and separate folder. Refer to Section L.8 for
technical proposal instructions. NO COST AND PRICING DATA SHALL BE
PLACED IN VOLUME I.

2. Volume II - Business Proposal: 8 paper copies (original and 7 copies) and 1


machine-readable copy in PDF format delivered on CD-ROM. Refer to Section L.9
for business proposal instructions.

NOTE: Volumes I and II shall be sealed in separate envelopes and included in one master
package. The RFP number and related Volume numbers outlined above, if applicable, shall be
shown in the upper left hand corner of each of the envelopes as well as the master package.
Subcontractor sealed packages shall be clearly marked and submitted in accordance with the
instructions set forth in this section for the technical and business proposal.

The Government reserves the right to change any terms and conditions of this RFP by
amendment at any time prior to contract award and to allow Offerors to revise their offers
accordingly, as authorized by FAR Part 15.

L.8 TECHNICAL PROPOSAL INSTRUCTIONS

The Offeror’s “Volume I - Technical Proposal” shall include the information described in this
section. NO COST AND PRICING DATA SHALL BE PLACED IN VOLUME I.

L.8.1 EXECUTIVE SUMMARY, OVERVIEW, AND UNDERSTANDING OF THE


PROBLEM

This section provides an executive summary, overview, and discussion of the Offeror’s
understanding of the problem. At a minimum, this proposal section shall include the following:

a) The Offeror’s demonstrated understanding of the major project goals and objectives of
EFAST2. (C.1 - C.1.1)

b) The Offeror’s demonstrated understanding of the needs of the end users. (C.1.1.1)

c) The Offeror’s demonstrated understanding of the key technical issues that will have the
largest impact on the success of the project. (C.1.1.2)

d) The Offeror’s demonstrated understanding of the project activities by contract period.


(C.1.1.3)
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e) A Requirements Traceability Matrix (RTM) that references the section/page in the Offeror’s
Technical Proposal on which the requirement(s) of the solicitation are addressed per
Attachment B. (All)

L.8.2 TECHNICAL APPROACH

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

L.8.2.1 PROJECT APPROACH

This section shall demonstrate the Offeror’s approach to meeting the following general project
requirements:

a) Project goals and objectives (C.1.1.1)

b) System requirements (C.1.1.2)

c) Project activities by contract period (C.1.1.3)

L.8.2.2 BASE PERIOD APPROACH

This section addresses the Offeror’s approach to designing, building, testing, and certifying the
prototype system, and scaling-up the prototype system to full production capacity during the
Base Period to meet the requirements in the SOW.

BASE PERIOD (1ST COMPONENT)


DESCRIBE THE OFFEROR’S APPROACH TO THE FOLLOWING ACTIVITIES:
a) Conducting full requirements analysis to ensure that all functional requirements are
completely defined. (C.1.2.1.2)

b) Developing an Integrated Master Plan with details on the Contractor’s development


approach. (C.1.2.1.1)

c) Developing a Detailed System Design (DSD) that satisfies all functional requirements
and performance standards at both prototype and production processing volumes,
including peak periods. (C.1.2.1.3)

d) Building a prototype system capable of processing both Contractor and Government


proposed tests. (C.1.2.1.4 - C.1.2.1.5)

e) Certifying the operational and security readiness of the prototype system. (C.1.2.1.6)

Base Period (2nd Component)

Describe the Offeror’s approach to the following activities:


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a) Scaling-up the prototype to a fully functional production system. (C.1.2.2.1)

b) Testing the scale up production processing system. (C.1.2.2.2)

Base Period (3rd Component)

Describe the Offeror’s approach to the following activities:

a) Addressing defects in the production processing system uncovered during conduct of


FCTs and preparing for the System Acceptance Test (SAT). (C.1.2.3.1 - C.1.2.3.2)

b) Certifying the operational and security readiness of the scale-up system. (C.1.2.3.3)

c) Disposition of the scale-up system. (C.1.2.3.4)

L.8.2.3 OPTION PERIOD I APPROACH – ADVANCE PRE-PROCESSING


ACTIVITIES, STARTUP, AND PRODUCTION OPERATIONS

This section identifies the Offeror’s approach to advanced, pre-processing activities that shall
occur prior to startup operations including the following:

Option Period I (1st Component) – Advance Pre-processing Activities

a) Recruiting and training sufficient staff to operate EFAST2 and ensuring that all Minimum
Background Investigation (MBI) paperwork is properly prepared and submitted to the
Government to secure clearances for production processing staff. (C.1.3.1.1)

b) Performing advance call center support activities necessary to prepare for production
operations. (C.1.3.1.2)

c) Performing all advance data distribution and public disclosure pre-processing activities.
(C.1.3.1.3)

d) Planning and hosting market/stakeholder outreach conferences and producing related


materials to prepare stakeholders for EFAST2 processing. (C.1.3.1.4)

e) Incorporating potential value-added features, upon request, per Attachment O. (C.1.3.1.5)

Option Period I (2nd Component) – Startup, Processing Year 2009

a) Performing system startup and processing Plan Year 2008 and 2009 forms. (C.1.3.2)

b) Conducting system shakeout monitoring during the first six months of operations, and
identifying and recording all defects that manifest themselves during operations.
(C.1.3.2.1, C.1.3.2.2)
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Amendment 02 - Attachment 2 Section L, Page 8 of 30

L.8.2.4 PRODUCTION OPERATIONS, MAINTENANCE, AND ROLLOVER


APPROACH

This section shall describe the Offeror’s approach to ongoing production operations,
maintenance, and annual rollover throughout operations, including the following:

a) Operating and maintaining all system functions required by the contract during
operations. (C.1.4, C.1.4.1, C.1.4.1.2, C.1.4.2.2, C.1.4.3, C.1.4.3.2, C.1.4.4, C.1.4.4.2,
C.1.4.5, C.1.4.5.2, C.1.4.6, C.1.4.6.2, C.1.4.7, C.1.4.7.2, C.1.4.8, C.1.4.8.2, C.1.4.9,
C.1.4.9.2, C.1.4.10, C.1.4.10.2, C.1.5 – C.1.15)

b) Preparing for and conducting system rollover for subsequent processing year operations.
(C.1.4.1.1, C.1.4.2.1, C.1.4.3.1, C.1.4.4.1, C.1.4.5.1, C.1.4.6.1, C.1.4.7.1, C.1.4.8.1,
C.1.4.9.1, C.1.4.10.1)

c) Incorporating annual forms changes and GFI materials into the system rollover process.
(C.17, C.23)

L.8.2.5 SYSTEM COMPONENTS

L.8.2.5.1 SYSTEM ARCHITECTURE

a) Describe the Offeror’s approach to service availability, including strategies for planned
maintenance and disaster recovery. (C.13, C.13.1)

b) Describe the Offeror’s approach to load balancing, including the use of a mirrored remote
site, and performance monitoring of system usage and capacity. (C.13.2)

c) Describe the Offeror’s approach to performance monitoring. (C.13.3)

d) Describe the Offeror’s approach to hardware hosting and open hardware architecture in
compliance with the requirements of Section C.13. (C.13.4 - C.13.5)

e) Discuss the Offeror’s approach to designing EFAST2 to fully support IPv4 and IPv6
internet protocols. (C.13.6)

f) Describe the Offeror’s approach to developing security infrastructure and producing of


system infrastructure deliverables. (C.13.7 - C.13.8)

L.8.2.5.2 SYSTEM INPUTS, PRODUCTION CONTROL / TRACKING /


WORKFLOW, PERFORMANCE STANDARDS, AND INVOICING

Describe the Offeror’s approach to the following:

a) Receiving and processing Form 5500 returns/reports in electronic form, including both
“processable” and “unprocessable” filing submissions. (C.4)
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b) Developing and maintaining a tracking database to measure system performance, and


managing tracking database records. (C.6.1 - C.6.3)

c) Implementing a tracking database to support supplementary tracking, production control


reports and large monthly plan reports. (C.6.4 - C.6.6)

d) Reporting the Contractor’s performance against each of the standards listed in Exhibit
C.2.1 for both peak and non-peak processing periods. (C.2.1 - C.2.2)

e) Generating invoices that will accurately account for factors affecting costs. (G.2)

L.8.2.5.3 ELECTRONIC FILING, WEB PORTAL, IREG, AND IFILE

a) Describe the Offeror’s approach to establishing and maintaining an electronic filing


system that effectively integrates all the functional electronic/Internet filing component(s)
and general requirements described in Section C.10. (C.10 - C.10.1)

b) Describe the Offeror’s approach to developing and maintaining a public-facing web


portal that is accessible to different user audiences. (C.10.2 - C.10.2.2)

c) Demonstrate the Offeror’s approach to designing a user-friendly and organized webpage


structure for the EFAST2 web portal. (C.10.2.3)

d) Describe the Offeror’s approach to designing a web portal that provides for authenticated
individual user login, and access to filing status and other filer specific resources.
(C.10.2.4 - C.10.2.5)

e) Describe the Offeror’s approach to creating an iterative process for developing and
maintaining the web portal. (C.10.2.6, C.10.2.7)

f) Describe the Offeror’s approach to designing a web portal that provides accessibility via
a wide range of computer configurations, and is easily navigated per the requirements of
C.10.2.9. (C.10.2.8 - C.10.2.11)

g) Discuss the Offeror’s approach to developing an Internet Registration capability to allow


all EFAST2 participants to apply for and receive authenticable credentials to access
certain portal functions and electronic signing. (C.10.3 - C.10.3.1)

h) Describe the Offeror’s approach to accommodating shared signing. (C.10.3.2)

i) Describe the IREG application and instruction materials that the Offeror would develop.
(C.10.3.3)

j) Describe the process by which IREG will issue access credentials and passwords to all
different classes of EFAST2 users/ IREG applicants. (C.10.3.4 - C.10.3.5)

k) Describe the Offeror’s approach to managing electronic filing credentials to accurately


authenticate various EFAST2 web service requests. (C.10.3.6)
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l) Describe the Offeror’s approach to promoting electronic filing through kick-off


postcards. (C.10.3.7)

m) Discuss the Offeror’s approach to developing and hosting an Internet filing (IFILE) web
application to create, edit and submit complete electronic filing submissions to IFAS.
(C.10.5.1)

n) Describe the Offeror’s approach to providing IFILE access control, allowing authorized
users to author filings. (C.10.5.2 - C.10.5.3)

o) Describe the Offeror’s approach to importing and exporting functionality, uploading


attachments and assembling, sharing, submitting and viewing filings. (C.10.5.4 -
C.10.5.9)

p) Describe the Offeror’s approach to administering and maintaining the IFILE application
and supporting special users’ needs. (C.10.5.10 - C.10.5.16)

L.8.2.5.4 IFAS, ENTITY, AND SPECIAL PROCESSING

a) Discuss the Offeror’s approach to developing an Internet filing acceptance server (IFAS)
that will accept both single filing submissions and batch filing submissions either via the
IFILE application or approved third party software. (C.10.4.1 - C.10.4.2)

b) Describe the Offeror’s approach for authenticating and processing web service requests
in accordance with the specifications for filing data elements discussed in Section
C.10.4.3. (C.10.4.3)

c) Discuss the standards to be employed in the Base Period design of the IFAS web service
interface, and provide a WSDL specification for IFAS and discuss its major elements and
design choices. (C.10.4.4)

d) Describe the Offeror’s proposed web service request validation process, including
transmitter, request, and software authentication, as well as message processability and
virus checking. (C.10.4.5)

e) Describe the Offeror’s approach to filing acceptance processing of filings submitted to


IFAS, including how the Offeror will integrate filing element validation, edit testing,
signature authentication, and tracking activities into a functional whole. (C.10.4.6)

f) Describe the Offeror’s approach to delivering filing data to the end users. (C.10.4.7)

g) Describe the Offeror’s approach to managing, storing and disseminating IFAS filing
status information and acknowledgments. (C.10.4.8)

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

L.8.2.5.5 DATA MANAGEMENT, STORAGE, AND RECORDS MANAGEMENT


AND ARCHIVAL

a) Describe the Offeror’s approach to developing a data management process to store and
organize Form 5500 return/report information. (C.14 - C.14.1)

b) Describe Offeror’s approach to managing data throughout filing processing and


monitoring data quality. (C.14.2 - C.14.12)

c) Discuss Offeror’s approach to records management and archival, and retaining all
EFAST2 data for the life of the contract in NARA compliant facilities. (C.16)

L.8.2.5.6 PUBLIC DISCLOSURE AND DATA DISSEMINATION SERVICE

a) Describe the Offeror’s approach to designing a web-based data dissemination service per
Section C.15. (C.15)

b) Describe the Offeror’s approach for providing varying access control and data
dissemination resources to the three major groups of EFAST2 users—the general public,
Government users, and the Contractor's contact center staff. (C.15.1 - C.15.7)

c) Describe the Offeror’s approach to data dissemination of structured data to government


end users as specified in Attachment E. (Attachment E)

L.8.2.5.7 THIRD PARTY SOFTWARE DEVELOPER SUPPORT, THIRD PARTY


SOFTWARE CERTIFICATION CRITERIA, AND CONTACT CENTER

a) Describe the Offeror’s approach to providing software developer support to assist third
party software developers in authoring, preparing and submitting electronic filings to
EFAST2. (C.10.6.1 - C.10.6.2, Attachment G)

b) Describe the resources that will be provided as part of the Offeror’s software developer
support program including stakeholder conferences, filing user guides, and software
developer specifications (C.10.6.3 - C.10.6.5).

c) Describe the Offeror’s approach to converting Attachment P - Volume 2 XML Schema


into applied electronic filing accept/reject criteria. (C.10.6.6)

d) Describe the Offeror’s approach to third party software certification, including the
Offeror’s approach to conducting/facilitating certification tests (Attachment G), and the
full process by which software developers may receive certification of their third party
authoring/transmission software. (C.10.6.6 - C.10.6.6.5)
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e) Describe the Offeror’s approach to designing and operating the consolidated contact
center in accordance with the requirements of Section C.18. (C.18.1 - C.18.13)

f) Describe the Offeror’s approach to contact center monitoring, reporting and training
requirements. (C.18.14 - C.18.20.1)

L.8.2.5.8 QA, QC, TESTING, AND CM

a) Describe the Offeror’s approach to establishing and maintaining a quality assurance


program in accordance with Department of Labor SDLCM and SDLCM division of labor
requirements. (C.19.1 - C.19.10)

b) Indicate the Software Engineering Institute Capability Maturity Model Integration (SEI-
CMMI) level the Offeror would maintain for EFAST2. (C.19.11)

c) Describe the Offeror’s approach to QA reviews, inspections and audits. (C.19.12 -


C.19.17)

d) Describe the Offeror’s approach to QA planning, documentation and reporting. (C.19.18


- C.19.20)

e) Describe the Offeror’s approach to developing and maintaining a comprehensive quality


control (QC) system. (C.20.1)

f) Describe the Offeror’s approach to establishing a separate chain of command between


quality control staff and production processing staff to ensure independence. (C.20.1.1)

g) Describe the Offeror’s approach to measuring QC performance standards, correcting


defects, conducting inspections, and conducting QC briefings. (C.20.2 - C.20.10)

h) Describe the Offeror’s proposed QC monitoring procedures to ensure processing and


reporting requirements are met. (C.20.11 - C.20.15)

i) Describe the Offeror’s approach to comprehensive testing of system components in Base


Period and Option Periods I-XI. (C.21.1 - C.21.4)

j) Describe the Offeror’s approach to developing a Configuration Management (CM)


program to manage system problems, system changes, and requirements changes. (C.25.1
- C.25.5)

k) Describe the Offeror’s approach to supporting Government participation in the Offeror’s


CM program. (C.25.6)

l) Describe the Offeror’s approach to CM documentation, and reporting. (C.25.7 - C.25.10)

L.8.3 SECURITY
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a) Describe the Offeror’s approach to developing and maintaining a security program,


headed by the ISO, to ensure the confidentiality of EFAST2 data and protection of the
system. (C.22)

b) The Offeror shall describe its approach to:

1. Meeting Federal security requirements. (C.22.1)

2. Maintaining hardware, software and other system applications security. (C.22.2)

3. Maintaining personnel security. (C.22.3)

4. Reporting and documenting system security status. (C.22.4)

L.8.4 MANAGEMENT

This section details the Offeror’s management recruiting, transition and documentation approach
for EFAST2.

L.8.4.1 INTEGRATED MANAGEMENT SYSTEM, PLANNING


DELIVERABLES, AND REPORTING

a) Describe the Offeror’s approach to designing and implementing an integrated


management system (IMS) to track the cost and schedule performance of work performed
under EFAST2. (C.24.1)

b) Describe the Offeror’s plans for developing IMS related project planning deliverables,
including: an Integrated Master Plan, an Integrated Master Schedule, a Level 4
Contractor Work Breakdown Structure, a Performance Measurement Baseline, a Contract
Performance Report, Integrated Baseline Review, a Contract Funds Status Report, and a
Monthly Work and Management Report. (C.24.2 - C.24.9, C.24.12)

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

L.8.4.2 RISK MANAGEMENT AND PRODUCTION RECRUITING PLAN

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

L.8.4.3 TRANSITION PLAN AND COPYRIGHTS

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

L.8.4.4 DOCUMENTATION
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The Offeror shall describe the procedures it will employ to maintain full system documentation
throughout the duration of this contract, and to submit documentation to Government for the
purposes of updates, and inspection/acceptance as specified in Section E of the Contract
schedule. (C.24.16 - C.24.17)

L.8.5 PAST PERFORMANCE


L.8.5.1 PAST PERFORMANCE AND CORPORATE CAPABILITIES

This section details the Offeror’s past experience and success with projects and contracts similar
to EFAST2.

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

b) Describe the experience of the organizational unit that would service this contract as
evidenced by the number of contracts in the past five years, dollar volume and contract
type.

c) Describe demonstrated ability to provide backup personnel on an as-needed basis in the


event of key or other significant personnel loss.

d) Describe the years of industry experience for the staff that would service this contract.

e) Provide signed letters of availability and commitment from all personnel not currently
employed by the Offeror, and consulting and subcontracting agreements with all
consultants and subcontractors proposed to be used by the Offeror.

L.8.5.2 PROJECT DESCRIPTIONS

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

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

2. The general nature and scope of the work

3. The period during which the work was performed categorized by areas listed in
L.8.5.2.a.2

4. The total number of hours billed to the project

5. The identity of the key personnel assigned to the project and their positions
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6. The dollar value of the project

7. A description of the major products or services produced that were accepted by the
customer

8. The name and telephone number of two persons in the client's organization who are
knowledgeable about the Offeror's performance on the project

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

b) The Offeror shall provide a concise description of each project or contract and shall
demonstrate successful recent1 and relevant2 experience with the following specific areas:

1. Design, development, testing, and operation of large-scale, XML based electronic


document processing systems, web portal development, and electronic signature
administration.

2. Production control and tracking of filings or similar electronic documents.

3. Electronic/Internet filing back-end processing, or transmission of data, receipt


acknowledgement, and edit testing.

4. Data management and secure telecommunications/Internet connectivity to


Government sites.

5. Continuity of operations and system architecture techniques to prevent or minimize


service disruptions.

6. Web-based data dissemination.

7. Third Party Software Developer and contact center support.

8. Quality assurance and quality control.

L.8.5.3 CONTRACTOR PERFORMANCE EVALUATION SURVEY

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

1
"Recent experience" is defined as having occurred within five years of the issuance of the RFP.
2
"Relevant experience" is defined as having processed large volumes of filings comparable to those required
of this project, preferably for a Governmental client.
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To aid in the Government’s survey, the Offeror shall provide additional information for each of
the contracts or projects listed in its offer. This information will be used to determine Offeror’s
ability to accomplish the required tasks and also to assist the Contracting Officer in determining
price realism and reasonableness.

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

Project Title:
Project Description:
Contract Number:
Period of Performance:
Key Personnel Involved:
Government Points of Contract:
An Operational URL:

L.8.6 KEY PERSONNEL

The Offeror’s technical proposal shall include the following:

a) Names, proposed duties, and qualifications (including resumes) meeting or exceeding


each of the key personnel position requirements identified in Section C.3.6 for:
• Project Manager
• Computer Systems Analyst
• Chief Quality control specialist
• Information Security Officer
• Systems Administrator
• System Test Engineer
• Configuration Management Specialist

b) Names, proposed duties, and qualifications (including resumes) warranted by the


Offeror's detailed analysis of the requirements for up to 5 additional personnel. (C.3.7)

L.8.7 SMALL BUSINESS SUBCONTRACTING UTILIZATION PLAN

The Offeror shall submit a Small Business Subcontracting Utilization Plan that shall be
considered part of the technical proposal. The Small Business Subcontracting Utilization Plan
shall be submitted in accordance with Section I.2, FAR Clause 52.219-9. At least 10% of the
total contract award shall be subcontracted. 1) Of the subcontracting portion of the award, at
least 60% will be awarded to small businesses; 2) 11 % of the subcontracting portion of the
award to small disadvantaged business; 3) 7% of the subcontracting portion of the award to
women-owned small business; 4) 3% of the subcontracting portion of the award to HUBZone
small business; 5) 3% of the subcontracting portion of the award to veteran-owned small
business; 6) 3% of the subcontracting portion of the award to service-disabled veteran-owned
small business. Small business categories are not mutually exclusive; subcontract dollars
may be attributed to as many categories as are applicable.
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Note: The Contracting Officer shall advise the Offeror of any deficiencies in the plan and request
submission of a revised plan by a specific date. An acceptable sub-contracting plan is required
to be eligible for award.

Offers that are received from small businesses in accordance with NAICS 541511 and a size
standard of $23,000,000 are exempt from the subcontracting utilization plan requirements.

L.9 BUSINESS PROPOSAL INSTRUCTIONS

The Offeror’s “Volume II - Business Proposal” shall be structured according to the instructions
in format outlined below and in conformance with the CWBS structure and contract
requirements specified in the Contract Schedule. The Offeror’s business proposal shall be fully
supported by cost and pricing data adequate to establish the reasonableness of the proposed
amount and to otherwise meet the requirements for certified cost or pricing data under FAR
15.406-2. Unless otherwise noted, all elements contributing to cost, including categories and
amounts of labor, materials, indirect costs or overhead rates, travel, computer time, and other cost
and pricing data shall follow the cost breakout instructions contained in FAR 15.408 Table 15-2.
The following information shall be included in the Business Proposal.

L.9.1. ADMINISTRATIVE DATA AND GENERAL INSTRUCTIONS


Unless otherwise noted, Offerors shall provide business proposal information in the manner
prescribed by Table 15-2, I. General Instructions, of FAR 15.408. The following information is
required in addition to the FAR 15.408 Table 15-2 required items:

a) The names, titles, and signatures of representative(s) authorized to conduct negotiations


and to contractually bind the Offeror’s organization.

b) The name and address of Offeror’s (and subcontractor's if applicable) place of business
including the street address and the names and addresses of owner and operator of facility
if other than the Offeror;

c) The name, address and telephone number of the Offeror’s (and subcontractor's, if
applicable) cognizant Government audit agency, if the Offeror (and subcontractor, if
applicable) has a cognizant Government audit agency.

d) A copy of the Offeror’s (and subcontractor's if applicable) most recently negotiated


indirect cost rate agreement with the Government, if the Offeror (and subcontractor, if
applicable) has an indirect cost rate agreement with the Government.

e) A statement that the Offeror has the necessary financial capacity, working capital and
other resources to perform the contract without assistance from any outside source (if not,
indicate the amount required and the anticipated source).

f) The Offeror’s most recent balance sheet and income statement.

g) A copy of each fully executed contingent subcontract and/or consulting agreement, if the
Offeror proposes to use subcontractors and/or consultants. Also furnish copies of letters
of commitment from all individuals not currently employed by the Offeror.
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h) A copy of cost or pricing data from subcontractor(s) and/or consultant(s) submitted as a


sealed package.

i) As soon as practicable after final agreement on price or an earlier date agreed to by the
parties, but before the award resulting from the proposal, the Offeror shall, under the
conditions stated in FAR 15.406-2, submit a Certificate of Current Cost or Pricing Data.

j) If the Offeror has reached an agreement with Government representatives on use of


forward pricing rates/factors, the Offeror should identify the agreement, include a copy,
and describe its nature. The Offeror shall furnish a copy of the letter from the Offeror’s
cognizant auditing agency determining the provisional overhead rates for the period of
performance; a copy of the letter from the Offeror’s cognizant auditing agency
determining the actual overhead rates for the previous three years; and an explanation of
any variances between the approved provisional rates and rates used in the budgets for
the Base Period (CPAF) and Option Period I (1st Component) (CPFF).

k) The Offeror shall ensure that the cost and pricing data in the business proposal shall be
consistent with and support other sections of the proposal. All commitments in the
technical proposal that affect the Offeror’s cost proposal shall be discussed and quantified
in the cost and pricing data. Any assumptions made by the Offeror regarding future
improvements in the processing speed for any hardware/software, etc., must be
substantiated.

l) By submitting its proposal, the Offeror grants the Contracting Officer or an authorized
representative the right to examine records that formed the basis for the pricing proposal.
That examination can take place at any time before award. It may include those books,
records, documents, and other types of factual information (regardless of form or whether
the information is specifically referenced or included in the proposal as the basis for
pricing) that will permit an adequate evaluation of the proposed price.

m) Offerors, at a minimum, shall submit a business proposal fully supported by cost and
pricing data (in accordance with FAR 15.406-2) which is adequate to establish the
reasonableness of the proposed cost and price for Base Period and Option Period I (1st
Component). Categories and amounts for labor, materials, travel, computer time, other
direct costs, indirect costs, subcontract/consultant costs, fringe, burden, overhead, general
and administrative costs, and fee are required.

n) The Offeror shall supply a business proposal index, appropriately referenced, of all the
cost or pricing data and information accompanying or identified in the proposal. In
addition, the Offeror shall annotate any future additions, amendments, and/or revisions,
up to the date of agreement on price, or an earlier date agreed upon by the parties, on a
supplemental index.

L.9.2 OFFEROR’S REPRESENTATIONS AND CERTIFICATIONS

The Offeror shall complete and submit SECTION K, Representations, Certifications and Other
Statements of Offerors, of this Request for Proposal.
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L.9.3 COST AND PRICING DATA -- CPAF PRICING DATA (BASE PERIOD) AND
CPFF PRICING DATA (OPTION PERIOD I (1ST COMPONENT))

For each CPAF contract period (Base Period) and CPFF contract period (Option Period I (1st
Component)), the Offeror shall submit cost and pricing data that builds up to the total
compensation figures required by Section B. The Offeror’s detailed cost and pricing data
breakout shall be structured according to the Government's approved CWBS structure
contained in Exhibit C.24.1 at level 3 or greater. The Offeror shall identify and justify any
deviations from the Government's CWBS structure intended to clarify the cost and pricing
data breakout. The Offeror’s cost and pricing data breakout shall have the following
characteristics:

a) Section B Compensation Base Period (CPAF) -- The Offeror shall complete and submit
the total compensation figures required by Section B.2.1.3, which are: 1) total cost, 2)
cost, 3) base fee and 4) maximum award fee; and Section B.2.1.4, which are: 1) base fee,
and 2) award fee. To be considered for award, the Offeror shall provide a sufficiently
detailed cost and pricing data breakout to support the entered figures.

b) Section B Compensation Option Period I (1st Component) (CPFF) -- The Offeror shall
complete and submit the total compensation figures required by Section B.2.2.3, which
are: 1) total cost, 2) cost, and 3) fixed fee. To be considered for award, the Offeror shall
provide a sufficiently detailed cost and pricing data breakout to support the entered
figures

c) Cost and Pricing Summary -- The Offeror shall complete and submit summary cost and
pricing data that sums to the total compensation figures entered in Section B. The
summary cost and pricing data shall provide a summary breakout of all costs, loading
factors, and fee. All prices shall be rounded to the nearest cent and shall be fully
discounted billable prices reflecting all discounts owed to the Government.

d) CWBS Level 1 Cost and Pricing Summary Breakout -- The Offeror shall complete and
submit a summary table cost and pricing breakout at CWBS level 1 that maps to and
sums to the total compensation figures entered in Section B.

e) CWBS Level 3 Cost and Pricing Detailed Breakout -- The Offeror shall complete and
submit a detailed contract cost and pricing data breakout at CWBS level 3 (or higher) that
maps to and sums to the total compensation figures entered in Section B. The cost and
pricing data breakout shall follow the instructions contained in Section L.9.5. Include
subtotals that sum to CWBS level 1 and that sum to the total compensation figures
entered in Section B. The Offeror shall supply sufficiently descriptive cost and pricing
supporting documentation at CWBS level 3 (or higher), and traceable to all requirements
and deliverables required by the Contract. At a minimum, the cost and pricing data
breakout shall include labor, hardware, software, COTS, subcontractor/consultant costs,
other Offeror’s costs, applied loading factors, and fee (base fee and award fee).

f) Bill of Materials (BOM) Cost and Pricing Detailed Breakout -- The Offeror shall supply
a detailed bill of materials (BOM) that describes all equipment required for the project,
including description, purchase price, and number of units required during each contract
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period (Base Period and Option Period I (1st Component)). The Offeror shall supply
sufficiently descriptive identifying labels for individual items of equipment or property
that costs in excess of $1,000 that will be required to fulfill the requirements of the
contract. The BOM cost and pricing data detailed breakout shall follow the instructions
contained in Section L.9.6.

g) Labor Workloading Plan / Matrix -- The Offeror shall include a Labor Workloading
Plan / Matrix which is consistent with the proposed CWBS and Section B. This detailed
plan or matrix shall reflect all proposed direct labor hours with prime contractor and
subcontractor hours separately identified. Individual labor categories proposed shall be
titled using Section C.3 labor category titles or a cross reference table provided matching
proposed contractor labor categories to Section C.3 labor category titles. The labor
workloading plan / matrix should exactly map to the hours table included in the technical
proposal.

h) Total Compensation Plan -- The Offeror shall document the total compensation plan
setting forth the salaries and fringe benefits proposed for the professional and production
employees who are proposed to work under the contract.

i) Performance Measurement Baseline (PMB) -- The Offeror shall make every effort to
map its internal cost and pricing structure to the Government's approved CWBS structure,
and to establish a cost and pricing structure conducive to priming the Offeror’s proposed
integrated management system (IMS) Performance Measurement Baseline (PMB), and
supporting the Offeror’s proposed structured cost accounting procedures and practices,
and supporting the Department's Integrated Baseline Reviews (IBR).

L.9.4 COST AND PRICING DATA -- FFP PRICING DATA (OPTION PERIOD I (2ND
COMPONENT) -XI)

For each FFP contract period (Option Periods I (2nd Component) through XI), the Offeror shall
submit cost and pricing data that builds up to the total compensation figures required by Section
B. The Offeror’s detailed cost and pricing data shall be structured according to the
Government's approved CWBS structure in Exhibit C.24.1 at level 3 or greater. The Offeror
shall identify and justify any deviations from the Government's CWBS structure intended to
clarify the cost and pricing data breakout.

a) Section B Compensation -- The Offeror shall complete and submit the total
compensation figures required by Section B.2.3.3, which are: 1) total fixed price (TFP),
2) base amount to be reimbursed under CLIN 1, 3) a maximum incentive amount to be
reimbursed under CLIN 2, and 4) a maximum amount to be reimbursed under CLIN 3.
To be considered for award, the Offeror shall provide a sufficiently descriptive cost and
pricing data breakout to support the entered figures.

b) Cost and Pricing Summary -- The Offeror shall complete and submit summary cost and
pricing data that sums to the total compensation figures entered in Section B. The
summary cost and pricing data shall provide a summary breakout of all costs, loading
factors, fee, base amount to be reimbursed under CLIN 1, maximum incentive amount to
be reimbursed under CLIN 2, and maximum amount to be reimbursed under CLIN 3.
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The summary cost and pricing data shall sum to the total Section B compensation figures
for Option Periods I (2nd Component) through XI. All prices shall be rounded to the
nearest cent and shall be fully discounted billable prices reflecting all discounts owed to
the Government.

c) CWBS Level 1 Cost and Pricing Summary Breakout -- The Offeror shall submit a
summary table at CWBS level 1 that sums to the total compensation figures entered in
Section B.

d) CWBS Level 3 Cost and Pricing Detailed Breakout -- The Offeror shall complete and
submit a detailed contract cost and pricing data breakout at CWBS level 3 (or higher) that
maps to and sums to the total compensation figures entered in Section B. The cost and
pricing data breakout shall follow the instructions contained in Section L.9.5. Include
subtotals that sum to CWBS level 1 and that sum to the total compensation figures
entered in Section B. The Offeror shall supply sufficiently descriptive cost and pricing
supporting documentation at CWBS level 3 (or higher), and traceable to all requirements
and deliverables required by the Contract. At a minimum, the cost and pricing data
breakout shall include labor, hardware, software, COTS, subcontractor/consultant costs,
other Offeror’s costs, applied loading factors, and fee.

e) Bill of Materials (BOM) Cost and Pricing Detailed Breakout -- The Offeror shall supply
a detailed bill of materials (BOM) that describes all equipment required for the project,
including description, purchase price, and number of units required during each contract
period (Option I (2nd Component) through XI). The Offeror shall supply sufficiently
descriptive identifying labels for individual items of equipment or property that costs in
excess of $1,000 that will be required to fulfill the requirements of the contract. The
BOM cost and pricing data breakout shall follow the instructions contained in Section
L.9.6.

f) Labor Workloading Plan / Matrix -- The Offeror shall include a Labor Workloading
Plan / Matrix which is consistent with the proposed CWBS and Section B. This detailed
plan or matrix shall reflect all proposed direct labor hours with prime contractor and
subcontractor hours separately identified. Individual labor categories proposed shall be
titled using Section C.3 labor category titles or a cross reference table provided matching
proposed contractor labor categories to Section C.3 labor category titles. The labor
workloading plan / matrix should exactly map to the hours table included in the technical
proposal.

g) Total Compensation Plan -- The Offeror shall document the total compensation plan
setting forth the salaries and fringe benefits proposed for the professional and production
employees who are proposed to work under the contract.

L.9.5 COST AND PRICING DATA -- DETAILED BASES OF ESTIMATE (BOES)

The Offeror shall supply a specific, detailed contract cost and pricing data breakout at CWBS
level 3 or greater that sums to the total compensation figures entered in Section B. Unless
otherwise noted, all elements contributing to cost, including categories and amounts of labor,
materials, indirect costs or overheads, travel, computer time, etc., shall follow the cost breakout
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instructions contained in Table 15-2 of FAR 15.408. At a minimum, the cost and pricing data
breakout shall include labor, hardware, software, COTS subcontractor/consultant costs, other
Offeror’s costs, applied loading factors, and fee. For each CWBS Level 3 (or higher)
element, the Offeror shall provide specific cost and pricing data sufficiently detailed for
Government review. The precise format of the cost and pricing data shall be at the Offeror’s
discretion, but shall include the following information in addition to the information required
by FAR 15.408 Table 15-2:

a) The Offeror’s costs shall include all requirements and items to be delivered under the
Contract.

b) Using the CWBS Level 3 structure in Section C the Offeror shall delineate each and every
item that shall be provided under this solicitation. If an item is proposed at no additional
charge (e.g., the price is included in another item), “NSP” (not separately priced) shall be
denoted.

c) Offerors shall include the proper allocation of any purchasing or indirect expenses for
material or equipment purchases. All costs, including administrative, required for
performance of the contract shall be included in the Cost and Pricing Schedule Summary.

d) The Offeror shall develop unit costs based on estimated volumes and throughput and
shall develop costs in such a way that the Offeror is reimbursed for its costs regardless of
the volume of filings that it actually processes. The Offeror’s cost and pricing data shall
reflect peak and non-peak processing assumptions and any economies of scale available.

e) An Offeror’s proposed cost and pricing data shall include all necessary expertise and
supplies required to meet all of the requirements of this RFP. The Offeror shall be bound
by the fixed prices offered within their Business Proposal. Offeror’s are reminded that
the format and content of Form 5500 series reports may change over the course of the
contract and therefore rollover activities should be priced accordingly.

f) The Offeror shall furnish cost element breakdowns detailing the costs provided in the
Cost and Price Proposal. These breakdowns, or Bases of Estimate (BOE) documents,
shall provide the Government with detailed information to support and justify the costs
being proposed for each CWBS element breakout of the CLINs. The Contractor should
provide a detailed basis of estimate for each CWBS level 3 element provided in the Cost
and Pricing Schedule Summary. These Bases of Estimate documents should provide the
items listed below.

1. Materials--Provide a consolidated priced summary of individual material quantities


included in the various tasks, orders, or contract line items being proposed and the
basis for pricing (vendor quotes, invoice prices, etc.). Include raw materials, parts,
components, assemblies, and services to be produced or performed by others. For all
items proposed, identify the item and show the source, quantity, and price. Conduct
price analyses of all subcontractor proposals. Conduct cost analyses for all
subcontracts when cost or pricing data are submitted by the subcontractor. Include
these analyses as part of your own cost or pricing data submissions for subcontracts
expected to exceed the appropriate threshold in FAR 15.403-4. Submit the
subcontractor cost or pricing data as part of your own cost or pricing data as required
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Amendment 02 - Attachment 2 Section L, Page 23 of 30

in paragraph IIA(2) of FAR 15.408 Table 15-2. These requirements also apply to all
subcontractors if required to submit cost or pricing data.

(1) Adequate Price Competition. Provide data showing the degree of competition and
the basis for establishing the source and reasonableness of price for those acquisitions
(such as subcontracts, purchase orders, material order, etc.) exceeding, or expected to
exceed, the appropriate threshold set forth at FAR 15.403-4 priced on the basis of
adequate price competition. For interorganizational transfers priced at other than the
cost of comparable competitive commercial work of the division, subsidiary, or
affiliate of the contractor, explain the pricing method (see FAR 31.205-26(e)).

(2) All Other. Obtain cost or pricing data from prospective sources for those
acquisitions (such as subcontracts, purchase orders, material order, etc.) exceeding the
threshold set forth in FAR 15.403-4 and not otherwise exempt, in accordance with
FAR 15.403-1(b) (i.e., adequate price competition, commercial items, prices set by
law or regulation or waiver). Also provide data showing the basis for establishing
source and reasonableness of price. In addition, provide a summary of your cost
analysis and a copy of cost or pricing data submitted by the prospective source in
support of each subcontract, or purchase order that is the lower of either $10,000,000
or more, or both more than the pertinent cost or pricing data threshold and more than
10 percent of the prime contractor's proposed price. The Contracting Officer may
require you to submit cost or pricing data in support of proposals in lower amounts.
Subcontractor cost or pricing data must be accurate, complete and current as of the
date of final price agreement, or an earlier date agreed upon by the parties, given on
the prime contractor's Certificate of Current Cost or Pricing Data. The prime
contractor is responsible for updating a prospective subcontractor's data. For standard
commercial items fabricated by the Offeror that are generally stocked in inventory,
provide a separate cost breakdown, if priced based on cost. For interorganizational
transfers priced at cost, provide a separate breakdown of cost elements. Analyze the
cost or pricing data and submit the results of your analysis of the prospective source's
proposal. When submission of a prospective source's cost or pricing data is required
as described in this paragraph, it must be included along with your own cost or
pricing data submission, as part of your own cost or pricing data. You must also
submit any other cost or pricing data obtained from a subcontractor, either actually or
by specific identification, along with the results of any analysis performed on that
data.

2. Direct Labor--Provide a time-phased (e.g., monthly, quarterly, etc.) breakdown of labor


hours, rates, and cost by appropriate category, and furnish bases for estimates.

3. Indirect Costs--Indicate how the Offeror has computed and applied its indirect costs,
including cost breakdowns. Showing trend and budgetary data, to provide a basis for
evaluating the reasonableness of proposed rates. Indicate the rates used [by the Offeror]
and provide an appropriate explanation.

4. Other Costs--List all other costs not otherwise included in the categories described above
(e.g., special tooling, travel, computer and consultant services, preservation, packaging
and packing, spoilage and rework, and Federal excise tax on finished articles) and
provide bases for pricing.
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 2 Section L, Page 24 of 30

5. Royalties--If more than $250, provide the following information on a separate page for
each separate royalty or license fee: name and address of licensor; date of license
agreement; patent numbers, patent application serial numbers, or other basis on which the
royalty is payable; brief description (including any part or model numbers of each
contract item or component on which the royalty is payable); percentage or dollar rate of
royalty per unit; unit price of contract item; number of units; and total dollar amount of
royalties. In addition, if specifically requested by the contracting officer, provide a copy
of the current license agreement and identification of applicable claims of specific
patents. (See FAR 27.204 and 31.205-37).

6. Facilities Capital Cost of Money--When the Offeror elects to claim facilities capital cost
of money as an allowable cost, the Offeror must submit Form CASB-CMF and show the
calculation of the proposed amount (see FAR 31.205-10).

7. Subcontractor/consultant costs -- Where applicable, the Offeror shall itemize, describe,


and cost the functions to be carried out by subcontractor/consultants, and shall clearly
indicate the subcontractor/consultant that will carry out the function.

g) The Basis of Estimate for each CWBS element shall include cost and pricing data that are
verifiable and factual and otherwise as defined at FAR 2.101. This data shall be accompanied
by any/all information necessary to explain how the contractor arrived at its costs/estimates.
This information includes the following and should be highly visible within the proposal: the
judgmental factors applied and the mathematical or other methods used in the estimate,
including those used in projecting from known data; and the nature and amount of any
contingencies included in the proposed price.

h) The Bases of Estimate documents shall also include a brief Statement of Work / Task
reference that describes the task to be performed under the CWBS element. The
Contractor is expected to address each provision the Contract Schedule Statement of
Work provided in Section C of the Contract Schedule.

i) At a minimum, the Offeror shall submit a separate BOE for each CWBS Level 3 element for
all Contract Periods. The cost information shall be provided in table form, while the
justification of assumptions for each cost element should be provided in paragraph/bullet
point form.

j) The Offeror shall include reference information in each BOE. This reference information
should include the CWBS number, the CLIN, the Period of Performance, and any
applicable volumes associated with the CWBS element.

k) The Offeror should make available all applicable cost and pricing data to the Government
with information necessary to assist the Government’s review. As additional information
becomes available to the Offeror this information should be promptly submitted to the
Government in a way that clearly identifies the information being provided and how it
relates to the previously submitted cost and pricing proposal. The requirement to submit
cost or pricing data continues up to the time of agreement on price, or another date agreed
upon between the parties if applicable.
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Amendment 02 - Attachment 2 Section L, Page 25 of 30

l) The Offeror’s business proposal shall represent the Offeror’s best efforts and experience
with costing the functions described in the Contract. The requirement for submission of
cost or pricing data is met when all accurate cost or pricing data reasonably available to
the Offeror have been submitted, either actually or by specific identification, to the
Contracting Officer or an authorized representative. As later information comes into the
Offeror’s possession, it should be submitted promptly to the Contracting Officer in a
manner that clearly shows how the information relates to the Offeror’s business proposal.
The requirement for submission of cost or pricing data continues up to the time of
agreement on price, or an earlier date agreed upon between the parties if applicable.
Inconsistencies, whether real or apparent, between promised performance and cost or
price, should be explained in the proposal. For example, if the intended use of a new and
innovative production technique is the basis for an abnormally low estimate, the nature of
these techniques and their impact on cost or price should be explained, or if a corporate
policy decision has been made to absorb a portion of the estimated cost that should be
stated in the proposal. Any significant inconsistency, if unexplained, raises a
fundamental issue as to the Offeror’s understanding of the nature and scope of the work
required and of his financial ability to perform the contract. The burden of proof as to
cost credibility rests with the Offeror.

L.9.6 COST AND PRICING DATA -- BILL OF MATERIALS (BOM)

The Contractor shall provide consolidated information on the hardware/firmware, software


(COTS and custom), and material items that it proposes to use in the performance of the contract
requirements. This information should be in spreadsheet format and should include and account
for the items listed below.

1. Hardware/firmware-- The Offeror shall provide a high-level description of each


hardware item that will be used in the Offeror’s proposed system. This information
should include a description of the item, the date of purchase (if applicable), the purpose
of the item, the unit cost, depreciation schedule, and the total proposed cost and the cost
per Option Period. The Offeror shall also provide a brief narrative description for each
proposed hardware item, including the make, model, speed, cost, how it will be used in
the proposed system, and any other applicable details, such as applicable service level
agreements.

2. Software (COTS and Custom) -- The Offeror shall provide a high-level description of
each software item that will be used by the Offeror’s proposed system. This description
should include the purpose and/or or how it will be used, the period of the license, the
hardware item on which it resides, the type of license (i.e. limited or perpetual), the
number of licenses, the amortization period, the unit cost(s), the total proposed cost and
the cost per Option Period. The Offeror shall also provide a brief narrative description
for each software item being used, including a description of utilization and any other
applicable details, such as characteristics of the licensing agreements.

3. Materials-- The Offeror shall provide a detailed description of the materials and other
equipment item that will be used by the Offeror’s proposed system, including printers,
fax machines, copiers, cleaning supplies and network peripherals. This description
should include total proposed cost of each item, and the cost per Option Period.
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 2 Section L, Page 26 of 30

In addition to providing the above information on Hardware, Software, Materials, the Offeror
shall provide a Bill of Materials Cost Summary that separately totals the cost of Hardware,
Software and materials by Option Period.

The Offeror’s Bill of Materials shall be consistent with and support all other sections of the
Offeror’s Technical proposal. The Hardware and Software items proposed shall agree with the
Offeror’s proposed system architecture, and any other system engineering documents that are
submitted in the Offeror’s Technical Proposal.

L.9.7 PROPERTY AND EQUIPMENT

It is Government policy that Offerors shall provide all equipment and facilities necessary for
performance of this contract, however, in some instances, an exception may be granted to furnish
Government-owned property or to authorize purchase with contract funds. The Contractor shall
include the cost of the use of such plant, computers, and equipment into the prices proposed in
the Cost and Pricing Schedule Summary as described in Sections L.9.3 and L.9.4. The
Government will not furnish, nor fund the purchase of, any plant, computers, or equipment
required under this contract, except as described in Attachment T and Section B of the contract.
The Offeror shall present the method of computing the usage, maintenance, upgrade, and
replacement costs of plant, computers, and other equipment in the cost estimates for all periods of
performance.

Additionally, the Offeror shall identify all Government-owned property in its possession and all
property acquired using Federal funds, to which Offeror has title, that is proposed to be used in
the performance of the prospective contract.

L.9.8 RESPONSIBILITY OF PROSPECTIVE CONTRACTOR (FINANCIAL


CAPABILITY STATEMENTS)

The Offeror shall demonstrate (prior to contract award) their responsibility in meeting the
Government’s requirements.

The Offeror shall indicate whether they have the financial capacity, working capital and other
resources to perform the requirements of the contract without assistance from an outside source.
If not, the Offeror shall indicate the amount of resources required and the anticipate source of
those additional resources.

The Offeror shall also demonstrate its ability to meet the Government’s identified performance
standards and deliverables schedule, as specified by Section C.2 and Section F of the Contract
Schedule.

L.9.8.1 FAR 9.104-1 GENERAL STANDARDS

The following clauses from FAR 9.104-1, General Standards, will be used by the Government in
analyzing the responsibility and capability of the Offeror:

To be determined responsible, a prospective contractor must—


DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 2 Section L, Page 27 of 30

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

L.9.8.2 FAR 9.105-1 OBTAINING INFORMATION

The following clauses from FAR 9.105-1, Obtaining Information, will be used by the
Government in analyzing the responsibility and capability of the Offeror:

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

L.9.8.3 FINANCIAL STATEMENT

The Government will consider the adequacy of the Offeror’s current, audited financial statement for
the company as a whole, and for the organizational unit that would service this contract, if available,
in analyzing the responsibility and capability of the Offeror.
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 2 Section L, Page 28 of 30

L.9.8.4 HOLIDAYS, OVERTIME, AND HOURS OF OPERATION

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

L.9.8.5 LABOR RATE AND INDIRECT RATE VERIFICATION

The Offeror shall forward a separate copy of the Offeror’s "Business Proposal" to the Offeror’s
cognizant federal audit agency office by the same due date and time applicable under this RFP
for the main proposal. This copy of the Offeror’s "Business Proposal" shall be conveyed through
a separate transmittal letter, which includes the following guidance text for the audit office:

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

L.10 AMENDMENTS TO PROPOSALS

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

L.11 REFERENCE MATERIALS

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

L.12 REQUEST FOR CLARIFICATION

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

L.13 PREPROPOSAL CONFERENCE

The Government may consider convening a pre-proposal conference at a date and time to be
named. A transcript of the conference would be provided to all prospective Offerors, should such
a conference occur. Remarks and explanations at the conference shall not qualify the terms of the
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 2 Section L, Page 29 of 30

solicitation. Terms of the solicitation and specifications remain unchanged unless the solicitation
is amended in writing.

Offerors may submit additional requests for clarification resulting from the discussion at the
conference. Such questions shall be submitted in writing to:

U.S. Department of Labor


Office of the Assistant Secretary for Administration and Management
Procurement Services Center
200 Constitution Avenue, NW
Room N-5416
Washington, DC
Attn.: Eric Vogt

The Government will distribute its clarification question responses to all Offerors.

L.14 BEST AND FINAL OFFERS

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

L.15 CONTRACT AWARD

Funds are not presently available for any contract resulting from this Solicitation. The
Government’s obligations under any resulting contract are contingent on the availability of
appropriated funds from which payment for contract purposes can be made. The Government
will not pay or reimburse offerors for any costs associated with their proposals. No legal liability
on the part of the Government for any payment may arise until funds are made available to the
Contracting Officer.
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 2 Section L, Page 30 of 30

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DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 3 Attachment B, Page 1 of 12

Attachment 3
Attachment B
Requirements Traceability Matrix
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 3 Attachment B, Page 2 of 12

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DOL069RP20266

Location
Section Section C Proposal

L.8.1 EXECUTIVE SUMMARY, OVERVIEW, AND UNDERSTANDING OF THE


Amendment 02 - Attachment 3

PROBLEM
This section provides an executive summary, overview, and discussion of the
Offeror’s understanding of the problem. At a minimum, this proposal section
shall include the following:
a) The Offeror’s demonstrated understanding of the major project goals and C.1 - C.1.1
objectives of EFAST2.
b) The Offeror’s demonstrated understanding of the needs of the end users C.1.1.1
c) The Offeror’s demonstrated understanding of the key technical issues that will C.1.2
have the largest impact on the success of the project
d) The Offeror’s demonstrated understanding of the project activities by contract C.1.1.3
period
e) A Requirements Traceability Matrix (RTM) that references the section/page in All
the Offeror’s Technical Proposal on which the requirement(s) of the solicitation
are addressed per Attachment B

L.8.2 TECHNICAL APPROACH


L.8.2.1 Project Approach
This section shall demonstrate the Offeror’s approach to meeting the following
general project requirements:
a) Project goals and objectives C.1.1.1
b) System requirements C.1.1.2
c) Project activities by contract period C.1.1.3

L.8.2.2 Base Period Approach


Base Period - First Component
Describe the Offeror’s approach to the following activities:
a) Conducting full requirements analysis to ensure that all functional requirements C.1.2.1.2
are completely defined
b) Developing an Integrated Master Plan with details on the Contractor’s C.1.2.1.1
development approach
c) Developing a Detailed System Design (DSD) that satisfies all functional C.1.2.1.3
requirements and performance standards at both prototype and production
processing volumes, including peak periods
d) Building a prototype system capable of processing both Contractor and C.1.2.1.4 -C.1.2.1.5
Government proposed tests
e) Certifying the operational and security readiness of the prototype system C.1.2.1.6
Base Period - Second Component
Describe the Offeror’s approach to the following activities:
a) Scaling-up the prototype to a fully functional production system C.1.2.2.1
b) Testing the scale up production processing system C.1.2.2.2
Attachment B, Page 3 of 12
EFAST2 RFP
DOL069RP20266

Base Period - Third Component


Describe the Offeror’s approach to the following activities:
a) Addressing defects in the production processing system uncovered during C.1.2.3.1 - C.1.2.3.2
conduct of FCTs and preparing for the System Acceptance Test (SAT)
Amendment 02 - Attachment 3

b) Certifying the operational and security readiness of the scale-up system C.1.2.3.3
c) Disposition of the scale-up system C.1.2.3.4

L.8.2.3 Option Period I Approach – Advance Pre-processing Activities, Startup,


and Production Operations
This section identifies the Offeror’s approach to advanced, pre-processing
activities that shall occur prior to startup operations including the following:

First Component - Advance Pre-processing Activities


a) Recruiting and training sufficient staff to operate EFAST2 and ensuring that all C.1.3.1.1
Minimum Background Investigation (MBI) paperwork is properly prepared and
submitted to the Government to secure clearances for production processing
staff
b) Performing advance call center support activities necessary to prepare for C.1.3.1.2
production operations
c) Performing all advance data distribution and public disclosure pre-processing C.1.3.1.3
activities
d) Planning and hosting market/stakeholder outreach conferences and producing C.1.3.1.4
related materials to prepare stakeholders for EFAST2 processing

e) Incorporating potential value-added features, upon request, per Attachment O C.1.3.1.5, O

Second Component - Advance Pre-processing Activities


a) Performing system startup and processing Plan Year 2008 and 2009 forms C.1.3.2

b) Conducting system shakeout monitoring during the first six months of C.1.3.2.1, C.1.3.2.2
operations, and identifying and recording all defects that manifest themselves
during operations

L.8.2.4 Production Operations, Maintenance, and Rollover Approach

This section shall describe the Offeror’s approach to ongoing production


operations, maintenance, and annual rollover throughout operations, including
the following:
a) Operating and maintaining all system functions required by the contract during C.1.4, C.1.4.1, C.1.4.1.2, C.1.4.2,
operations C.1.4.2.2, C.1.4.3, C.1.4.3.2, C.1.4.4,
C.1.4.4.2, C.1.4.5, C.1.4.5.2, C.1.4.6,
C.1.4.6.2, C.1.4.7, C.1.4.7.2, C.1.4.8,
C.1.4.8.2, C.1.4.9, C.1.4.9.2, C.1.4.10,
C.1.4.10.2, C.1.5 - C.1.15
Attachment B, Page 4 of 12
EFAST2 RFP
DOL069RP20266

b) Preparing for and conducting system rollover for subsequent processing year C.1.4.1.1, C.1.4.2.1, C.1.4.3.1,
operations C.1.4.4.1, C.1.4.5.1, C.1.4.6.1,
C.1.4.7.1, C.1.4.8.1, C.1.4.9.1,
C.1.4.10.1
c) Incorporating annual forms changes and GFI materials into the system rollover
Amendment 02 - Attachment 3

C.17, C.23
process

L.8.2.5 SYSTEM COMPONENTS


L.8.2.5.1 System Architecture
a) Describe the Offeror’s approach to service availability, including strategies for C.13, C.13.1
planned maintenance and disaster recovery
b) Describe the Offeror’s approach to load balancing, including the use of a C.13.2
mirrored remote site, and performance monitoring of system usage and capacity

c) Describe the Offeror’s approach to performance monitoring C.13.3


d) Describe the Offeror’s approach to hardware hosting and open hardware C.13.4 - C.13.5
architecture in compliance with the requirements of Section C.13
e) Discuss the Offeror’s approach to designing EFAST2 to fully support IPv4 and C.13.6
IPv6 internet protocols
f) Describe the Offeror’s approach to developing security infrastructure and C.13.7 - C.13.8
producing of system infrastructure deliverables

L.8.2.5.2 System Inputs, Production Control / Tracking / Workflow, Performance


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

L.8.2.5.3 Electronic filing, Web Portal, IREG, and IFILE


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

b) Describe the Offeror’s approach to developing and maintaining a public-facing C.10.2 - C.10.2.2
web portal that is accessible to different user audiences
c) Demonstrate the Offeror’s approach to designing a user-friendly and organized C.10.2.3
webpage structure for the EFAST2 web portal
d) Describe the Offeror’s approach to designing a web portal that provides for C.10.2.4 - C.10.2.5
authenticated individual user login, and access to filing status and other filer
specific resources
Attachment B, Page 5 of 12
EFAST2 RFP
DOL069RP20266

e) Describe the Offeror’s approach to creating an iterative process for developing C.10.2.6 - C.10.2.7
and maintaining the web portal
f) Describe the Offeror’s approach to designing a web portal that provides C.10.2.8 - C.10.2.11
accessibility via a wide range of computer configurations, and is easily navigated
per the requirements of C.10.2.9
g) Discuss the Offeror’s approach to developing an Internet Filing Registration
Amendment 02 - Attachment 3

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

p) Describe the Offeror’s approach to administering and maintaining the IFILE C.10.5.10 - C.10.5.16
application and supporting special users’ needs

L.8.2.5.4 IFAS, Entity, and Special Processing


a) Discuss the Offeror’s approach to developing an Internet filing acceptance C.10.4.1 - C.10.4.2
server (IFAS) that will accept both single filing submissions and batch filing
submissions either via the IFILE application or approved third party software

b) Describe the Offeror’s approach for authenticating and processing web service C.10.4.3
requests in accordance with the specifications for filing data elements discussed
in Section C.10.4.3
c) Discuss the standards to be employed in the Base Period design of the IFAS C.10.4.4
web service interface, and provide a WSDL specification for IFAS and discuss
its major elements and design choices
d) Describe the Offeror’s proposed web service request validation process, C.10.4.5
including transmitter, request, and software authentication, as well as message
processability and virus checking
e) Describe the Offeror’s approach to filing acceptance processing of filings C.10.4.6
submitted to IFAS, including how the Offeror will integrate filing element
validation, edit testing, signature authentication, and tracking activities into a
functional whole
f) Describe the Offeror’s approach to delivering filing data to the end users C.10.4.7
g) Describe the Offeror’s approach to managing, storing and disseminating IFAS C.10.4.8
filing status information and acknowledgments
Attachment B, Page 6 of 12
EFAST2 RFP
DOL069RP20266

h) Describe the Offeror’s approach to identifying and flagging duplicate and C.11
amended filing submissions
I) Describe the Offeror’s approach to effectively managing special filing concerns C.9
that may arise in EFAST2, including prior year filing, retrieval requests, secured
substitute filings, and short plan year filings
Amendment 02 - Attachment 3

L.8.2.5.5 Data Management, Storage, and Records Management and Archival

a) Describe the Offeror’s approach to developing a data management system to C.14.1


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

L.8.2.5.6 Public Disclosure and Data Dissemination Service C.15, Att E


a) Describe the Offeror’s approach to designing a web-based data dissemination C.15
service per Section C.15
b) Describe the Offeror’s approach for providing varying access control and data C.15.1 - C.15.7
dissemination resources to the three major groups of EFAST2 users—the
general public, Government users, and the Contractor's contact center staff

c) Describe the Offeror’s approach to data dissemination of structured data to Attachment E


government end users as specified in Attachment E

L.8.2.5.7 Third Party Software Developer Support, Third Party Software Certification
Criteria, and Contact Center
a) Describe the Offeror’s approach to providing software developer support to C.10.6.1 - C.10.6.2, G
assist third party software developers in authoring, preparing and submitting
electronic filings to EFAST2
b) Describe the resources that will be provided as part of the Offeror’s software C.10.6.3 - C.10.6.5
developer support program including stakeholder conferences, filing user
guides, and software developer specifications
c) Describe the Offeror’s approach to converting Attachment P - Volume 2 XML C.10.6.6
Schema into applied electronic filing accept/reject criteria
d) Describe the Offeror’s approach to third party software certification, including the C.10.6.6 - C.10.6.6.5
Offeror’s approach to conducting/facilitating certification tests (Attachment G),
and the full process by which software developers may receive certification of
their third party authoring/transmission software

e) Describe the Offeror’s approach to designing and operating the consolidated C.18.1 - C.18.13
contact center in accordance with the requirements of Section C.18

f) Describe the Offeror’s approach to contact center monitoring, reporting and C.18.14 - C.18.20.1
training requirements

L.8.2.5.8 QA, QC, Testing, and CM


a) Describe the Offeror’s approach to establishing and maintaining a quality C.19.1 - C.19.10
assurance program in accordance with Department of Labor SDLCM and
SDLCM division of labor requirements
Attachment B, Page 7 of 12
EFAST2 RFP
DOL069RP20266

b) Indicate the Software Engineering Institute Capability Maturity Model (SEI-CMM) C.19.11
level for the Offeror would maintain for EFAST2
c) Describe the Offeror’s approach to QA reviews, inspections and audits C.19.12 - C.19.17
d) Describe the Offeror’s approach to QA planning, documentation and reporting C.19.18 - C.19.20
Amendment 02 - Attachment 3

e) Describe the Offeror’s approach to developing and maintaining a comprehensive C.20.1


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

h) Describe the Offeror’s proposed QC monitoring procedures to ensure C.20.11 - C.20.15


processing and reporting requirements are met
I) Describe the Offeror’s approach to comprehensive unit testing of system C.21.1 - C.21.4
components in Base Period and Option Periods I-XI
j) Describe the Offeror’s approach to developing a Configuration Management C.25.1 - C.25.5
(CM) program to manage system problems, system changes, and requirements
changes
k) Describe the Offeror’s approach to supporting Government participation in the C.25.6
Offeror’s CM program
l) Describe the Offeror’s approach to CM documentation, and reporting C.25.7 - C.25.10

L.8.3 SECURITY
a) Describe the Offeror’s approach to developing and maintaining a security C.22
program, headed by the ISO, to ensure the confidentiality of EFAST2 data and
protection of the system
b) The Offeror shall describe its approach to:
1) Meeting Federal security requirements C.22.1
2) Maintaining hardware, software and other system applications security C.22.2
3) Maintaining personnel security C.22.3
4) Reporting and documenting system security status C.22.4

L.8.4 MANAGEMENT
L.8.4.1 Integrated Management System, Planning Deliverables, and Reporting

a) Describe the Offeror’s approach to designing and implementing an integrated C.24.1


management system (IMS) to track the cost and schedule performance of work
performed under EFAST2
b) Describe the Offeror’s plans for developing IMS related project planning C.24.2 - C.24.9, C.24.12
deliverables, including: an Integrated Master Plan, an Integrated Master
Schedule, a Level 4 Contractor Work Breakdown Structure, a Performance
Measurement Baseline, a Contract Performance Report, Integrated Baseline
Review, a Contract Funds Status Report, and a Monthly Work and Management
Report
Attachment B, Page 8 of 12
EFAST2 RFP
DOL069RP20266

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

L.8.4.2 Risk Management and Production Recruiting Plan


Amendment 02 - Attachment 3

The Offeror shall provide the following:


a) Project Risk Management Plan C.24.10
b) Production Recruiting and Training Plan C.24.11

L.8.4.3 Transition Plan and Copyrights

The Offeror shall describe:


a) Disposition of all necessary materials in order to transition EFAST2 to another C.24.14
vendor at the conclusion of any option period
b) Limiting copyright restrictions per the requirements of C.24.18 C.24.18

L.8.4.4 Documentation

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

L.8.5 PAST PERFORMANCE

L.8.5.1 Past Performance and Corporate Capabilities

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

L.8.5.2 Project Descriptions


Attachment B, Page 9 of 12
EFAST2 RFP
DOL069RP20266

The Offeror shall submit a list and detailed description of three (3) projects or
contracts active or completed by the corporate organizations that would service
this contract or a proposed subcontractor, which are relevant to the
specifications contained in Section C and which have a total contract value of
$2.5 million or more. The Offeror shall do this by furnishing synopses of
Amendment 02 - Attachment 3

previous projects that are similar or directly related to the work to be performed
under the proposed contract. Each synopsis shall include:
a) N/A
1) The name and address of the client for whom the work was performed N/A
2) The general nature and scope of the work N/A
The period during which the work was performed categorized by areas listed in
3) L.8.5.2.a.2 N/A
4) The total number of hours billed to the project N/A
The identity of the key personnel assigned to the project and their positions
5) N/A
6) The dollar value of the project N/A
A description of the major products or services produced that were accepted by
7) the customer N/A
The name and telephone number of two persons in the client's organization who
are knowledgeable about the Offeror's performance on the project
8) N/A
The contract number and/or delivery order number under which the Offeror
9) performed the prescribed work for the Government N/A
The Offeror shall provide a concise description of each project or contract and
shall demonstrate successful recent and relevant experience with the following
b) specific areas: N/A
Design, development, testing, and operation of large-scale, XML based
electronic document processing systems, web portal development, and
1) electronic signature administration. N/A
Production control and tracking of filings or similar electronic documents.
2) N/A
Electronic/Internet filing back-end processing, or transmission of data, receipt
3) acknowledgement, and edit testing. N/A
Data management and secure telecommunications/Internet connectivity to
4) Government sites. N/A
Continuity of operations and system architecture techniques to prevent or
5) minimize service disruptions. N/A
6) Web-based data dissemination. N/A
7) Third Party Software Developer and contact center support. N/A
8) Quality assurance and quality control. N/A

L.8.5.3 Contractor Performance Evaluation Survey

For each of the three (3) past project descriptions required in Section L.8.5.2,
provide the following additional information in the following format (limited to one
a) page for each project): N/A
1) Project Title: N/A
2) Project Description: N/A
Attachment B, Page 10 of 12
EFAST2 RFP
DOL069RP20266

3) Contract Number: N/A


4) Period of Performance: N/A
5) Key Personnel Involved: N/A
6) Government Points of Contract: N/A
Amendment 02 - Attachment 3

7) An Operational URL: N/A

L.8.6 KEY PERSONNEL

The Offeror’s technical proposal shall include names, proposed duties, and
qualifications (including resumes) meeting or exceeding each of the key
a) personnel position requirements identified in Section C.3.6 for:
1) Project Manager C.3.6.1
2) Computer Systems Analyst C.3.6.2
3) Chief Quality Control Specialist C.3.6.3
4) Information Security Officer C.3.6.4
5) Systems Administrator C.3.6.5
6) System Test Engineer C.3.6.6
7) Configuration Management Specialist C.3.6.7
Names, proposed duties, and qualifications (including resumes) warranted by
the Offeror's detailed analysis of the requirements for up to 5 additional
b) C.3.7
personnel.

SMALL BUSINESS SUBCONTRACTING UTILIZATION PLAN


L.8.7

The Offeror shall submit a Small Business Subcontracting Utilization Plan that
shall be considered part of the technical proposal. The Small Business
Subcontracting Utilization Plan shall be submitted in accordance with Section
I.2, FAR Clause 52.219-9. At least 10% of the total contract award shall be
subcontracted. 1) Of the subcontracting portion of the award, at least 60% will be
awarded to small businesses; 2) 11 % of the subcontracting portion of the award
to small disadvantaged business; 3) 7% of the subcontracting portion of the
award to women-owned small business; 4) 3% of the subcontracting portion of
the award to HUBZone small business; 5) 3% of the subcontracting portion of
the award to veteran-owned small business; 6) 3% of the subcontracting portion
of the award to service-disabled veteran-owned small business. Small business
categories are not mutually exclusive; subcontract dollars may be attributed to
as many categories as are applicable. Offers that are received from small
businesses in accordance with NAICS 541511 and a size standard of
a) $23,000,000 are exempt from the subcontracting utilization plan requirements.
Attachment B, Page 11 of 12
EFAST2 RFP
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 3 Attachment B, Page 12 of 12

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DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 4 Attachment 4, Page 1 of 6

Attachment 4
Attachment Q
Cost Plus Award Fee Evaluation Criteria
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 4 Attachment 4, Page 2 of 6

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DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 4 Attachment 4, Page 3 of 6

ATTACHMENT Q. COST PLUS AWARD FEE EVALUATION CRITERIA

Q.1 CRITERIA FOR BASE PERIOD CPAF AWARD FEE 1

The Contractor may be eligible for a partial award fee at the conclusion of the Base Period (1st
Component). The maximum amount of the award fee to be considered under this component is
equal to 33.4% of the total award fee structure established under the Base Period and identified
under Section B.2.1.4.2 of the Contract Schedule. The criteria for determining the award fee
under the Base Period (1st Component) include the Contractor’s successful completion of a
Functional Capability Test of the prototype system (FCT 1) and satisfaction of the following:

• Critical Error Reports—Critical error reports (ER) may be generated during the Base
Period (1st Component). Critical errors are defined as observed defects or deficiencies
that would be detectable by the public end users of the system or that could pose a risk to
data or system confidentiality, integrity, or availability. Such critical ERs would be issued
in response to FCT 1 and would require resolution prior to the commencement of the
Base Period (2nd Component). All critical ERs shall be corrected and retested, including
system regression testing, to ensure compliance with the Government’s requirements
before proceeding to the Base Period (2nd Component). Up to 40% of the first award fee
(AF1) may be awarded for this criterion.

• Minor Error Reports—Minor ERs may be generated during Base Period (1st
Component). Minor errors are defined as observed defects or deficiencies that would not
be detectable by the public end users of the system and that would not pose a risk to data
or system confidentiality, integrity, or availability. Such minor ERs would be issued in
response to FCT 1 and would require resolution prior to granting of Notice-To-Proceed
(NTP) to Option Period 1 (2nd Component). All minor ERs shall be corrected and
retested, including system regression testing, to ensure compliance with the
Government’s requirements before the commencement of production operations. Up to
20% of the first award fee (AF1) may be awarded for this criterion.

• Schedule Performance—Schedule performance shall be demonstrated by the Contractor


within the approved EFAST2 Performance Measurement Baseline (PMB). In earned
value measurement terms, for the Base Period (1st Component) period of performance,
the cumulative Budgeted Cost of Work Performed (BCWP) shall be equal to or greater
than the cumulative Budgeted Cost of Work Scheduled (BCWS). Up to 20% of the first
award fee (AF1) may be awarded for this criterion.

• Cost Performance—Cost performance shall be demonstrated by the Contractor within the


approved EFAST2 PMB. In earned value measurement terms, for the Base Period (1st
Component) period of performance, the cumulative Budgeted Cost of Work Performed
(BCWP) shall be equal to or greater than the cumulative Actual Cost of Work Performed
(ACWP). Up to 20% of the first award fee (AF1) may be awarded for this criterion.
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 4 Attachment 4, Page 4 of 6

Within 90 days of the conclusion of the Base Period (1st Component), the Government will
assess the Contractor's performance against the award fee criteria listed above. The Government
will calculate the award fee and compensate the Contractor based on the calculation.

In the event that the Government's AF1 calculation results in a partial award fee payment (i.e.,
less than one-third of the total award fee associated with the Base Period), then the Government
will notify the Contractor of the areas of performance shortfall resulting in a partial award fee.
The Contractor may be eligible to recover the full first award fee by demonstrating progress
against the areas of performance shortfall during the Base Period (2nd Component).

Within 90 days of the conclusion of the Base Period (2nd Component), the Government will
consider and may compensate the Contractor for demonstrated progress against the areas of
performance shortfall identified at the end of the Base Period (1st Component).

Q.2 CRITERIA FOR BASE PERIOD CPAF AWARD FEE 2

The Contractor may be eligible for a partial award fee at the conclusion of the Base Period (2nd
Component). The maximum amount of the award fee to be considered under this component is
equal to 33.3% of the total award fee identified under Section B.2.1.4.2 of the Contract Schedule.
The criteria for determining the award fee under the Base Period (2nd Component) include the
Contractor’s successful completion of a Functional Capability Test of the scaled up system (FCT
2) and satisfaction of the following:

• Critical Error Reports—Critical ERs may be generated during Base Period (2nd
Component). Such critical ERs would be issued in response to FCT 2 and would require
resolution prior to the commencement of the Base Period (3rd Component). All critical
ERs shall be corrected and retested, including system regression testing, to ensure
compliance with the Government’s requirements before proceeding to the Base Period
(3rd Component). Up to 40% of the second award fee (AF2) may be awarded for this
criterion.

• Minor Error Reports—Minor ERs may be generated during Base Period (2nd
Component). Such minor ERs would be issued in response to FCT 2 and would require
resolution prior to granting of Notice-To-Proceed (NTP) to Option Period 1 (2nd
Component). All minor ERs shall be corrected and retested, including system regression
testing, to ensure compliance with the Government’s requirements before the
commencement of production operations. Up to 20% of the second award fee (AF2) may
be awarded for this criterion.

• Schedule Performance—Schedule performance shall be demonstrated by the Contractor


within the approved EFAST2 PMB. In earned value measurement terms, for the Base
Period (2nd Component) period of performance, the cumulative Budgeted Cost of Work
Performed (BCWP) shall be equal to or greater than the cumulative Budgeted Cost of
Work Scheduled (BCWS). Up to 20% of the second award fee (AF2) may be awarded for
this criterion.
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 4 Attachment 4, Page 5 of 6

• Cost Performance—Cost performance shall be demonstrated by the Contractor within the


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

Within 90 days of the conclusion of the Base Period (2nd Component), the Government will
assess the Contractor's performance against the award fee criteria listed above. The Government
will calculate the award fee and compensate the Contractor based on the calculation.

In the event that the Government's AF2 calculation results in a partial award fee payment (i.e.,
less than one-third of the total award fee associated with the Base Period), then the Government
will notify the Contractor of the areas of performance shortfall resulting in a partial award fee.
The Contractor may be eligible to recover the full second award fee by demonstrating progress
against the areas of performance shortfall during the Base Period (3rd Component).

Within 90 days of the conclusion of the Base Period (3rd Component), the Government will
consider and may compensate the Contractor for demonstrated progress against the areas of
performance shortfall identified at the end of the Base Period (1st and 2nd Components).

Q.3 CRITERIA FOR BASE PERIOD CPAF AWARD FEE 3

The Contractor may be eligible for a partial award fee at the conclusion of the Base Period (3rd
Component). The maximum amount of the award fee to be considered under this component is
equal to 33.3% of the total award fee identified under Section B.2.1.4.2 of the Contract Schedule.
The criteria for determining the award fee under the Base Period (3rd Component) include the
Contractor’s successful completion of a System Acceptance Test (SAT) and satisfaction of the
following:

• Critical Error Reports—Critical ERs may be generated during the Base Period (3rd
Component). Such critical ERs would be issued in response to SAT and would require
resolution prior to granting of Notice-To-Proceed (NTP) to Option Period 1 (2nd
Component). All critical ERs shall be corrected and retested, including system regression
testing, to ensure compliance with the Government’s requirements before commencement
of production operations. Up to 40% of the third award fee (AF3) may be awarded for
this criterion.

• Minor Error Reports—Minor ERs may be generated during the Base Period (3rd
Component). Such minor ERs would be issued in response to SAT and would require
resolution prior to granting of Notice-To-Proceed (NTP) to Option Period 1 (2nd
Component). All minor ERs shall be corrected and retested, including system regression
testing, to ensure compliance with the Government’s requirements before the
commencement of production operations. Up to 20% of the third award fee (AF3) may be
awarded for this criterion.
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 4 Attachment 4, Page 6 of 6

• Schedule Performance—Schedule performance shall be demonstrated by the Contractor


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

• Cost Performance—Cost performance shall be demonstrated by the Contractor within the


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

Within 90 days of the conclusion of the Base Period (3rd Component), the Government will
assess the Contractor's performance against the award fee criteria listed above. The Government
will calculate the award fee and compensate the Contractor based on the calculation.

In the event that the Government's AF3 calculation results in a partial award fee payment (i.e.,
less than one-third of the total award fee associated with the Base Period), then the Government
will notify the Contractor of the areas of performance shortfall resulting in a partial award fee.
The Contractor may be eligible to recover the full third award fee by demonstrating progress
against the areas of performance shortfall during Option Period I (2nd Component).

Within 90 days of the conclusion of Option Period I (2nd Component), the Government will
consider and may compensate the Contractor for demonstrated progress against the areas of
performance shortfall identified at the end of the Base Period (1st, 2nd, and 3rd Components).
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 5 Attachment T, Page 1 of 6

Attachment 5

Attachment T
Hardware and Software Cost REIMBURSEMENT
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 5 Attachment T, Page 2 of 6

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DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 5 Attachment T, Page 3 of 6

Attachment T
Hardware and Software Cost REIMBURSEMENT

T-1 RECOVERY OF HARDWARE & COTS SOFTWARE COSTS

The Contractor shall acquire and support the hardware and commercial off-the-shelf (COTS)
software required for production operations of EFAST2. The Government will not own the
hardware or the COTS software, except as described in Section B of the contract. The
Government will retain ownership to any custom software developed on the EFAST2 contract.
The Contractor will be authorized to recover the cost of hardware and COTS software
acquisition and support, including the cost of annual or on-going maintenance provided by a
third party vendor.

The Contractor shall recover the cost of major hardware items, COTS software licenses, and
associated third party support required for the EFAST2 production system through depreciation
and amortization during Option Period I 2nd Component through Option Period XI.

At the Contractor’s option, the Contractor may recover as an expense the cost of hardware,
COTS software, and associated third party support required to develop the prototype system. If
recovered as an expense, these costs shall be invoiced during the Base Period, unless delayed
invoicing is expressly approved by the Contracting Officer.

T-1.1 Scheduling of Depreciation/Amortization Costs

Hardware and COTS software costs that are to be recovered through depreciation or amortization
shall be appropriately scheduled. Usually, such costs are recovered over a three (3) year
depreciation/amortization schedule. High-cost items are sometimes depreciated over a five (5)
year schedule. The Contractor shall choose an appropriate schedule for each item. The
Contractor shall develop a consolidated schedule that shows the planned
depreciation/amortization schedule for all major equipment and COTS software items. The
consolidated schedule shall identify when each item is projected to be added to the inventory.
The Contractor shall provide the consolidated schedule with the contractor’s proposal.

When additional hardware or COTS software is added to the inventory, the Contractor shall
provide the Government with an updated consolidated schedule.

The depreciation or amortization schedule for an item shall start in the same reporting period
(i.e., month) as the item is entered into service for EFAST2 by the Contractor. The Contractor’s
failure to properly schedule depreciation or amortization will restrict the Contractor’s ability to
claim full compensation.

T-1.2 Invoicing For Payment of Hardware & COTS Software Costs

During Option Period I 2nd Component through Option Period XI, hardware and COTS software
costs, including third party support costs, shall be invoiced by the Contractor against Contract
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 5 Attachment T, Page 4 of 6

Line Item Number (CLIN) 3 of the Firm Fixed Price (FFP) Component, in accordance with
Section B of the Contract. Within 45 days following entry of an item into service for the
EFAST2 system, the Contractor shall invoice for the first installment of the depreciation
allowance or amortization allowance (e.g., 1/36th or 1/60th of the item cost). Each month
thereafter, the Contractor shall invoice for the proportional monthly allowance (e.g., 1/36th or
1/60th of the item cost) until the item is fully depreciated or amortized and the total item cost has
been recovered.

The Option Period I 2nd Component invoice amounts for hardware depreciation and COTS
software amortization may vary based on the items in the active inventory and those additional
hardware and COTS software items being added during the option period. The Contractor’s
failure to fully invoice for scheduled depreciation and amortization during the option period
without prior approval of the Government shall negate the Contractor’s right to claim for the
amount not invoiced in a later option period.
During Option Period I 2nd Component through Option Period XI, all non-major material costs
(e.g., printer cartridges, print drums) shall be invoiced at 1/12th of the annual negotiated estimate
for such items for each option period. Adjustments for additional, extraordinary expenditures for
such items must be expressly approved in advance by the Contracting Officer. Costs for such
items shall be invoiced with 45 days of the end of the option period.

The Government retains the right to direct the Contractor to delay the invoicing of hardware
and/or COTS software costs. If the Government does direct a delay in such invoicing, the
Contractor will be able to recover these costs after the Government’s period of delay has ended.
In that case, the Contractor shall submit an appropriate invoice within 45 days of the end of the
delay.

CLIN 3 of the FFP Component of each option period is established for the recovery of hardware
and COTS software costs required to support the EFAST2 system. The following costs are to be
tracked separately by the Contractor, subject to review by the Government:

(a) Hardware Expensed

(b) Replacement Parts

(c) Hardware Maintenance and Support

(d) COTS Software Maintenance

(e) COTS Software Support

(f) Hardware Depreciation Allowance

(g) COTS Software Amortization Allowance


DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 5 Attachment T, Page 5 of 6

The Replacement Parts category shall cover costs incurred for replacing hard disk drives,
monitors, keyboards, motherboards, and other non-major hardware items.

The Hardware Expensed and Replacement Parts costs shall be invoiced when they are incurred.
The Hardware Maintenance and Support, COTS Software Maintenance, and COTS Software
Support categories shall be invoiced on a monthly schedule at 1/12th of the annual negotiated
estimate for such items for each option period. The Hardware Depreciation Allowance and the
Software Amortization Allowance costs shall be invoiced in accordance with the Contractor’s
depreciation and amortization schedules.

T-2 TRACKING DOCUMENTATION

The Government will pay for hardware and COTS software based on the invoiced amounts.
Before paying the invoice, the Government may evaluate the invoice to determine that the
invoiced amounts accurately reflect the agreed-to hardware and COTS software expenses,
depreciation, and amortization. The Contractor shall maintain documentation to support the
invoices for hardware and COTS software costs. These documents shall be made available to the
Government for review, as requested by the Contracting Officer’s Technical Representative
(COTR). The following documentation shall be maintained by the Contractor:

(a) Hardware Bill of Material – showing the status of all ordered items.

(b) Hardware Expensed Log – for tracking all expensed items.

(c) Hardware Depreciation Log – for tracking the monthly depreciation allowance.

(d) Hardware Maintenance Log – for tracking monthly maintenance costs.

(e) Hardware Replacement or Additions Log – for tracking equipment replacements


and additions.

(f) Hardware Inventory – showing the initial inventory, with updates, as required.

(g) Software Bill of Material – showing the status of all ordered items.

(h) Software Amortization Log – for tracking the monthly amortization allowance.

(i) Software Maintenance Log – for tracking monthly maintenance costs, including
support.

(j) Software Inventory – showing the initial inventory, with updates, as required.
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 5 Attachment T, Page 6 of 6

T-3 HARDWARE REFRESH

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

T-4 BILLING CYCLE

The billing cycle for this contract will be monthly. The date for submission of invoices will be
determined at contract award. Items added, replaced, upgraded, or deleted during the first 15
days of a reporting cycle may be included in the current month’s invoice but shall be invoiced no
later than the next month’s invoice.
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 6 Section F, Page 1 of 28

Attachment 6

Section F
Deliveries or Performance
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 6 Section F, Page 2 of 28

This Page is Intentionally Left Blank


DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 6 Section F, Page 3 of 28

PART I - THE SCHEDULE


SECTION F - DELIVERIES OR PERFORMANCE

F.1 52.252-2 Clauses Incorporated by Reference

This contract incorporates one or more clauses by reference, with the same force and
effect as if they were given in full text. Upon request, the Contracting Officer will make
their full text available. Clauses may be electronically accessed at
http://www.arnet.gov/far

F.2 52.242-15 Stop-Work Order (August 1989) [Incorporated by Reference]

F.3 Period of Performance

Refer to Exhibit C.1.1.1 for definitions of relevant EFAST2 Periods of Performance as


described in this section.

F.4 Delivery Medium

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

F.5 Schedule of Deliverables

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

F.6 Use of Contractor Internal Documentation to Satisfy Section F Deliverable


Requirements

The deliverable documentation requirements for this project are listed in Section F, with
cross-references provided to the Contract clause describing the specific deliverable. The
Contractor may submit internal documentation required to meet company system
development guidelines as a substitute for comparable documentation required under
Section F, as described in Section C.19, provided the Contractor provides adequate
justification for the proposed substitution and receives Contracting Officer approval in
writing for the substitution. The Contractor shall request Contracting Officer permission
to submit substitute documentation, and clearly identify the substitute deliverable and the
deliverable being substituted. Substitute deliverables shall be subject to the Section E
inspection and acceptance procedures.
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 6 Section F, Page 4 of 28

SCHEDULE OF DELIVERABLES
Base Period -- Contract Award to 12/31/2008
Planning, Requirements Review, Design, Development, Testing, Certification, Implementation, and Disposition
Num Item Description of Deliverable Quantity Due Date Section Reference
Base Period (1st Component) Prototype
Award through 12/31/2007
D1 Draft Integrated Master Plan 1 5/1/2007
F1 Integrated Master Plan 1 6/30/2007 C.24.3
D2 Draft Integrated Master Schedule 1 5/1/2007
F2 Integrated Master Schedule 1 6/30/2007 C.24.4
D3 Draft Contract Work Breakdown Structure
1 Draft CWBS 1 5/1/2007
2 Draft CWBS Dictionary 1 5/1/2007
3 Draft CWBS-to-SOW Traceability Matrix 1 5/1/2007
F3 Contract Work Breakdown Structure
1 CWBS 1 6/30/2007 C.24.5
2 CWBS Dictionary 1 6/30/2007 C.24.5
3 CWBS-to-SOW Traceability Matrix 1 6/30/2007 C.24.5
D4 Draft Performance Measurement Baseline 1 5/1/2007
F4 Performance Measurement Baseline 1 6/30/2007 C.24.6
D5 Draft Project Risk Management Plan 1 5/1/2007
F5 Project Risk Management Plan 1 6/30/2007 C.24.10
6 Contract Performance Report 1 Monthly C.24.7
7 Contract Funds Status Report 1 Monthly C.24.9
8 Monthly Work and Management Report
1 Report on progress, problems, schedule, plans and cost 1 Monthly C.24.12
2 Security Progress Report 1 Monthly C.24.12, C.22.4.1
3 Quality Assurance Report 1 Monthly C.24.12, C.19.19
4 Contact Center Call Report 1 Monthly C.24.12, C.18.17
5 List of Third Party Software Developer Certifications 1 Monthly C.24.12, C.10.6.6.4
9 Notification to COTR of Problems, Errors, or Breach of Security 1 As Needed C.24.13
D10 Draft Security Risk Assessment 1 5/1/2007
F10 Security Risk Assessment 1 6/15/2007 C.22.4.2.2
11 Production Recruiting and Training Plan 1 6/15/2007 C.24.11
12 Requirements Traceability Matrix (RTM) 1 6/15/2007 C.25.9
13 Quality Assurance Plan 1 6/15/2007 C.19.18
D14 Draft Quality Control Procedures Manual 1 5/1/2007
F14 Quality Control Procedures Manual 1 6/15/2007 C.20.15.2
15 Configuration Management Plan 1 6/15/2007 C.25.8
D16 Draft Detailed System Design 1 5/1/2007
F16 Detailed System Design 1 6/15/2007 C.1.2.1.3
17 Third Party Software Test Plan & Certification Procedures 1 6/15/2007 C.10.6.6.4
18 Procedures for Web Review & Approval 1 6/15/2007 C.10.2.11
19 Web Portal Design
1 1st Iteration 1 6/30/2007 C.10.2.6
2 2nd Iteration 1 9/30/2007 C.10.2.6
20 IFILE Functional Specification 1 7/1/2007 C.10.5.14
D21 Draft System Security Plan 1 7/1/2007
F21 System Security Plan 1 8/15/2007 C.22.4.2.1
22 Final Plan Year 2008 and Plan Year 2009 Form / Schedule Proofs
1 PDF Files 1 8/1/2007 C.17.3
2 Source Files 1 8/1/2007 C.17.3
23 Government & Contractor User Authorization and Credentials 1 8/1/2007 C.10.3.4
D24 Draft IFILE / Test Filing Tool 1 8/1/2007
F24 IFILE / Test Filing Tool 1 9/15/2007 C.10.5.15
25 IFILE User's Guide 1 9/15/2007 C.10.5.13
26 Contingency Plan (Continuity of Operations Plan) -- Initial
1 COOP 1 11/1/2007 C.22.4.2.3
2 Test Plan 1 11/1/2007 C.22.4.2.3
27 Software Developer Specification
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 6 Section F, Page 5 of 28

SCHEDULE OF DELIVERABLES
Base Period -- Contract Award to 12/31/2008
Planning, Requirements Review, Design, Development, Testing, Certification, Implementation, and Disposition
Num Item Description of Deliverable Quantity Due Date Section Reference
1 Software Developer User's Guide and Specifications 1 12/1/2007 C.10.6.5
2 Transmission File Structure 1 12/1/2007 C.10.6.5
3 XML DER Vol 1 & 2 1 12/1/2007 C.10.6.5
28 Participant Acceptance Testing System (PATS) Package
1 PATS Application 1 12/1/2007 C.10.6.6.3
2 PATS Procedures and Certification Criteria 1 12/1/2007 C.10.6.6.3
3 PATS Test Filings 1 12/1/2007 C.10.6.6.3
29 Third Party Software Developer Conference Materials 1 12/1/2007 C.10.6.3
30 System Test Plan(s) 1 As Proposed C.21.3.1
31 System Test Report(s) 1 As Proposed C.21.3.3
32 Prototype Operational Readiness Declaration
1 Checklist 1 12/1/2007 C.21.3.8
2 Certification 1 12/1/2007 C.21.3.9
33 FCT #1 -- Test Prototype
1 Agency-specific distributions 1 12/8/2007 E.8.3, E.8.5
2 Other FCT outputs 1 12/8/2007 E.8.1.1
Base Period (2nd Component) Scale up
1/1/2008 through 7/31/2008
34 Integrated Master Schedule Update 1 1/15/2008 C.24.3
35 Contract Performance Report 1 Monthly C.24.7
36 Contract Funds Status Report 1 Monthly C.24.9
37 Monthly Work and Management Report
1 Report on progress, problems, schedule, plans and cost 1 Monthly C.24.12
2 Security Progress Report 1 Monthly C.24.12, C.22.4.1
3 Quality Assurance Report 1 Monthly C.24.12, C.19.19
4 Contact Center Call Report 1 Monthly C.24.12, C.18.17
5 List of Third Party Software Developer Certifications 1 Monthly C.24.12, C.10.6.6.4
38 Notification to COTR of Problems, Errors, or Breach of Security 1 As Needed C.24.13
39 Detailed System Design Update 1 1/15/2008 C.1.2.1.3
40 Implementation Plan 1 3/15/2008 C.21.3.2
41 HW / SW Refresh Plan 1 3/15/2008 C.17.4
42 Service Level Agreement 1 4/15/2008 C.13.8.1
43 IFILE / Test Filing Tool Update 1 5/1/2008 C.10.5.15
44 IFILE User's Guide Update 1 5/1/2008 C.10.5.13
45 EFAST2 Guide for Filers & Service Providers 1 5/1/2008 C.10.6.4
46 Annual Security Risk Assessment 1 6/1/2008 C.22.4.2.2
47 Project Risk Management Plan Update 1 6/1/2008 C.24.10
D48 Draft System Documentation 1 4/15/2008
F48 System Documentation 1 6/1/2008 C.17.2
49 Contact Center Operational Procedures Manual 1 6/1/2008 C.18.20
50 Data Dissemination Service (DDS) User's Guide(s)
1 Public User Guide 1 6/1/2008 C.15.7
2 Government User Guide 1 6/1/2008 C.15.7
51 Government End User Customer Satisfaction Survey 1 6/30/2008 C.20.16
52 Operating Capacity Report
1 Current Operating Capacity 1 7/15/2008 C.13.8.3.1
2 System Sizing Analysis 1 7/15/2008 C.13.8.3.2
53 Benchmark Report 1 7/15/2008 C.13.8.4
54 System Test Plan(s) 1 As Proposed C.21.3.1
55 System Test Report(s) 1 As Proposed C.21.3.3
56 Scale up Operational Readiness Declaration
1 Checklist 1 6/16/2008 C.21.3.8
2 Certification 1 6/16/2008 C.21.3.9
57 FCT #2 -- Scale up End-to-End Test
1 Agency-specific distributions 1 7/1/2008 E.8.3, E.8.5
2 Other FCT outputs 1 7/1/2008 E.8.1.2
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 6 Section F, Page 6 of 28

SCHEDULE OF DELIVERABLES
Base Period -- Contract Award to 12/31/2008
Planning, Requirements Review, Design, Development, Testing, Certification, Implementation, and Disposition
Num Item Description of Deliverable Quantity Due Date Section Reference
Base Period (3rd Component) SAT
8/1/2008 through 12/31/2008
58 Integrated Master Schedule Update 1 8/1/2008 C.24.3
59 Contract Performance Report 1 Monthly C.24.7
60 Contract Funds Status Report 1 Monthly C.24.9
61 Monthly Work and Management Report
1 Report on progress, problems, schedule, plans and cost 1 Monthly C.24.12
2 Security Progress Report 1 Monthly C.24.12, C.22.4.1
3 Quality Assurance Report 1 Monthly C.24.12, C.19.19
4 Contact Center Call Report 1 Monthly C.24.12, C.18.17
5 List of Third Party Software Developer Certifications 1 Monthly C.24.12, C.10.6.6.4
62 Notification to COTR of Problems, Errors, or Breach of Security 1 As Needed C.24.13
63 COOP Test Report -- Initial 1 9/1/2008 C.22.4.2.3
64 SAT and Operational Readiness Declaration
1 Checklist 1 9/1/2008 C.21.3.8
2 Certification 1 9/1/2008 C.21.3.9
65 SAT
1 Agency-specific distribution products 1 9/18/2008 E.8.3, E.8.5
2 Other SAT outputs 1 9/18/2008 E.8.1.3
66 Base Year Disposition/Closeout Plan
1 Transition Plan 1 12/21/2008 C.24.14
2 Source Code 1 12/21/2008 C.24.14
3 Program materials, documentation, media, GFI, and equipment 1 12/21/2008 C.24.14
Other Key Base Period Activities
Integrated Baseline Review (IBR) C.24.8
Base Period In-Process Review E.8.1.5
Requirements Clarification Meetings C.1.2.1.2
Third Party Software Developer Conference C.10.6.3
Security Compliance Review C.8.1.4, C.22.1.4
Personnel Clearances C.22.3
Functional Capability Test #1 E.8.1.1
Functional Capability Test #2 E.8.1.2
Systems Acceptance Test E.8.1.3
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 6 Section F, Page 7 of 28

SCHEDULE OF DELIVERABLES
Option Period I -- 8/1/2008 to 6/30/2009
Advance Pre-processing activities, Startup, Processing
Num Item Description of Deliverable Quantity Due Date Section Reference
Option Period I (1st Component) Advance Pre-processing
8/1/2008 through 12/31/2008
101 Integrated Master Schedule Update 1 8/15/2008 C.24.3
102 Contract Work Breakdown Structure Update
1 CWBS Update 1 8/15/2008 C.24.5
2 CWBS Dictionary Update 1 8/15/2008 C.24.5
3 CWBS-to-SOW Traceability Matrix Update 1 8/15/2008 C.24.5
103 Performance Measurement Baseline Update 1 8/15/2008 C.24.6
104 Contract Performance Report 1 Monthly C.24.7
105 Monthly Work and Management Report (sample)
1 Report on progress, problems, schedule, plans and cost 1 9/1/2008 C.24.12
2 Security Progress Report 1 9/1/2008 C.24.12, C.22.4.1
3 Quality Assurance Report 1 9/1/2008 C.24.12, C.19.19
4 Contact Center Call Report 1 9/1/2008 C.24.12, C.18.17
5 List of Third Party Software Developer Certifications 1 9/1/2008 C.24.12, C.10.6.6.4
106 Notification to COTR of Problems, Errors, or Breach of Security 1 As Needed C.24.13
107 Annual System Security Plan 1 8/15/2008 C.22.4.2.1
108 Implementation Plan 1 8/15/2008 C.21.3.2
109 Stakeholder Outreach Conference Materials 1 8/15/2008 C.1.3.1.4
110 Production Recruiting and Training Plan 1 8/15/2008 C.24.11
111 Electronic Filing Kickoff Postcard 1 9/1/2008 C.10.3.7
112 Fixed-Price Invoice (sample) 1 9/1/2008
113 PC Reports (sample) 1 9/15/2008 C.6.5
114 Quality Control Reports (sample) 1 9/15/2008 C.20.15.1
115 Contact Center Daily Report (sample) 1 9/15/2008 C.18.18
116 Call Center Service Ticket (sample) 1 9/15/2008 C.18.2
117 Transmission of Structured Data Records to End Users (sample)
1 EBSA XML Return Transaction File 1 10/15/2008 C.15.3.4, Attachment E
2 EBSA Structured Return Transaction File 1 10/15/2008 C.15.3.4, Attachment E
3 IRS XML Return Transaction File 1 10/15/2008 C.15.3.4, Attachment E
4 IRS Structured Return Transaction File 1 10/15/2008 C.15.3.4, Attachment E
5 PBGC XML Return Transaction File 1 10/15/2008 C.15.3.4, Attachment E
6 PBGC Structured Return Transaction File 1 10/15/2008 C.15.3.4, Attachment E
7 PBGC Control File 1 10/15/2008 C.15.3.4, Attachment E
8 EBSA Tracking Database snapshot 1 10/15/2008 C.15.3.4, Attachment E
9 IRS Tracking Database snapshot 1 10/15/2008 C.15.3.4, Attachment E
10 EBSA Annual XML Archive File 1 10/15/2008 C.16.3, Attachment E
11 EBSA Annual E-Mail Archive File 1 10/15/2008 C.16.3, C.18.9, Attachment E
118 Contingency Plan (Continuity of Operations Plan) -- Update I
1 COOP 1 11/1/2008 C.22.4.2.3
2 Test Plan 1 11/1/2008 C.22.4.2.3
119 Certification and Warranty 1 10/15/2008 H.12
120 Documentation replacement pages 1 As Needed C.24.16
Option Period I (2nd Component) Startup Processing
1/1/2009 through 6/30/2009
D121 Draft Project Risk Management Plan 1 2/1/2009
F121 Project Risk Management Plan 1 3/15/2009 C.24.9
122 Monthly Work and Management Report
1 Report on progress, problems, schedule, plans and cost 1 Monthly C.24.12
2 Security Progress Report 1 Monthly C.24.12, C.22.4.1
3 Quality Assurance Report 1 Monthly C.24.12, C.19.19
4 Contact Center Call Report 1 Monthly C.24.12, C.18.17
5 List of Third Party Software Developer Certifications 1 Monthly C.24.12, C.10.6.6.4
123 Notification to COTR of Problems, Errors, or Breach of Security 1 As Needed C.24.13
124 Contact Center Daily Report 1 Daily C.18.18
125 PC Reports 1 Weekly C.6.5
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 6 Section F, Page 8 of 28

SCHEDULE OF DELIVERABLES
Option Period I -- 8/1/2008 to 6/30/2009
Advance Pre-processing activities, Startup, Processing
Num Item Description of Deliverable Quantity Due Date Section Reference
126 Quality Control Reports 1 Monthly C.20.15.1
127 System Performance Report 1 Monthly C.13.8.5, C.14.4.3
128 Large Plan Monthly Report 1 Monthly C.6.6
129 Listing of Government & Contractor Users with Credentials 1 Monthly C.10.3.4
130 Record Retrieval 1 As Needed C.9.2
131 Documentation replacement pages 1 As Needed C.24.16
132 Transmission of Structured Data Records to End Users
1 EBSA XML Return Transaction File 1 Daily C.15.3.4, Attachment E
2 EBSA Structured Return Transaction File 1 Daily C.15.3.4, Attachment E
3 IRS XML Return Transaction File 1 Daily C.15.3.4, Attachment E
4 IRS Structured Return Transaction File 1 Daily C.15.3.4, Attachment E
5 PBGC XML Return Transaction File 1 Weekly C.15.3.4, Attachment E
6 PBGC Structured Return Transaction File 1 Weekly C.15.3.4, Attachment E
7 PBGC Control File 1 Weekly C.15.3.4, Attachment E
8 EBSA Tracking Database snapshot 1 Monthly C.15.3.4, Attachment E
9 IRS Tracking Database snapshot 1 Monthly C.15.3.4, Attachment E
10 EBSA Annual XML Archive File 1 6/30/2009 C.16.3, Attachment E
11 EBSA Annual E-Mail Archive File 1 6/30/2009 C.16.3, C.18.9, Attachment E
133 Requirements Traceability Matrix (RTM) 1 3/15/2009 C.25.9
134 Quality Assurance Plan 1 3/15/2009 C.19.18
D135 Draft Detailed System Design 1 2/1/2009
F135 Detailed System Design 1 3/15/2009 C.1.2.1.3
D136 Draft Quality Control Procedures Manual 1 2/15/2009
F136 Quality Control Procedures Manual 1 4/1/2009 C.20.15.2
137 HW / SW Refresh Plan 1 4/1/2009 C.17.4
138 Configuration Management Plan 1 4/1/2009 C.25.8
139 Service Level Agreement 1 4/15/2009 C.13.8.1
140 Annual Requirements Analysis Report 1 5/1/2009 C.25.10
D141 Draft Security Risk Assessment 1 4/15/2009
F141 Security Risk Assessment 1 6/1/2009 C.22.4.2.2
D142 Draft System Documentation 1 4/15/2009
F142 System Documentation 1 6/1/2009 C.17.4
143 Operating Capacity Report
1 Current Operating Capacity 1 6/30/2009 C.13.8.3.1
2 System Sizing Analysis 1 6/30/2009 C.13.8.3.2
144 Benchmark Report 1 6/30/2009 C.13.8.4
145 Government End User Customer Satisfaction Survey 1 6/30/2009 C.20.16
146 System Test Plan(s) 1 As Proposed C.21.4.1
147 System Test Report(s) 1 As Proposed C.21.4.2
148 Option Period I Disposition/Closeout Plan
1 Transition Plan 1 6/1/2009 C.24.14
2 Source Code 1 6/1/2009 C.24.14
3 Program materials, documentation, media, GFI, and equipment 1 6/1/2009 C.24.14
Other Key Option Period I Activities
Stakeholder Outreach Conference C.1.3.1.4
Personnel Clearances C.22.3
Government Testing and Reviews E.8.2
Processing Compliance Reviews E.9
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 6 Section F, Page 9 of 28

SCHEDULE OF DELIVERABLES
Option Period II -- 7/01/2009 to 6/30/2010
Processing Year 2009 Operations, Rollover to Processing Year 2010
Num Item Description of Deliverable Quantity Due Date Section Reference
Processing Year 2009
7/1/2009 through 6/30/2010
D201 Draft Project Risk Management Plan 1 8/1/2009
F201 Project Risk Management Plan 1 9/15/2009 C.24.10
202 Monthly Work and Management Report 1 Monthly C.24.12
1 Report on progress, problems, schedule, and plans 1 Monthly C.24.12
2 Security Progress Report 1 Monthly C.24.12, C.22.4.1
3 Quality Assurance Report 1 Quarterly C.24.12, C.19.19
4 Contact Center Call Report 1 Monthly C.24.12, C.18.17
5 List of Third Party Software Developer Certifications 1 Monthly C.24.12, C.10.6.6.4
203 Notification to COTR of Problems, Errors, or Breach of Security 1 As Needed C.24.13
204 Contact Center Daily Report 1 Daily C.18.18
205 PC Reports 1 Weekly C.6.5
206 Quality Control Reports 1 Monthly C.20.15.1
207 System Performance Report 1 Monthly C.13.8.5, C.14.4.3
208 Large Plan Monthly Report 1 Monthly C.6.6
209 Listing of Government & Contractor Users with Credentials 1 Monthly C.10.3.4
210 Record Retrieval 1 As Needed C.9.2
211 Documentation replacement pages 1 As Needed C.24.16
212 Transmission of Structured Data Records to End Users
1 EBSA XML Return Transaction File 1 Daily C.15.3.4, Attachment E
2 EBSA Structured Return Transaction File 1 Daily C.15.3.4, Attachment E
3 IRS XML Return Transaction File 1 Daily C.15.3.4, Attachment E
4 IRS Structured Return Transaction File 1 Daily C.15.3.4, Attachment E
5 PBGC XML Return Transaction File 1 Weekly C.15.3.4, Attachment E
6 PBGC Structured Return Transaction File 1 Weekly C.15.3.4, Attachment E
7 PBGC Control File 1 Weekly C.15.3.4, Attachment E
8 EBSA Tracking Database snapshot 1 Monthly C.15.3.4, Attachment E
9 IRS Tracking Database snapshot 1 Monthly C.15.3.4, Attachment E
10 EBSA Annual XML Archive File 1 6/30/2010 C.16.3, Attachment E
11 EBSA Annual E-Mail Archive File 1 6/30/2010 C.16.3, C.18.9, Attachment E
213 Quality Assurance Plan 1 8/1/2009 C.19.18
214 Final Plan Year 2010 Form / Schedule Proofs
1 PDF Files 1 8/1/2009 C.17.3
2 Source Files 1 8/1/2009 C.17.3
215 Detailed System Design 1 8/1/2009 C.1.2.1.3
216 Configuration Management Plan 1 8/1/2009 C.25.8
217 System Security Plan 1 8/1/2009 C.22.4.2.1
218 Production Recruiting and Training Plan 1 8/15/2009 C.24.11
219 COOP Test Report -- Update I 1 9/1/2009 C.22.4.2.3
220 Quality Control Procedures Manual 1 10/1/2009 C.20.15.2
221 HW / SW Refresh Plan 1 10/1/2009 C.17.4
222 Implementation Plan 1 11/1/2009 C.21.3.2
223 Annual Requirements Analysis Report 1 11/1/2009 C.25.10
224 Contingency Plan (Continuity of Operations Plan) -- Update II
1 COOP 1 11/1/2009 C.22.4.2.3
2 Test Plan 1 11/1/2009 C.22.4.2.3
225 Operational Readiness Declaration
1 Checklist 1 11/1/2009 C.21.3.8
2 Certification 1 11/1/2009 C.21.3.9
226 SAT
1 Agency-specific distribution products 1 11/15/2009 E.8.3, E.8.5
2 Other SAT outputs 1 11/15/2009 E.8.1.3
227 Certification and Warranty 1 12/1/2009 H.12
228 IFILE Functional Specification 1 2/1/2010 C.10.5.14
D229 Draft IFILE / Test Filing Tool 1 1/15/2010
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 6 Section F, Page 10 of 28

SCHEDULE OF DELIVERABLES
Option Period II -- 7/01/2009 to 6/30/2010
Processing Year 2009 Operations, Rollover to Processing Year 2010
Num Item Description of Deliverable Quantity Due Date Section Reference
F229 IFILE / Test Filing Tool 1 3/1/2010 C.10.5.15
230 Requirements Traceability Matrix (RTM) 1 3/15/2010 C.25.9
231 IFILE User's Guide 1 3/15/2010 C.10.5.13
232 EFAST2 Guide for Filers & Service Providers 1 3/15/2010 C.10.6.4
233 Data Dissemination Service (DDS) User's Guide(s)
1 Public User Guide 1 3/15/2010 C.15.7
2 Government User Guide 1 3/15/2010 C.15.7
234 System Test Plan(s) 1 As Proposed C.21.3.1
235 System Test Report(s) 1 As Proposed C.21.3.3
236 Contact Center Operational Procedures Manual 1 4/15/2010 C.18.20
237 Service Level Agreement 1 4/15/2010 C.13.8.1
238 Software Developer Specification
1 Software Developer User's Guide and Specifications 1 4/15/2010 C.10.6.5
2 Transmission File Structure 1 4/15/2010 C.10.6.5
3 XML DER Vol 1 & 2 1 4/15/2010 C.10.6.5
239 Participant Acceptance Testing System (PATS) Package
1 PATS Application 1 4/15/2010 C.10.6.6.3
2 PATS Procedures and Certification Criteria 1 4/15/2010 C.10.6.6.3
3 PATS Test Filings 1 4/15/2010 C.10.6.6.3
240 Third Party Software Developer Conference Materials 1 4/15/2010 C.10.6.3
D241 Draft Security Risk Assessment 1 4/15/2010
F241 Security Risk Assessment 1 6/1/2010 C.22.4.2.2
D242 Draft System Documentation 1 4/15/2010
F242 System Documentation 1 6/1/2010 C.17.2
243 Operating Capacity Report
1 Current Operating Capacity 1 6/30/2010 C.13.8.3.1
2 System Sizing Analysis 1 6/30/2010 C.13.8.3.2
244 Benchmark Report 1 6/30/2010 C.13.8.4
245 Government End User Customer Satisfaction Survey 1 6/30/2010 C.20.16
246 Option Period II Disposition/Closeout Plan
1 Transition Plan 1 6/30/2010 C.24.14
2 Source Code 1 6/30/2010 C.24.14
3 Program materials, documentation, media, GFI, and equipment 1 6/30/2010 C.24.14
Other Key Option Period II Activities
Third Party Software Developer Conference C.10.6.3
Quarterly Quality Control Briefings C.20.7
Personnel Clearances C.22.3
Government Testing and Reviews E.8.2
Processing Compliance Reviews E.9
Systems Acceptance Test E.8.1.3
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 6 Section F, Page 11 of 28

SCHEDULE OF DELIVERABLES
Option Period III -- 7/01/2010 to 6/30/2011
Processing Year 2010 Operations, Rollover to Processing Year 2011
Num Item Description of Deliverable Quantity Due Date Section Reference
Processing Year 2010
7/1/2010 through 6/30/2011
D301 Draft Project Risk Management Plan 1 8/1/2010
F301 Project Risk Management Plan 1 9/15/2010 C.24.10
302 Monthly Work and Management Report 1 Monthly C.24.12
1 Report on progress, problems, schedule, and plans 1 Monthly C.24.12
2 Security Progress Report 1 Monthly C.24.12, C.22.4.1
3 Quality Assurance Report 1 Quarterly C.24.12, C.19.19
4 Contact Center Call Report 1 Monthly C.24.12, C.18.17
5 List of Third Party Software Developer Certifications 1 Monthly C.24.12, C.10.6.6.4
303 Notification to COTR of Problems, Errors, or Breach of Security 1 As Needed C.24.13
304 Contact Center Daily Report 1 Daily C.18.18
305 PC Reports 1 Weekly C.6.5
306 Quality Control Reports 1 Monthly C.20.15.1
307 System Performance Report 1 Monthly C.13.8.5, C.14.4.3
308 Large Plan Monthly Report 1 Monthly C.6.6
309 Listing of Government & Contractor Users with Credentials 1 Monthly C.10.3.4
310 Record Retrieval 1 As Needed C.9.2
311 Documentation replacement pages 1 As Needed C.24.16
312 Transmission of Structured Data Records to End Users
1 EBSA XML Return Transaction File 1 Daily C.15.3.4, Attachment E
2 EBSA Structured Return Transaction File 1 Daily C.15.3.4, Attachment E
3 IRS XML Return Transaction File 1 Daily C.15.3.4, Attachment E
4 IRS Structured Return Transaction File 1 Daily C.15.3.4, Attachment E
5 PBGC XML Return Transaction File 1 Weekly C.15.3.4, Attachment E
6 PBGC Structured Return Transaction File 1 Weekly C.15.3.4, Attachment E
7 PBGC Control File 1 Weekly C.15.3.4, Attachment E
8 EBSA Tracking Database snapshot 1 Monthly C.15.3.4, Attachment E
9 IRS Tracking Database snapshot 1 Monthly C.15.3.4, Attachment E
10 EBSA Annual XML Archive File 1 6/30/2011 C.16.3, Attachment E
11 EBSA Annual E-Mail Archive File 1 6/30/2011 C.16.3, C.18.9, Attachment E
313 Quality Assurance Plan 1 8/1/2010 C.19.18
314 Final Plan Year 2011 Form / Schedule Proofs
1 PDF Files 1 8/1/2010 C.17.3
2 Source Files 1 8/1/2010 C.17.3
315 Detailed System Design 1 8/1/2010 C.1.2.1.3
316 Configuration Management Plan 1 8/1/2010 C.25.8
317 System Security Plan 1 8/1/2010 C.22.4.2.1
318 Production Recruiting and Training Plan 1 8/15/2010 C.24.11
319 COOP Test Report -- Update II 1 9/1/2010 C.22.4.2.3
320 Quality Control Procedures Manual 1 10/1/2010 C.20.15.2
321 HW / SW Refresh Plan 1 10/1/2010 C.17.4
322 Implementation Plan 1 11/1/2010 C.21.3.2
323 Annual Requirements Analysis Report 1 11/1/2010 C.25.10
324 Contingency Plan (Continuity of Operations Plan) -- Update III
1 COOP 1 11/1/2010 C.22.4.2.3
2 Test Plan 1 11/1/2010 C.22.4.2.3
325 Operational Readiness Declaration
1 Checklist 1 11/1/2010 C.21.3.8
2 Certification 1 11/1/2010 C.21.3.9
326 SAT
1 Agency-specific distribution products 1 11/15/2010 E.8.3, E.8.5
2 Other SAT outputs 1 11/15/2010 E.8.1.3
327 Certification and Warranty 1 12/1/2010 H.12
328 IFILE Functional Specification 1 2/1/2011 C.10.5.14
D329 Draft IFILE / Test Filing Tool 1 1/15/2011
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 6 Section F, Page 12 of 28

SCHEDULE OF DELIVERABLES
Option Period III -- 7/01/2010 to 6/30/2011
Processing Year 2010 Operations, Rollover to Processing Year 2011
Num Item Description of Deliverable Quantity Due Date Section Reference
F329 IFILE / Test Filing Tool 1 3/1/2011 C.10.5.15
330 Requirements Traceability Matrix (RTM) 1 3/15/2011 C.25.9
331 IFILE User's Guide 1 3/15/2011 C.10.5.13
332 EFAST2 Guide for Filers & Service Providers 1 3/15/2011 C.10.6.4
333 Data Dissemination Service (DDS) User's Guide(s)
1 Public User Guide 1 3/15/2011 C.15.7
2 Government User Guide 1 3/15/2011 C.15.7
334 System Test Plan(s) 1 As Proposed C.21.3.1
335 System Test Report(s) 1 As Proposed C.21.3.3
336 Contact Center Operational Procedures Manual 1 4/15/2011 C.18.20
337 Service Level Agreement 1 4/15/2011 C.13.8.1
338 Software Developer Specification
1 Software Developer User's Guide and Specifications 1 4/15/2011 C.10.6.5
2 Transmission File Structure 1 4/15/2011 C.10.6.5
3 XML DER Vol 1 & 2 1 4/15/2011 C.10.6.5
339 Participant Acceptance Testing System (PATS) Package
1 PATS Application 1 4/15/2011 C.10.6.6.3
2 PATS Procedures and Certification Criteria 1 4/15/2011 C.10.6.6.3
3 PATS Test Filings 1 4/15/2011 C.10.6.6.3
340 Third Party Software Developer Conference Materials 1 4/15/2011 C.10.6.3
D341 Draft Security Risk Assessment 1 4/15/2011
F341 Security Risk Assessment 1 6/1/2011 C.22.4.2.2
D342 Draft System Documentation 1 4/15/2011
F342 System Documentation 1 6/1/2011 C.17.2
343 Operating Capacity Report
1 Current Operating Capacity 1 6/30/2011 C.13.8.3.1
2 System Sizing Analysis 1 6/30/2011 C.13.8.3.2
344 Benchmark Report 1 6/30/2011 C.13.8.4
345 Government End User Customer Satisfaction Survey 1 6/30/2011 C.20.16
346 Option Period III Disposition/Closeout Plan
1 Transition Plan 1 6/30/2011 C.24.14
2 Source Code 1 6/30/2011 C.24.14
3 Program materials, documentation, media, GFI, and equipment 1 6/30/2011 C.24.14
Other Key Option Period III Activities
Third Party Software Developer Conference C.10.6.3
Quarterly Quality Control Briefings C.20.7
Personnel Clearances C.22.3
Government Testing and Reviews E.8.2
Processing Compliance Reviews E.9
Systems Acceptance Test E.8.1.3
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 6 Section F, Page 13 of 28

SCHEDULE OF DELIVERABLES
Option Period IV -- 7/01/2011 to 6/30/2012
Processing Year 2011 Operations, Rollover to Processing Year 2012
Num Item Description of Deliverable Quantity Due Date Section Reference
Processing Year 2011
7/1/2011 through 6/30/2012
D401 Draft Project Risk Management Plan 1 8/1/2011
F401 Project Risk Management Plan 1 9/15/2011 C.24.10
402 Monthly Work and Management Report 1 Monthly C.24.12
1 Report on progress, problems, schedule, and plans 1 Monthly C.24.12
2 Security Progress Report 1 Monthly C.24.12, C.22.4.1
3 Quality Assurance Report 1 Quarterly C.24.12, C.19.19
4 Contact Center Call Report 1 Monthly C.24.12, C.18.17
5 List of Third Party Software Developer Certifications 1 Monthly C.24.12, C.10.6.6.4
403 Notification to COTR of Problems, Errors, or Breach of Security 1 As Needed C.24.13
404 Contact Center Daily Report 1 Daily C.18.18
405 PC Reports 1 Weekly C.6.5
406 Quality Control Reports 1 Monthly C.20.15.1
407 System Performance Report 1 Monthly C.13.8.5, C.14.4.3
408 Large Plan Monthly Report 1 Monthly C.6.6
409 Listing of Government & Contractor Users with Credentials 1 Monthly C.10.3.4
410 Record Retrieval 1 As Needed C.9.2
411 Documentation replacement pages 1 As Needed C.24.16
412 Transmission of Structured Data Records to End Users
1 EBSA XML Return Transaction File 1 Daily C.15.3.4, Attachment E
2 EBSA Structured Return Transaction File 1 Daily C.15.3.4, Attachment E
3 IRS XML Return Transaction File 1 Daily C.15.3.4, Attachment E
4 IRS Structured Return Transaction File 1 Daily C.15.3.4, Attachment E
5 PBGC XML Return Transaction File 1 Weekly C.15.3.4, Attachment E
6 PBGC Structured Return Transaction File 1 Weekly C.15.3.4, Attachment E
7 PBGC Control File 1 Weekly C.15.3.4, Attachment E
8 EBSA Tracking Database snapshot 1 Monthly C.15.3.4, Attachment E
9 IRS Tracking Database snapsho 1 Monthly C.15.3.4, Attachment E
10 EBSA Annual XML Archive File 1 6/30/2012 C.16.3, Attachment E
11 EBSA Annual E-Mail Archive File 1 6/30/2012 C.16.3, C.18.9, Attachment E
413 Quality Assurance Plan 1 8/1/2011 C.19.18
414 Final Plan Year 2012 Form / Schedule Proofs
1 PDF Files 1 8/1/2011 C.17.3
2 Source Files 1 8/1/2011 C.17.3
415 Detailed System Design 1 8/1/2011 C.1.2.1.3
416 Configuration Management Plan 1 8/1/2011 C.25.8
417 System Security Plan 1 8/1/2011 C.22.4.2.1
418 Production Recruiting and Training Plan 1 8/15/2011 C.24.11
419 COOP Test Report -- Update III 1 9/1/2011 C.22.4.2.3
420 Quality Control Procedures Manual 1 10/1/2011 C.20.15.2
421 HW / SW Refresh Plan 1 10/1/2011 C.17.4
422 Implementation Plan 1 11/1/2011 C.21.3.2
423 Annual Requirements Analysis Report 1 11/1/2011 C.25.10
424 Contingency Plan (Continuity of Operations Plan) -- Update IV
1 COOP 1 11/1/2011 C.22.4.2.3
2 Test Plan 1 11/1/2011 C.22.4.2.3
425 Operational Readiness Declaration
1 Checklist 1 11/1/2011 C.21.3.8
2 Certification 1 11/1/2011 C.21.3.9
426 SAT
1 Agency-specific distribution products 1 11/15/2011 E.8.3, E.8.5
2 Other SAT outputs 1 11/15/2011 E.8.1.3
427 Certification and Warranty 1 12/1/2011 H.12
428 IFILE Functional Specification 1 2/1/2012 C.10.5.14
D429 Draft IFILE / Test Filing Tool 1 1/15/2012
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 6 Section F, Page 14 of 28

SCHEDULE OF DELIVERABLES
Option Period IV -- 7/01/2011 to 6/30/2012
Processing Year 2011 Operations, Rollover to Processing Year 2012
Num Item Description of Deliverable Quantity Due Date Section Reference
F429 IFILE / Test Filing Tool 1 3/1/2012 C.10.5.15
430 Requirements Traceability Matrix (RTM) 1 3/15/2012 C.25.9
431 IFILE User's Guide 1 3/15/2012 C.10.5.13
432 EFAST2 Guide for Filers & Service Providers 1 3/15/2012 C.10.6.4
433 Data Dissemination Service (DDS) User's Guide(s)
1 Public User Guide 1 3/15/2012 C.15.7
2 Government User Guide 1 3/15/2012 C.15.7
434 System Test Plan(s) 1 As Proposed C.21.3.1
435 System Test Report(s) 1 As Proposed C.21.3.3
436 Contact Center Operational Procedures Manual 1 4/15/2012 C.18.20
437 Service Level Agreement 1 4/15/2012 C.13.8.1
438 Software Developer Specification
1 Software Developer User's Guide and Specifications 1 4/15/2012 C.10.6.5
2 Transmission File Structure 1 4/15/2012 C.10.6.5
3 XML DER Vol 1 & 2 1 4/15/2012 C.10.6.5
439 Participant Acceptance Testing System (PATS) Package
1 PATS Application 1 4/15/2012 C.10.6.6.3
2 PATS Procedures and Certification Criteria 1 4/15/2012 C.10.6.6.3
3 PATS Test Filings 1 4/15/2012 C.10.6.6.3
440 Third Party Software Developer Conference Materials 1 4/15/2012 C.10.6.3
D441 Draft Security Risk Assessment 1 4/15/2012
F441 Security Risk Assessment 1 6/1/2012 C.22.4.2.2
D442 Draft System Documentation 1 4/15/2012
F442 System Documentation 1 6/1/2012 C.17.2
443 Operating Capacity Report
1 Current Operating Capacity 1 6/30/2012 C.13.8.3.1
2 System Sizing Analysis 1 6/30/2012 C.13.8.3.2
444 Benchmark Report 1 6/30/2012 C.13.8.4
445 Government End User Customer Satisfaction Survey 1 6/30/2012 C.20.16
446 Option Period IV Disposition/Closeout Plan
1 Transition Plan 1 6/30/2012 C.24.14
2 Source Code 1 6/30/2012 C.24.14
3 Program materials, documentation, media, GFI, and equipment 1 6/30/2012 C.24.14
Other Key Option Period IV Activities
Third Party Software Developer Conference C.10.6.3
Quarterly Quality Control Briefings C.20.7
Personnel Clearances C.22.3
Government Testing and Reviews E.8.2
Processing Compliance Reviews E.9
Systems Acceptance Test E.8.1.3
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 6 Section F, Page 15 of 28

SCHEDULE OF DELIVERABLES
Option Period V -- 7/01/2012 to 6/30/2013
Processing Year 2012 Operations, Rollover to Processing Year 2013
Num Item Description of Deliverable Quantity Due Date Section Reference
Processing Year 2012
7/1/2012 through 6/30/2013
D501 Draft Project Risk Management Plan 1 8/1/2012
F501 Project Risk Management Plan 1 9/15/2012 C.24.10
502 Monthly Work and Management Report 1 Monthly C.24.12
1 Report on progress, problems, schedule, and plans 1 Monthly C.24.12
2 Security Progress Report 1 Monthly C.24.12, C.22.4.1
3 Quality Assurance Report 1 Quarterly C.24.12, C.19.19
4 Contact Center Call Report 1 Monthly C.24.12, C.18.17
5 List of Third Party Software Developer Certifications 1 Monthly C.24.12, C.10.6.6.4
503 Notification to COTR of Problems, Errors, or Breach of Security 1 As Needed C.24.13
504 Contact Center Daily Report 1 Daily C.18.18
505 PC Reports 1 Weekly C.6.5
506 Quality Control Reports 1 Monthly C.20.15.1
507 System Performance Report 1 Monthly C.13.8.5, C.14.4.3
508 Large Plan Monthly Report 1 Monthly C.6.6
509 Listing of Government & Contractor Users with Credentials 1 Monthly C.10.3.4
510 Record Retrieval 1 As Needed C.9.2
511 Documentation replacement pages 1 As Needed C.24.16
512 Transmission of Structured Data Records to End Users
1 EBSA XML Return Transaction File 1 Daily C.15.3.4, Attachment E
2 EBSA Structured Return Transaction File 1 Daily C.15.3.4, Attachment E
3 IRS XML Return Transaction File 1 Daily C.15.3.4, Attachment E
4 IRS Structured Return Transaction File 1 Daily C.15.3.4, Attachment E
5 PBGC XML Return Transaction File 1 Weekly C.15.3.4, Attachment E
6 PBGC Structured Return Transaction File 1 Weekly C.15.3.4, Attachment E
7 PBGC Control File 1 Weekly C.15.3.4, Attachment E
8 EBSA Tracking Database snapshot 1 Monthly C.15.3.4, Attachment E
9 IRS Tracking Database snapshot 1 Monthly C.15.3.4, Attachment E
10 EBSA Annual XML Archive File 1 6/30/2013 C.16.3, Attachment E
11 EBSA Annual E-Mail Archive File 1 6/30/2013 C.16.3, C.18.9, Attachment E
513 Quality Assurance Plan 1 8/1/2012 C.19.18
514 Final Plan Year 2013 Form / Schedule Proofs
1 PDF Files 1 8/1/2012 C.17.3
2 Source Files 1 8/1/2012 C.17.3
515 Detailed System Design 1 8/1/2012 C.1.2.1.3
516 Configuration Management Plan 1 8/1/2012 C.25.8
517 System Security Plan 1 8/1/2012 C.22.4.2.1
518 Production Recruiting and Training Plan 1 8/15/2012 C.24.11
519 COOP Test Report -- Update IV 1 9/1/2012 C.22.4.2.3
520 Quality Control Procedures Manual 1 10/1/2012 C.20.15.2
521 HW / SW Refresh Plan 1 10/1/2012 C.17.4
522 Implementation Plan 1 11/1/2012 C.21.3.2
523 Annual Requirements Analysis Report 1 11/1/2012 C.25.10
524 Contingency Plan (Continuity of Operations Plan) -- Update V
1 COOP 1 11/1/2012 C.22.4.2.3
2 Test Plan 1 11/1/2012 C.22.4.2.3
525 Operational Readiness Declaration
1 Checklist 1 11/1/2012 C.21.3.8
2 Certification 1 11/1/2012 C.21.3.9
526 SAT
1 Agency-specific distribution products 1 11/15/2012 E.8.3, E.8.5
2 Other SAT outputs 1 11/15/2012 E.8.1.3
527 Certification and Warranty 1 12/1/2012 H.12
528 IFILE Functional Specification 1 2/1/2013 C.10.5.14
D529 Draft IFILE / Test Filing Tool 1 1/15/2013
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 6 Section F, Page 16 of 28

SCHEDULE OF DELIVERABLES
Option Period V -- 7/01/2012 to 6/30/2013
Processing Year 2012 Operations, Rollover to Processing Year 2013
Num Item Description of Deliverable Quantity Due Date Section Reference
F529 IFILE / Test Filing Tool 1 3/1/2013 C.10.5.15
530 Requirements Traceability Matrix (RTM) 1 3/15/2013 C.25.9
531 IFILE User's Guide 1 3/15/2013 C.10.5.13
532 EFAST2 Guide for Filers & Service Providers 1 3/15/2013 C.10.6.4
533 Data Dissemination Service (DDS) User's Guide(s)
1 Public User Guide 1 3/15/2013 C.15.7
2 Government User Guide 1 3/15/2013 C.15.7
534 System Test Plan(s) 1 As Proposed C.21.3.1
535 System Test Report(s) 1 As Proposed C.21.3.3
536 Contact Center Operational Procedures Manual 1 4/15/2013 C.18.20
537 Service Level Agreement 1 4/15/2013 C.13.8.1
538 Software Developer Specification
1 Software Developer User's Guide and Specifications 1 4/15/2013 C.10.6.5
2 Transmission File Structure 1 4/15/2013 C.10.6.5
3 XML DER Vol 1 & 2 1 4/15/2013 C.10.6.5
539 Participant Acceptance Testing System (PATS) Package
1 PATS Application 1 4/15/2013 C.10.6.6.3
2 PATS Procedures and Certification Criteria 1 4/15/2013 C.10.6.6.3
3 PATS Test Filings 1 4/15/2013 C.10.6.6.3
540 Third Party Software Developer Conference Materials 1 4/15/2013 C.10.6.3
D541 Draft Security Risk Assessment 1 4/15/2013
F541 Security Risk Assessment 1 6/1/2013 C.22.4.2.2
D542 Draft System Documentation 1 4/15/2013
F542 System Documentation 1 6/1/2013 C.17.2
543 Operating Capacity Report
1 Current Operating Capacity 1 6/30/2013 C.13.8.3.1
2 System Sizing Analysis 1 6/30/2013 C.13.8.3.2
544 Benchmark Report 1 6/30/2013 C.13.8.4
545 Government End User Customer Satisfaction Survey 1 6/30/2013 C.20.16
546 Option Period V Disposition/Closeout Plan
1 Transition Plan 1 6/30/2013 C.24.14
2 Source Code 1 6/30/2013 C.24.14
3 Program materials, documentation, media, GFI, and equipment 1 6/30/2013 C.24.14
Other Key Option Period V Activities
Third Party Software Developer Conference C.10.6.3
Quarterly Quality Control Briefings C.20.7
Personnel Clearances C.22.3
Government Testing and Reviews E.8.2
Processing Compliance Reviews E.9
Systems Acceptance Test E.8.1.3
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 6 Section F, Page 17 of 28

SCHEDULE OF DELIVERABLES
Option Period VI -- 7/01/2013 to 6/30/2014
Processing Year 2013 Operations, Rollover to Processing Year 2014
Num Item Description of Deliverable Quantity Due Date Section Reference
Processing Year 2013
7/1/2013 through 6/30/2014
D601 Draft Project Risk Management Plan 1 8/1/2013
F601 Project Risk Management Plan 1 9/15/2013 C.24.10
602 Monthly Work and Management Report 1 Monthly C.24.12
1 Report on progress, problems, schedule, and plans 1 Monthly C.24.12
2 Security Progress Report 1 Monthly C.24.12, C.22.4.1
3 Quality Assurance Report 1 Quarterly C.24.12, C.19.19
4 Contact Center Call Report 1 Monthly C.24.12, C.18.17
5 List of Third Party Software Developer Certifications 1 Monthly C.24.12, C.10.6.6.4
603 Notification to COTR of Problems, Errors, or Breach of Security 1 As Needed C.24.13
604 Contact Center Daily Report 1 Daily C.18.18
605 PC Reports 1 Weekly C.6.5
606 Quality Control Reports 1 Monthly C.20.15.1
607 System Performance Report 1 Monthly C.13.8.5, C.14.4.3
608 Large Plan Monthly Report 1 Monthly C.6.6
609 Listing of Government & Contractor Users with Credentials 1 Monthly C.10.3.4
610 Record Retrieval 1 As Needed C.9.2
611 Documentation replacement pages 1 As Needed C.24.16
612 Transmission of Structured Data Records to End Users
1 EBSA XML Return Transaction File 1 Daily C.15.3.4, Attachment E
2 EBSA Structured Return Transaction File 1 Daily C.15.3.4, Attachment E
3 IRS XML Return Transaction File 1 Daily C.15.3.4, Attachment E
4 IRS Structured Return Transaction File 1 Daily C.15.3.4, Attachment E
5 PBGC XML Return Transaction File 1 Weekly C.15.3.4, Attachment E
6 PBGC Structured Return Transaction File 1 Weekly C.15.3.4, Attachment E
7 PBGC Control File 1 Weekly C.15.3.4, Attachment E
8 EBSA Tracking Database snapshot 1 Monthly C.15.3.4, Attachment E
9 IRS Tracking Database snapshot 1 Monthly C.15.3.4, Attachment E
10 EBSA Annual XML Archive File 1 6/30/2014 C.16.3, Attachment E
11 EBSA Annual E-Mail Archive File 1 6/30/2014 C.16.3, C.18.9, Attachment E
613 Quality Assurance Plan 1 8/1/2013 C.19.18
614 Final Plan Year 2014 Form / Schedule Proofs
1 PDF Files 1 8/1/2013 C.17.3
2 Source Files 1 8/1/2013 C.17.3
615 Detailed System Design 1 8/1/2013 C.1.2.1.3
616 Configuration Management Plan 1 8/1/2013 C.25.8
617 System Security Plan 1 8/1/2013 C.22.4.2.1
618 Production Recruiting and Training Plan 1 8/15/2013 C.24.11
619 COOP Test Report -- Update V 1 9/1/2013 C.22.4.2.3
620 Quality Control Procedures Manual 1 10/1/2013 C.20.15.2
621 HW / SW Refresh Plan 1 10/1/2013 C.17.4
622 Implementation Plan 1 11/1/2013 C.21.3.2
623 Annual Requirements Analysis Report 1 11/1/2013 C.25.10
624 Contingency Plan (Continuity of Operations Plan) -- Update VI
1 COOP 1 11/1/2013 C.22.4.2.3
2 Test Plan 1 11/1/2013 C.22.4.2.3
625 Operational Readiness Declaration
1 Checklist 1 11/1/2013 C.21.3.8
2 Certification 1 11/1/2013 C.21.3.9
626 SAT
1 Agency-specific distribution products 1 11/15/2013 E.8.3, E.8.5
2 Other SAT outputs 1 11/15/2013 E.8.1.3
627 Certification and Warranty 1 12/1/2013 H.12
628 IFILE Functional Specification 1 2/1/2014 C.10.5.14
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 6 Section F, Page 18 of 28

SCHEDULE OF DELIVERABLES
Option Period VI -- 7/01/2013 to 6/30/2014
Processing Year 2013 Operations, Rollover to Processing Year 2014
Num Item Description of Deliverable Quantity Due Date Section Reference
D629 Draft IFILE / Test Filing Tool 1 1/15/2014
F629 IFILE / Test Filing Tool 1 3/1/2014 C.10.5.15
630 Requirements Traceability Matrix (RTM) 1 3/15/2014 C.25.9
631 IFILE User's Guide 1 3/15/2014 C.10.5.13
632 EFAST2 Guide for Filers & Service Providers 1 3/15/2014 C.10.6.4
633 Data Dissemination Service (DDS) User's Guide(s)
1 Public User Guide 1 3/15/2014 C.15.7
2 Government User Guide 1 3/15/2014 C.15.7
634 System Test Plan(s) 1 As Proposed C.21.3.1
635 System Test Report(s) 1 As Proposed C.21.3.3
636 Contact Center Operational Procedures Manual 1 4/15/2014 C.18.20
637 Service Level Agreement 1 4/15/2014 C.13.8.1
638 Software Developer Specification
1 Software Developer User's Guide and Specifications 1 4/15/2014 C.10.6.5
2 Transmission File Structure 1 4/15/2014 C.10.6.5
3 XML DER Vol 1 & 2 1 4/15/2014 C.10.6.5
639 Participant Acceptance Testing System (PATS) Package
1 PATS Application 1 4/15/2014 C.10.6.6.3
2 PATS Procedures and Certification Criteria 1 4/15/2014 C.10.6.6.3
3 PATS Test Filings 1 4/15/2014 C.10.6.6.3
640 Third Party Software Developer Conference Materials 1 4/15/2014 C.10.6.3
D641 Draft Security Risk Assessment 1 4/15/2014
F641 Security Risk Assessment 1 6/1/2014 C.22.4.2.2
D642 Draft System Documentation 1 4/15/2014
F642 System Documentation 1 6/1/2014 C.17.2
643 Operating Capacity Report
1 Current Operating Capacity 1 6/30/2014 C.13.8.3.1
2 System Sizing Analysis 1 6/30/2014 C.13.8.3.2
644 Benchmark Report 1 6/30/2014 C.13.8.4
645 Government End User Customer Satisfaction Survey 1 6/30/2014 C.20.16
646 Option Period VI Disposition/Closeout Plan
1 Transition Plan 1 6/30/2014 C.24.14
2 Source Code 1 6/30/2014 C.24.14
3 Program materials, documentation, media, GFI, and equipment 1 6/30/2014 C.24.14
Other Key Option Period VI Activities
Third Party Software Developer Conference C.10.6.3
Quarterly Quality Control Briefings C.20.7
Personnel Clearances C.22.3
Government Testing and Reviews E.8.2
Processing Compliance Reviews E.9
Systems Acceptance Test E.8.1.3
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 6 Section F, Page 19 of 28

SCHEDULE OF DELIVERABLES
Option Period VII -- 7/01/2014 to 6/30/2015
Processing Year 2014 Operations, Rollover to Processing Year 2015
Num Item Description of Deliverable Quantity Due Date Section Reference
Processing Year 2014
7/1/2014 through 6/30/2015
D701 Draft Project Risk Management Plan 1 8/1/2014
F701 Project Risk Management Plan 1 9/15/2014 C.24.10
702 Monthly Work and Management Report 1 Monthly C.24.12
1 Report on progress, problems, schedule, and plans 1 Monthly C.24.12
2 Security Progress Report 1 Monthly C.24.12, C.22.4.1
3 Quality Assurance Report 1 Quarterly C.24.12, C.19.19
4 Contact Center Call Report 1 Monthly C.24.12, C.18.17
5 List of Third Party Software Developer Certifications 1 Monthly C.24.12, C.10.6.6.4
703 Notification to COTR of Problems, Errors, or Breach of Security 1 As Needed C.24.13
704 Contact Center Daily Report 1 Daily C.18.18
705 PC Reports 1 Weekly C.6.5
706 Quality Control Reports 1 Monthly C.20.15.1
707 System Performance Report 1 Monthly C.13.8.5, C.14.4.3
708 Large Plan Monthly Report 1 Monthly C.6.6
709 Listing of Government & Contractor Users with Credentials 1 Monthly C.10.3.4
710 Record Retrieval 1 As Needed C.9.2
711 Documentation replacement pages 1 As Needed C.24.16
712 Transmission of Structured Data Records to End Users
1 EBSA XML Return Transaction File 1 Daily C.15.3.4, Attachment E
2 EBSA Structured Return Transaction File 1 Daily C.15.3.4, Attachment E
3 IRS XML Return Transaction File 1 Daily C.15.3.4, Attachment E
4 IRS Structured Return Transaction File 1 Daily C.15.3.4, Attachment E
5 PBGC XML Return Transaction File 1 Weekly C.15.3.4, Attachment E
6 PBGC Structured Return Transaction File 1 Weekly C.15.3.4, Attachment E
7 PBGC Control File 1 Weekly C.15.3.4, Attachment E
8 EBSA Tracking Database snapshot 1 Monthly C.15.3.4, Attachment E
9 IRS Tracking Database snapshot 1 Monthly C.15.3.4, Attachment E
10 EBSA Annual XML Archive File 1 6/30/2015 C.16.3, Attachment E
11 EBSA Annual E-Mail Archive File 1 6/30/2015 C.16.3, C.18.9, Attachment E
713 Quality Assurance Plan 1 8/1/2014 C.19.18
714 Final Plan Year 2015 Form / Schedule Proofs
1 PDF Files 1 8/1/2014 C.17.3
2 Source Files 1 8/1/2014 C.17.3
715 Detailed System Design 1 8/1/2014 C.1.2.1.3
716 Configuration Management Plan 1 8/1/2014 C.25.8
717 System Security Plan 1 8/1/2014 C.22.4.2.1
718 Production Recruiting and Training Plan 1 8/15/2014 C.24.11
719 COOP Test Report -- Update VI 1 9/1/2014 C.22.4.2.3
720 Quality Control Procedures Manual 1 10/1/2014 C.20.15.2
721 HW / SW Refresh Plan 1 10/1/2014 C.17.4
722 Implementation Plan 1 11/1/2014 C.21.3.2
723 Annual Requirements Analysis Report 1 11/1/2014 C.25.10
724 Contingency Plan (Continuity of Operations Plan) -- Update VII
1 COOP 1 11/1/2014 C.22.4.2.3
2 Test Plan 1 11/1/2014 C.22.4.2.3
725 Operational Readiness Declaration
1 Checklist 1 11/1/2014 C.21.3.8
2 Certification 1 11/1/2014 C.21.3.9
726 SAT
1 Agency-specific distribution products 1 11/15/2014 E.8.3, E.8.5
2 Other SAT outputs 1 11/15/2014 E.8.1.3
727 Certification and Warranty 1 12/1/2014 H.12
728 IFILE Functional Specification 1 2/1/2015 C.10.5.14
D729 Draft IFILE / Test Filing Tool 1 1/15/2015
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 6 Section F, Page 20 of 28

SCHEDULE OF DELIVERABLES
Option Period VII -- 7/01/2014 to 6/30/2015
Processing Year 2014 Operations, Rollover to Processing Year 2015
Num Item Description of Deliverable Quantity Due Date Section Reference
F729 IFILE / Test Filing Tool 1 3/1/2015 C.10.5.15
730 Requirements Traceability Matrix (RTM) 1 3/15/2015 C.25.9
731 IFILE User's Guide 1 3/15/2015 C.10.5.13
732 EFAST2 Guide for Filers & Service Providers 1 3/15/2015 C.10.6.4
733 Data Dissemination Service (DDS) User's Guide(s)
1 Public User Guide 1 3/15/2015 C.15.7
2 Government User Guide 1 3/15/2015 C.15.7
734 System Test Plan(s) 1 As Proposed C.21.3.1
735 System Test Report(s) 1 As Proposed C.21.3.3
736 Contact Center Operational Procedures Manual 1 4/15/2015 C.18.20
737 Service Level Agreement 1 4/15/2015 C.13.8.1
738 Software Developer Specification
1 Software Developer User's Guide and Specifications 1 4/15/2015 C.10.6.5
2 Transmission File Structure 1 4/15/2015 C.10.6.5
3 XML DER Vol 1 & 2 1 4/15/2015 C.10.6.5
739 Participant Acceptance Testing System (PATS) Package
1 PATS Application 1 4/15/2015 C.10.6.6.3
2 PATS Procedures and Certification Criteria 1 4/15/2015 C.10.6.6.3
3 PATS Test Filings 1 4/15/2015 C.10.6.6.3
740 Third Party Software Developer Conference Materials 1 4/15/2015 C.10.6.3
D741 Draft Security Risk Assessment 1 4/15/2015
F741 Security Risk Assessment 1 6/1/2015 C.22.4.2.2
D742 Draft System Documentation 1 4/15/2015
F742 System Documentation 1 6/1/2015 C.17.2
743 Operating Capacity Report
1 Current Operating Capacity 1 6/30/2015 C.13.8.3.1
2 System Sizing Analysis 1 6/30/2015 C.13.8.3.2
744 Benchmark Report 1 6/30/2015 C.13.8.4
745 Government End User Customer Satisfaction Survey 1 6/30/2015 C.20.16
746 Option Period VII Disposition/Closeout Plan
1 Transition Plan 1 6/30/2015 C.24.14
2 Source Code 1 6/30/2015 C.24.14
3 Program materials, documentation, media, GFI, and equipment 1 6/30/2015 C.24.14
Other Key Option Period VII Activities
Third Party Software Developer Conference C.10.6.3
Quarterly Quality Control Briefings C.20.7
Personnel Clearances C.22.3
Government Testing and Reviews E.8.2
Processing Compliance Reviews E.9
Systems Acceptance Test E.8.1.3
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 6 Section F, Page 21 of 28

SCHEDULE OF DELIVERABLES
Option Period VIII -- 7/01/2015 to 6/30/2016
Processing Year 2015 Operations, Rollover to Processing Year 2016
Num Item Description of Deliverable Quantity Due Date Section Reference
Processing Year 2015
7/1/2015 through 6/30/2016
D801 Draft Project Risk Management Plan 1 8/1/2015
F801 Project Risk Management Plan 1 9/15/2015 C.24.10
802 Monthly Work and Management Report 1 Monthly C.24.12
1 Report on progress, problems, schedule, and plans 1 Monthly C.24.12
2 Security Progress Report 1 Monthly C.24.12, C.22.4.1
3 Quality Assurance Report 1 Quarterly C.24.12, C.19.19
4 Contact Center Call Report 1 Monthly C.24.12, C.18.17
5 List of Third Party Software Developer Certifications 1 Monthly C.24.12, C.10.6.6.4
803 Notification to COTR of Problems, Errors, or Breach of Security 1 As Needed C.24.13
804 Contact Center Daily Report 1 Daily C.18.18
805 PC Reports 1 Weekly C.6.5
806 Quality Control Reports 1 Monthly C.20.15.1
807 System Performance Report 1 Monthly C.13.8.5, C.14.4.3
808 Large Plan Monthly Report 1 Monthly C.6.6
809 Listing of Government & Contractor Users with Credentials 1 Monthly C.10.3.4
810 Record Retrieval 1 As Needed C.9.2
811 Documentation replacement pages 1 As Needed C.24.16
812 Transmission of Structured Data Records to End Users
1 EBSA XML Return Transaction File 1 Daily C.15.3.4, Attachment E
2 EBSA Structured Return Transaction File 1 Daily C.15.3.4, Attachment E
3 IRS XML Return Transaction File 1 Daily C.15.3.4, Attachment E
4 IRS Structured Return Transaction File 1 Daily C.15.3.4, Attachment E
5 PBGC XML Return Transaction File 1 Weekly C.15.3.4, Attachment E
6 PBGC Structured Return Transaction File 1 Weekly C.15.3.4, Attachment E
7 PBGC Control File 1 Weekly C.15.3.4, Attachment E
8 EBSA Tracking Database snapshot 1 Monthly C.15.3.4, Attachment E
9 IRS Tracking Database snapshot 1 Monthly C.15.3.4, Attachment E
10 EBSA Annual XML Archive File 1 6/30/2016 C.16.3, Attachment E
11 EBSA Annual E-Mail Archive File 1 6/30/2016 C.16.3, C.18.9, Attachment E
813 Quality Assurance Plan 1 8/1/2015 C.19.18
814 Final Plan Year 2016 Form / Schedule Proofs
1 PDF Files 1 8/1/2015 C.17.3
2 Source Files 1 8/1/2015 C.17.3
815 Detailed System Design 1 8/1/2015 C.1.2.1.3
816 Configuration Management Plan 1 8/1/2015 C.25.8
817 System Security Plan 1 8/1/2015 C.22.4.2.1
818 Production Recruiting and Training Plan 1 8/15/2015 C.24.11
819 COOP Test Report -- Update VII 1 9/1/2015 C.22.4.2.3
820 Quality Control Procedures Manual 1 10/1/2015 C.20.15.2
821 HW / SW Refresh Plan 1 10/1/2015 C.17.4
822 Implementation Plan 1 11/1/2015 C.21.3.2
823 Annual Requirements Analysis Report 1 11/1/2015 C.25.10
824 Contingency Plan (Continuity of Operations Plan) -- Update VIII
1 COOP 1 11/1/2015 C.22.4.2.3
2 Test Plan 1 11/1/2015 C.22.4.2.3
825 Operational Readiness Declaration
1 Checklist 1 11/1/2015 C.21.3.8
2 Certification 1 11/1/2015 C.21.3.9
826 SAT
1 Agency-specific distribution products 1 11/15/2015 E.8.3, E.8.5
2 Other SAT outputs 1 11/15/2015 E.8.1.3
827 Certification and Warranty 1 12/1/2015 H.12
828 IFILE Functional Specification 1 2/1/2016 C.10.5.14
D829 Draft IFILE / Test Filing Tool 1 1/15/2016
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 6 Section F, Page 22 of 28

SCHEDULE OF DELIVERABLES
Option Period VIII -- 7/01/2015 to 6/30/2016
Processing Year 2015 Operations, Rollover to Processing Year 2016
Num Item Description of Deliverable Quantity Due Date Section Reference
F829 IFILE / Test Filing Tool 1 3/1/2016 C.10.5.15
830 Requirements Traceability Matrix (RTM) 1 3/15/2016 C.25.9
831 IFILE User's Guide 1 3/15/2016 C.10.5.13
832 EFAST2 Guide for Filers & Service Providers 1 3/15/2016 C.10.6.4
833 Data Dissemination Service (DDS) User's Guide(s)
1 Public User Guide 1 3/15/2016 C.15.7
2 Government User Guide 1 3/15/2016 C.15.7
834 System Test Plan(s) 1 As Proposed C.21.3.1
835 System Test Report(s) 1 As Proposed C.21.3.3
836 Contact Center Operational Procedures Manual 1 4/15/2016 C.18.20
837 Service Level Agreement 1 4/15/2016 C.13.8.1
838 Software Developer Specification
1 Software Developer User's Guide and Specifications 1 4/15/2016 C.10.6.5
2 Transmission File Structure 1 4/15/2016 C.10.6.5
3 XML DER Vol 1 & 2 1 4/15/2016 C.10.6.5
839 Participant Acceptance Testing System (PATS) Package
1 PATS Application 1 4/15/2016 C.10.6.6.3
2 PATS Procedures and Certification Criteria 1 4/15/2016 C.10.6.6.3
3 PATS Test Filings 1 4/15/2016 C.10.6.6.3
840 Third Party Software Developer Conference Materials 1 4/15/2016 C.10.6.3
D841 Draft Security Risk Assessment 1 4/15/2016
F841 Security Risk Assessment 1 6/1/2016 C.22.4.2.2
D842 Draft System Documentation 1 4/15/2016
F842 System Documentation 1 6/1/2016 C.17.2
843 Operating Capacity Report
1 Current Operating Capacity 1 6/30/2016 C.13.8.3.1
2 System Sizing Analysis 1 6/30/2016 C.13.8.3.2
844 Benchmark Report 1 6/30/2016 C.13.8.4
845 Government End User Customer Satisfaction Survey 1 6/30/2016 C.20.16
846 Option Period VIII Disposition/Closeout Plan
1 Transition Plan 1 6/30/2016 C.24.14
2 Source Code 1 6/30/2016 C.24.14
3 Program materials, documentation, media, GFI, and equipment 1 6/30/2016 C.24.14
Other Key Option Period VIII Activities
Third Party Software Developer Conference C.10.6.3
Quarterly Quality Control Briefings C.20.7
Personnel Clearances C.22.3
Government Testing and Reviews E.8.2
Processing Compliance Reviews E.9
Systems Acceptance Test E.8.1.3
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 6 Section F, Page 23 of 28

SCHEDULE OF DELIVERABLES
Option Period IX -- 7/01/2016 to 6/30/2017
Processing Year 2016 Operations, Rollover to Processing Year 2017
Num Item Description of Deliverable Quantity Due Date Section Reference
Processing Year 2016
7/1/2016 through 6/30/2017
D901 Draft Project Risk Management Plan 1 8/1/2016
F901 Project Risk Management Plan 1 9/15/2016 C.24.10
902 Monthly Work and Management Report 1 Monthly C.24.12
1 Report on progress, problems, schedule, and plans 1 Monthly C.24.12
2 Security Progress Report 1 Monthly C.24.12, C.22.4.1
3 Quality Assurance Report 1 Quarterly C.24.12, C.19.19
4 Contact Center Call Report 1 Monthly C.24.12, C.18.17
5 List of Third Party Software Developer Certifications 1 Monthly C.24.12, C.10.6.6.4
903 Notification to COTR of Problems, Errors, or Breach of Security 1 As Needed C.24.13
904 Contact Center Daily Report 1 Daily C.18.18
905 PC Reports 1 Weekly C.6.5
906 Quality Control Reports 1 Monthly C.20.15.1
907 System Performance Report 1 Monthly C.13.8.5, C.14.4.3
908 Large Plan Monthly Report 1 Monthly C.6.6
909 Listing of Government & Contractor Users with Credentials 1 Monthly C.10.3.4
910 Record Retrieval 1 As Needed C.9.2
911 Documentation replacement pages 1 As Needed C.24.16
912 Transmission of Structured Data Records to End Users
1 EBSA XML Return Transaction File 1 Daily C.15.3.4, Attachment E
2 EBSA Structured Return Transaction File 1 Daily C.15.3.4, Attachment E
3 IRS XML Return Transaction File 1 Daily C.15.3.4, Attachment E
4 IRS Structured Return Transaction File 1 Daily C.15.3.4, Attachment E
5 PBGC XML Return Transaction File 1 Weekly C.15.3.4, Attachment E
6 PBGC Structured Return Transaction File 1 Weekly C.15.3.4, Attachment E
7 PBGC Control File 1 Weekly C.15.3.4, Attachment E
8 EBSA Tracking Database snapshot 1 Monthly C.15.3.4, Attachment E
9 IRS Tracking Database snapshot 1 Monthly C.15.3.4, Attachment E
10 EBSA Annual XML Archive File 1 6/30/2017 C.16.3, Attachment E
11 EBSA Annual E-Mail Archive File 1 6/30/2017 C.16.3, C.18.9, Attachment E
913 Quality Assurance Plan 1 8/1/2016 C.19.18
914 Final Plan Year 2017 Form / Schedule Proofs
1 PDF Files 1 8/1/2016 C.17.3
2 Source Files 1 8/1/2016 C.17.3
915 Detailed System Design 1 8/1/2016 C.1.2.1.3
916 Configuration Management Plan 1 8/1/2016 C.25.8
917 System Security Plan 1 8/1/2016 C.22.4.2.1
918 Production Recruiting and Training Plan 1 8/15/2016 C.24.11
919 COOP Test Report -- Update VIII 1 9/1/2016 C.22.4.2.3
920 Quality Control Procedures Manual 1 10/1/2016 C.20.15.2
921 HW / SW Refresh Plan 1 10/1/2016 C.17.4
922 Implementation Plan 1 11/1/2016 C.21.3.2
923 Annual Requirements Analysis Report 1 11/1/2016 C.25.10
924 Contingency Plan (Continuity of Operations Plan) -- Update IX
1 COOP 1 11/1/2016 C.22.4.2.3
2 Test Plan 1 11/1/2016 C.22.4.2.3
925 Operational Readiness Declaration
1 Checklist 1 11/1/2016 C.21.3.8
2 Certification 1 11/1/2016 C.21.3.9
926 SAT
1 Agency-specific distribution products 1 11/15/2016 E.8.3, E.8.5
2 Other SAT outputs 1 11/15/2016 E.8.1.3
927 Certification and Warranty 1 12/1/2016 H.12
928 IFILE Functional Specification 1 2/1/2017 C.10.5.14
D929 Draft IFILE / Test Filing Tool 1 1/15/2017
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 6 Section F, Page 24 of 28

SCHEDULE OF DELIVERABLES
Option Period IX -- 7/01/2016 to 6/30/2017
Processing Year 2016 Operations, Rollover to Processing Year 2017
Num Item Description of Deliverable Quantity Due Date Section Reference
F929 IFILE / Test Filing Tool 1 3/1/2017 C.10.5.15
930 Requirements Traceability Matrix (RTM) 1 3/15/2017 C.25.9
931 IFILE User's Guide 1 3/15/2017 C.10.5.13
932 EFAST2 Guide for Filers & Service Providers 1 3/15/2017 C.10.6.4
933 Data Dissemination Service (DDS) User's Guide(s)
1 Public User Guide 1 3/15/2017 C.15.7
2 Government User Guide 1 3/15/2017 C.15.7
934 System Test Plan(s) 1 As Proposed C.21.3.1
935 System Test Report(s) 1 As Proposed C.21.3.3
936 Contact Center Operational Procedures Manual 1 4/15/2017 C.18.20
937 Service Level Agreement 1 4/15/2017 C.13.8.1
938 Software Developer Specification
1 Software Developer User's Guide and Specifications 1 4/15/2017 C.10.6.5
2 Transmission File Structure 1 4/15/2017 C.10.6.5
3 XML DER Vol 1 & 2 1 4/15/2017 C.10.6.5
939 Participant Acceptance Testing System (PATS) Package
1 PATS Application 1 4/15/2017 C.10.6.6.3
2 PATS Procedures and Certification Criteria 1 4/15/2017 C.10.6.6.3
3 PATS Test Filings 1 4/15/2017 C.10.6.6.3
940 Third Party Software Developer Conference Materials 1 4/15/2017 C.10.6.3
D941 Draft Security Risk Assessment 1 4/15/2017
F941 Security Risk Assessment 1 6/1/2017 C.22.4.2.2
D942 Draft System Documentation 1 4/15/2017
F942 System Documentation 1 6/1/2017 C.17.2
943 Operating Capacity Report
1 Current Operating Capacity 1 6/30/2017 C.13.8.3.1
2 System Sizing Analysis 1 6/30/2017 C.13.8.3.2
944 Benchmark Report 1 6/30/2017 C.13.8.4
945 Government End User Customer Satisfaction Survey 1 6/30/2017 C.20.16
946 Option Period IX Disposition/Closeout Plan
1 Transition Plan 1 6/30/2017 C.24.14
2 Source Code 1 6/30/2017 C.24.14
3 Program materials, documentation, media, GFI, and equipment 1 6/30/2017 C.24.14
Other Key Option Period IX Activities
Third Party Software Developer Conference C.10.6.3
Quarterly Quality Control Briefings C.20.7
Personnel Clearances C.22.3
Government Testing and Reviews E.8.2
Processing Compliance Reviews E.9
Systems Acceptance Test E.8.1.3
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 6 Section F, Page 25 of 28

SCHEDULE OF DELIVERABLES
Option Period X -- 7/01/2017 to 6/30/2018
Processing Year 2017 Operations, Rollover to Processing Year 2018
Num Item Description of Deliverable Quantity Due Date Section Reference
Processing Year 2017
7/1/2017 through 6/30/2018
D1001 Draft Project Risk Management Plan 1 8/1/2017
F1001 Project Risk Management Plan 1 9/15/2017 C.24.10
1002 Monthly Work and Management Report 1 Monthly C.24.12
1 Report on progress, problems, schedule, and plans 1 Monthly C.24.12
2 Security Progress Report 1 Monthly C.24.12, C.22.4.1
3 Quality Assurance Report 1 Quarterly C.24.12, C.19.19
4 Contact Center Call Report 1 Monthly C.24.12, C.18.17
5 List of Third Party Software Developer Certifications 1 Monthly C.24.12, C.10.6.6.4
1003 Notification to COTR of Problems, Errors, or Breach of Security 1 As Needed C.24.13
1004 Contact Center Daily Report 1 Daily C.18.18
1005 PC Reports 1 Weekly C.6.5
1006 Quality Control Reports 1 Monthly C.20.15.1
1007 System Performance Report 1 Monthly C.13.8.5, C.14.4.3
1008 Large Plan Monthly Report 1 Monthly C.6.6
1009 Listing of Government & Contractor Users with Credentials 1 Monthly C.10.3.4
1010 Record Retrieval 1 As Needed C.9.2
1011 Documentation replacement pages 1 As Needed C.24.16
1012 Transmission of Structured Data Records to End Users
1 EBSA XML Return Transaction File 1 Daily C.15.3.4, Attachment E
2 EBSA Structured Return Transaction File 1 Daily C.15.3.4, Attachment E
3 IRS XML Return Transaction File 1 Daily C.15.3.4, Attachment E
4 IRS Structured Return Transaction File 1 Daily C.15.3.4, Attachment E
5 PBGC XML Return Transaction File 1 Weekly C.15.3.4, Attachment E
6 PBGC Structured Return Transaction File 1 Weekly C.15.3.4, Attachment E
7 PBGC Control File 1 Weekly C.15.3.4, Attachment E
8 EBSA Tracking Database snapshot 1 Monthly C.15.3.4, Attachment E
9 IRS Tracking Database snapshot 1 Monthly C.15.3.4, Attachment E
10 EBSA Annual XML Archive File 1 6/30/2018 C.16.3, Attachment E
11 EBSA Annual E-Mail Archive File 1 6/30/2018 C.16.3, C.18.9, Attachment E
1013 Quality Assurance Plan 1 8/1/2017 C.19.18
1014 Final Plan Year 2018 Form / Schedule Proofs
1 PDF Files 1 8/1/2017 C.17.3
2 Source Files 1 8/1/2017 C.17.3
1015 Detailed System Design 1 8/1/2017 C.1.2.1.3
1016 Configuration Management Plan 1 8/1/2017 C.25.8
1017 System Security Plan 1 8/1/2017 C.22.4.2.1
1018 Production Recruiting and Training Plan 1 8/15/2017 C.24.11
1019 COOP Test Report -- Update IX 1 9/1/2017 C.22.4.2.3
1020 Quality Control Procedures Manual 1 10/1/2017 C.20.15.2
1021 HW / SW Refresh Plan 1 10/1/2017 C.17.4
1022 Implementation Plan 1 11/1/2017 C.21.3.2
1023 Annual Requirements Analysis Report 1 11/1/2017 C.25.10
1024 Contingency Plan (Continuity of Operations Plan) -- Update X
1 COOP 1 11/1/2017 C.22.4.2.3
2 Test Plan 1 11/1/2017 C.22.4.2.3
1025 Operational Readiness Declaration
1 Checklist 1 11/1/2017 C.21.3.8
2 Certification 1 11/1/2017 C.21.3.9
1026 SAT
1 Agency-specific distribution products 1 11/15/2017 E.8.3, E.8.5
2 Other SAT outputs 1 11/15/2017 E.8.1.3
1027 Certification and Warranty 1 12/1/2017 H.12
1028 IFILE Functional Specification 1 2/1/2018 C.10.5.14
D1029 Draft IFILE / Test Filing Tool 1 1/15/2018
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 6 Section F, Page 26 of 28

SCHEDULE OF DELIVERABLES
Option Period X -- 7/01/2017 to 6/30/2018
Processing Year 2017 Operations, Rollover to Processing Year 2018
Num Item Description of Deliverable Quantity Due Date Section Reference
F1029 IFILE / Test Filing Tool 1 3/1/2018 C.10.5.15
1030 Requirements Traceability Matrix (RTM) 1 3/15/2018 C.25.9
1031 IFILE User's Guide 1 3/15/2018 C.10.5.13
1032 EFAST2 Guide for Filers & Service Providers 1 3/15/2018 C.10.6.4
1033 Data Dissemination Service (DDS) User's Guide(s)
1 Public User Guide 1 3/15/2018 C.15.7
2 Government User Guide 1 3/15/2018 C.15.7
1034 System Test Plan(s) 1 As Proposed C.21.3.1
1035 System Test Report(s) 1 As Proposed C.21.3.3
1036 Contact Center Operational Procedures Manual 1 4/15/2018 C.18.20
1037 Service Level Agreement 1 4/15/2018 C.13.8.1
1038 Software Developer Specification
1 Software Developer User's Guide and Specifications 1 4/15/2018 C.10.6.5
2 Transmission File Structure 1 4/15/2018 C.10.6.5
3 XML DER Vol 1 & 2 1 4/15/2018 C.10.6.5
1039 Participant Acceptance Testing System (PATS) Package
1 PATS Application 1 4/15/2018 C.10.6.6.3
2 PATS Procedures and Certification Criteria 1 4/15/2018 C.10.6.6.3
3 PATS Test Filings 1 4/15/2018 C.10.6.6.3
1040 Third Party Software Developer Conference Materials 1 4/15/2018 C.10.6.3
D1041 Draft Security Risk Assessment 1 4/15/2018
F1041 Security Risk Assessment 1 6/1/2018 C.22.4.2.2
D1042 Draft System Documentation 1 4/15/2018
F1042 System Documentation 1 6/1/2018 C.17.2
1043 Operating Capacity Report
1 Current Operating Capacity 1 6/30/2018 C.13.8.3.1
2 System Sizing Analysis 1 6/30/2018 C.13.8.3.2
1044 Benchmark Report 1 6/30/2018 C.13.8.4
1045 Government End User Customer Satisfaction Survey 1 6/30/2018 C.20.16
1046 Option Period X Disposition/Closeout Plan
1 Transition Plan 1 6/30/2018 C.24.14
2 Source Code 1 6/30/2018 C.24.14
3 Program materials, documentation, media, GFI, and equipment 1 6/30/2018 C.24.14
Other Key Option Period X Activities
Third Party Software Developer Conference C.10.6.3
Quarterly Quality Control Briefings C.20.7
Personnel Clearances C.22.3
Government Testing and Reviews E.8.2
Processing Compliance Reviews E.9
Systems Acceptance Test E.8.1.3
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 6 Section F, Page 27 of 28

SCHEDULE OF DELIVERABLES
Option Period XI -- 7/01/2018 to 6/30/2019
Processing Year 2018 Operations, Rollover to Processing Year 2019
Num Item Description of Deliverable Quantity Due Date Section Reference
Processing Year 2018
7/1/2018 through 6/30/2019
D1101 Draft Project Risk Management Plan 1 8/1/2018
F1101 Project Risk Management Plan 1 9/15/2018 C.24.10
1102 Monthly Work and Management Report 1 Monthly C.24.12
1 Report on progress, problems, schedule, and plans 1 Monthly C.24.12
2 Security Progress Report 1 Monthly C.24.12, C.22.4.1
3 Quality Assurance Report 1 Quarterly C.24.12, C.19.19
4 Contact Center Call Report 1 Monthly C.24.12, C.18.17
5 List of Third Party Software Developer Certifications 1 Monthly C.24.12, C.10.6.6.4
1103 Notification to COTR of Problems, Errors, or Breach of Security 1 As Needed C.24.13
1104 Contact Center Daily Report 1 Daily C.18.18
1105 PC Reports 1 Weekly C.6.5
1106 Quality Control Reports 1 Monthly C.20.15.1
1107 System Performance Report 1 Monthly C.13.8.5, C.14.4.3
1108 Large Plan Monthly Report 1 Monthly C.6.6
1109 Listing of Government & Contractor Users with Credentials 1 Monthly C.10.3.4
1110 Record Retrieval 1 As Needed C.9.2
1111 Documentation replacement pages 1 As Needed C.24.16
1112 Transmission of Structured Data Records to End Users
1 EBSA XML Return Transaction File 1 Daily C.15.3.4, Attachment E
2 EBSA Structured Return Transaction File 1 Daily C.15.3.4, Attachment E
3 IRS XML Return Transaction File 1 Daily C.15.3.4, Attachment E
4 IRS Structured Return Transaction File 1 Daily C.15.3.4, Attachment E
5 PBGC XML Return Transaction File 1 Weekly C.15.3.4, Attachment E
6 PBGC Structured Return Transaction File 1 Weekly C.15.3.4, Attachment E
7 PBGC Control File 1 Weekly C.15.3.4, Attachment E
8 EBSA Tracking Database snapshot 1 Monthly C.15.3.4, Attachment E
9 IRS Tracking Database snapshot 1 Monthly C.15.3.4, Attachment E
10 EBSA Annual XML Archive File 1 6/30/2019 C.16.3, Attachment E
11 EBSA Annual E-Mail Archive File 1 6/30/2019 C.16.3, C.18.9, Attachment E
1113 Quality Assurance Plan 1 8/1/2018 C.19.18
1114 Final Plan Year 2019 Form / Schedule Proofs
1 PDF Files 1 8/1/2018 C.17.3
2 Source Files 1 8/1/2018 C.17.3
1115 Detailed System Design 1 8/1/2018 C.1.2.1.3
1116 Configuration Management Plan 1 8/1/2018 C.25.8
1117 System Security Plan 1 8/1/2018 C.22.4.2.1
1118 Production Recruiting and Training Plan 1 8/15/2018 C.24.11
1119 COOP Test Report -- Update X 1 9/1/2018 C.22.4.2.3
1120 Quality Control Procedures Manual 1 10/1/2018 C.20.15.2
1121 HW / SW Refresh Plan 1 10/1/2018 C.17.4
1122 Implementation Plan 1 11/1/2018 C.21.3.2
1123 Annual Requirements Analysis Report 1 11/1/2018 C.25.10
1124 Contingency Plan (Continuity of Operations Plan) -- Update XI
1 COOP 1 11/1/2018 C.22.4.2.3
2 Test Plan 1 11/1/2018 C.22.4.2.3
1125 Operational Readiness Declaration
1 Checklist 1 11/1/2018 C.21.3.8
2 Certification 1 11/1/2018 C.21.3.9
1126 SAT
1 Agency-specific distribution products 1 11/15/2018 E.8.3, E.8.5
2 Other SAT outputs 1 11/15/2018 E.8.1.3
1127 Certification and Warranty 1 12/1/2018 H.12
1128 IFILE Functional Specification 1 2/1/2019 C.10.5.14
D1129 Draft IFILE / Test Filing Tool 1 1/15/2019
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Amendment 02 - Attachment 6 Section F, Page 28 of 28

SCHEDULE OF DELIVERABLES
Option Period XI -- 7/01/2018 to 6/30/2019
Processing Year 2018 Operations, Rollover to Processing Year 2019
Num Item Description of Deliverable Quantity Due Date Section Reference
F1129 IFILE / Test Filing Tool 1 3/1/2019 C.10.5.15
1130 Requirements Traceability Matrix (RTM) 1 3/15/2019 C.25.9
1131 IFILE User's Guide 1 3/15/2019 C.10.5.13
1132 EFAST2 Guide for Filers & Service Providers 1 3/15/2019 C.10.6.4
1133 Data Dissemination Service (DDS) User's Guide(s)
1 Public User Guide 1 3/15/2019 C.15.7
2 Government User Guide 1 3/15/2019 C.15.7
1134 System Test Plan(s) 1 As Proposed C.21.3.1
1135 System Test Report(s) 1 As Proposed C.21.3.3
1136 Contact Center Operational Procedures Manual 1 4/15/2019 C.18.20
1137 Service Level Agreement 1 4/15/2019 C.13.8.1
1138 Software Developer Specification
1 Software Developer User's Guide and Specifications 1 4/15/2019 C.10.6.5
2 Transmission File Structure 1 4/15/2019 C.10.6.5
3 XML DER Vol 1 & 2 1 4/15/2019 C.10.6.5
1139 Participant Acceptance Testing System (PATS) Package
1 PATS Application 1 4/15/2019 C.10.6.6.3
2 PATS Procedures and Certification Criteria 1 4/15/2019 C.10.6.6.3
3 PATS Test Filings 1 4/15/2019 C.10.6.6.3
1140 Third Party Software Developer Conference Materials 1 4/15/2019 C.10.6.3
D1141 Draft Security Risk Assessment 1 4/15/2019
F1141 Security Risk Assessment 1 6/1/2019 C.22.4.2.2
D1142 Draft System Documentation 1 4/15/2019
F1142 System Documentation 1 6/1/2019 C.17.2
1143 Operating Capacity Report
1 Current Operating Capacity 1 6/30/2019 C.13.8.3.1
2 System Sizing Analysis 1 6/30/2019 C.13.8.3.2
1144 Benchmark Report 1 6/30/2019 C.13.8.4
1145 Government End User Customer Satisfaction Survey 1 6/30/2019 C.20.16
1146 Option Period XI Disposition/Closeout Plan
1 Transition Plan 1 6/30/2019 C.24.14
2 Source Code 1 6/30/2019 C.24.14
3 Program materials, documentation, media, GFI, and equipment 1 6/30/2019 C.24.14
Other Key Option Period XI Activities
Third Party Software Developer Conference C.10.6.3
Quarterly Quality Control Briefings C.20.7
Personnel Clearances C.22.3
Government Testing and Reviews E.8.2
Processing Compliance Reviews E.9
Systems Acceptance Test E.8.1.3
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Attachment 7
Section J
List of Attachments
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DOL069RP20266 EFAST2 RFP
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PART III - LIST OF DOCUMENTS, EXHIBITS, AND OTHER ATTACHMENTS


SECTION J – LIST OF ATTACHMENTS

Attachment A: Return Processing Volumes for Processing Years 2002, 2003, and 2004

Attachment B: Requirements Traceability Matrix,


as amended in Amendment 02

Attachment C: Edit Test Failure Rates for Processing Years 2002, 2003, and 2004

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

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

Attachment E.2009: Processing Year 2009 Interface Requirements Document (IRD),


as amended in Amendment 02

Attachment F: Sample Edit Test Mask/Stable List

Attachment G: Third Party Software Certification Criteria

Attachment H: List all Reference Materials Available in the Reference Library

Attachment I: EFAST2 Performance Standards Methodology Requirements,


as amended in Amendment 02

Attachment J: Production Control and Tracking Database Requirements,


as amended in Amendment 02

Attachment K: SDLCM

Attachment L: Reserved

Attachment M: Definition of Terms

Attachment N: Government and Industry Standards


DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 7 Section J, Page 4 of 4

Attachment O: Potential Enhancements

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

Attachment P.2009: 2009 XML Data Elements Requirements (DER), volumes 1 & 2

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

Attachment R: Quality Assurance Plan and Fixed Price Incentive Payment Methodology

Attachment S: Contact Center Statistics

Attachment T: Hardware and Software Cost Reimbursement,


as amended in Amendment 02

Attachment U: Contractor Performance Evaluation Survey

Attachment V: EFAST2 Rollover Schedule


DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 8 Attachment E, Page 1 of 60

Attachment 8
Attachment E
EFAST2 Interface Requirements Document (IRD)
Processing Year 2009 (Plan Years 2008/2009)
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EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Table of Contents Revision Date: October 2006
1. Introduction ..................................................................................................................................................... 1
1.1 Purpose ....................................................................................................................................................... 1
1.2 EFAST2 Description.................................................................................................................................... 1
2. EFAST2 Files Delivered To Government ....................................................................................................... 2
2.1 EFAST2 Files Delivered to EBSA ............................................................................................................... 2
2.1.1 EBSA XML Return Transaction File .................................................................................................... 3
2.1.2 EBSA Structured Return Transaction File ........................................................................................... 4
2.1.3 EBSA Tracking Database .................................................................................................................... 5
2.1.4 EBSA Annual XML Archive File........................................................................................................... 6
2.1.5 EBSA Annual E-mail Archive File ........................................................................................................ 7
2.2 EFAST2 Files Delivered to IRS................................................................................................................... 9
2.2.1 IRS XML Return Transaction File ...................................................................................................... 10
2.2.2 IRS Structured Return Transaction File............................................................................................. 11
2.2.3 IRS Tracking Database ........................................................................................................................... 12
2.3 EFAST2 Files Delivered to PBGC ............................................................................................................ 13
2.3.1 PBGC XML Return Transaction File.................................................................................................. 14
2.3.2 PBGC Structured Return Transaction File......................................................................................... 15
2.3.3 PBGC Control File ............................................................................................................................. 16
3 Contacts ........................................................................................................................................................... 17
Appendix A – XML SCHEMA .................................................................................................................................... 1
Appendix B – PHYSICAL RECORD LAYOUT .......................................................................................................... 1
B.1 Filing Header ............................................................................................................................................... 2
B.2 Generated Fields Layout............................................................................................................................. 3
B.3 5500 Layout................................................................................................................................................. 4
B.4 5500SF Record Layout ............................................................................................................................... 7
B.5 Schedule A Record Layout ....................................................................................................................... 10
B.6 Schedule A Part 1 Record Layout............................................................................................................. 13
B.7 Schedule B Record Layout ....................................................................................................................... 14
B.8 Schedule B Part 1 Record Layout............................................................................................................. 18
B.9 Schedule B Part 2 Record Layout............................................................................................................. 18
B.10 Schedule C Record Layout ....................................................................................................................... 19
B.11 Schedule C Part 1 Record Layout ............................................................................................................ 19
B.12 Schedule C Part 2 Record Layout ............................................................................................................ 20
B.13 Schedule C Part 3 Record Layout ............................................................................................................ 20
B.14 Schedule C Part 4 Record Layout ............................................................................................................ 20
B.15 Schedule C Part 5 Record Layout ............................................................................................................ 21
B.16 Schedule C Part 6 Record Layout ............................................................................................................ 22
B.17 Schedule D Record Layout ....................................................................................................................... 23
B.18 Schedule D Part 1 Record Layout ............................................................................................................ 23
B.19 Schedule D Part 2 Record Layout ............................................................................................................ 23
B.20 Schedule G Record Layout ....................................................................................................................... 24
B.21 Schedule G Part 1 Record Layout ............................................................................................................ 24
B.22 Schedule G Part 2 Record Layout ............................................................................................................ 25
B.23 Schedule H Record Layout ....................................................................................................................... 26
B.24 Schedule H Part 1 Record Layout ............................................................................................................ 29
B.25 Schedule I Record Layout......................................................................................................................... 30
B.26 Schedule I Part 1 Record Layout .............................................................................................................. 31
B.27 Schedule R Record Layout ....................................................................................................................... 32
B.28 Schedule R Part 1 Record Layout ............................................................................................................ 33
B.29 Tracking Record Layout ............................................................................................................................ 33
B.30 Control Record Layout .............................................................................................................................. 35
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EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Revision Date: October, 2006

1. Introduction

1.1 Purpose

This document defines the files that will be exchanged between the Department of Labor’s Employee
Benefits Security Administration DOL/EBSA, Internal Revenue Service (IRS), Pension Benefit Guaranty
Corporation (PBGC), and the ERISA Filing Acceptance System (EFAST2). Included in this document are:

• File Names, Descriptions, and Formats


• Physical Record Layouts (Appendix A)
• Data Element Definitions (Appendix B)

1.2 EFAST2 Description

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

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EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Revision Date: October, 2006

2. EFAST2 Files Delivered To Government

2.1 EFAST2 Files Delivered to EBSA


The following requirements apply to all files delivered to the EBSA:

The vendor shall provide an Ipsec VPN tunnel connection to an EBSA secure drop box server.

The vendor shall sign and adhere to an Interconnection Security Agreement ensuring that proper security
controls are in place.

Every day the vendor shall push the EBSA Structured Return Transaction and XML files to the EBSA
server. (Pushing the files will involve connecting to the EBSA secure drop box server through the VPN,
FTP-ing files to a specified directory, then renaming the files into the specified directory.)

The vendor shall include the same filings on each daily XML and Structured Return Transaction File
distributions. Each distribution shall include all “accepted” filings received by EFAST2 since the prior
distribution was created.
Monthly, the vendor shall also push the Tracking Database to the EBSA server. The contents of this
delivery shall be the same records as those used by the Contractor in its reporting of performance
standards described in Section C.2 of the contract.

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

The vendor shall have the capability to re-push the files, using the original file names, for up to 30 days
after the files are originally distributed if requested by EBSA.

The vendor shall maintain copies of distributed files on the EFAST2 Web Portal data distribution system
for manual retrieval by EBSA employees in the event that the secure drop box is unavailable.

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EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Revision Date: October, 2006

2.1.1 EBSA XML Return Transaction File

File Characteristics
File Name: P260YYYYMMDD01a.ZIP (YYYY=Year; MM=Month; DD=Day)
Record Format: XML
Compression: ZIP
Transmission Method: IPSec VPN
Frequency: Daily

Format Description
This distribution shall contain the EBSA XML Return Transaction records. The zipped filename contains
an alpha suffix (beginning with a) that the vendor will increment in multiple files distributed on the same
day to prevent potential file collision/overwriting.
File Description
This file contains the same filings as on the EBSA Structured Return Transaction File, but in XML format.

This file consists of a BatchDistribution; each BatchDistribution contains a FilingCount and zero or more
ProcessedFiling elements. If EFAST2 does not have any filings to be included on a distribution, a
BatchDistribution should be created with FilingCount = 0 and no ProcessedFiling elements.

Selection Criteria
All “accepted” filings shall be delivered.

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EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Revision Date: October, 2006

2.1.2 EBSA Structured Return Transaction File

File Characteristics
File Name: P260YYYYMMDD02a.ZIP (YYYY = Year; MM = Month; DD = Day)
Record Format: Fixed length ASCII
Max Record Length: Different records lengths for each table. See Appendix B.
Compression: ZIP
Transmission Method: IPSec VPN
Frequency: Daily

Format Description
This distribution shall contain the EBSA Structured Return Transaction records. The zipped filename
contains an alpha suffix (beginning with a) that the vendor will increment in multiple files distributed on the
same day to prevent potential file collision/overwriting.

The zipped file shall contain several tables, each named in accordance with the required filename
indicated in Appendix B. The contractor shall include a space, as a delimiter, between each field on every
table delivered.

File Description
This file contains the same filings as on the daily EBSA XML Return Transaction File, but in ASCII format.

The vendor shall also provide EBSA with all attachments in pdf format that accompany a filing. These
attachments should have the capability of being linked to the Structured Return Transaction File through
a unique identifier.

Selection Criteria
All “accepted” filing records in the following tables shall be delivered:
B.1, B.2, B.3, B.4, B.5, B.6, B.7, B.8, B.9, B.10, B.11, B.12, B.13, B.14, B.15, B.16, B.17, B.18, B.19, B.20
B.21, B.22, B.23, B.24, B.25, B.26, B.27, B.28.
See Appendix B for physical layout of each table.

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EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Revision Date: October, 2006

2.1.3 EBSA Tracking Database

File Characteristics
File Name: EFAST2Tracking@YYYYMMDDa.ZIP (YYYY = Year; MM = Month; DD = Day)
Record Format: Fixed length ASCII
Max Record Length: TBP
Compression: ZIP
Transmission Method: IPSec VPN
Frequency: Monthly

Format Description
This zipped file shall contain one table. The zipped filename contains an alpha suffix (beginning with a)
that the vendor will increment in multiple files distributed on the same day to prevent potential file
collision/overwriting. The table shall be named in accordance with the required Tracking database file
name indicated in Appendix B. The Contractor shall include a space, as a delimiter, between each field in
the table delivered.

File Description
This file contains a snapshot of the Tracking Database as described in Section C.6 and Attachment J of
the contract. The contents of this delivery shall be the same records as those used by the Contractor in
its reporting of performance standards described in Section C.2 of the contract.

Selection Criteria
All records in the Tracking Database shall be delivered.

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EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Revision Date: October, 2006

2.1.4 EBSA Annual XML Archive File

File Characteristics
File Name: XMLArchiveYYYYMMDD (YYYY = Year; MM = Month; DD = Day)
Record Format: XML
Max Record Length: TBP
Compression: None
Transmission Method: Media
Frequency: Annually

Format Description
XML files must be uncompressed and include all associated files that are pulled together to create the
web content record being transferred as well as an XML schema (WXS) or a Document Type Definition
(DTD) and appropriate style sheet(s).

File Description
At the end of each option period, the Contractor shall prepare to deliver system documentation and the
IMA to the Government for retirement to the National Archives. At the end of the first year of processing,
this file will contain all filings from the XML Repository. Subsequent deliveries shall contain all filings
processed since the previous distribution.

Media
Open-reel magnetic tape must be on 1/2 inch 9-track tape reels recorded at 1600 or 6250 bpi that meet
ANSI X3.39-1986, American National Standard: Recorded Magnetic Tape for Information Interchange
(1600 CPI, PE) or ANSI X3.54-1986, American National Standard: Recorded Magnetic Tape for
Information Interchange (6250 CPI, Group Coded Recording), respectively.

Or

Tape cartridges may be 18-track 3480-class cartridges. The 3480-class cartridge must be recorded at
37,871 bpi that meet ANSI X3.180-1990, American National Standard: Magnetic Tape and Cartridge for
Information Interchange--18-Track, Parallel, 1/2 inch (12.65 mm), 37871 cpi (1491 cpmm), Group-Coded-
-Requirements for Recording. The data must be blocked at no more than 32,760 bytes per block.

Selection Criteria
All filings shall be delivered.

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EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Revision Date: October, 2006

2.1.5 EBSA Annual E-mail Archive File

File Characteristics
File Name: EFAST2EmailArchiveYYYY
Record Format: TBP
Max Record Length: TBP
Compression: None
Transmission Method: Media
Frequency: Annually

Format Description
Permanent e-mail messages and their attachments must be provided in either ASCII text format (e-mail
records), standard markup language, or in their native formats according to the following:

• Transfers of e-mail records must consist of an identifiable, organized body of records.

• E-mail should come from e-mail systems or from a DoD 5015.2-STD certified Records
Management Application (RMA).

• If using a standard markup language, the e-mail and their attachments must be in a format that
contains:

o Delimiters to indicate the beginning and end of each message and the beginning and end
of each attachment, if any. Each attachment must be differentiated from the body of the
message, and uniquely identified.

o Labels to identify each part of the message (Date, To [all recipients, including cc: and bc:
copies], From, Subject, Body, and Attachment) including transmission and receipt
information (Time Sent, Time Opened, Message Size, File Name, and similar information,
if available). Agencies that use an e-mail system that identifies users by codes or
nicknames, or identifies addressees only by the name of a distribution list 2 should
include information with the transfer-level documentation, to ensure identification of the
sender and addressee(s).

• If the file cannot be produced in a markup language, e-mail messages and their attachments can
be submitted in their native formats. Each attachment should be labeled with its filename and the
default file extension to indicate the proprietary software used to create the attachment. If
attachment file names do not include the default file extension (e.g., .doc, .xls), documentation
must be provided identifying the proprietary formats used to create each attachment.

• E-mail messages cannot be converted to a Portable Document Format (PDF) or other image file
format for purposes of this file. However, attachments to e-mail messages may be submitted in
their native formats, such as PDF, other image file formats, and common office automation
formats.

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EFAST2 Interface Requirements Document Operational Date: January 1, 2009


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File Description
At the end of each option period, the Contractor shall prepare to deliver system documentation and the e-
mail archive file to the Government for retirement to the National Archives. At the end of the first year of
processing, this file will contain all e-mails and e-mail attachments received. Subsequent deliveries shall
contain all e-mails and attachments received since the previous distribution.

The system documentation accompanying the annual e-mail archive file shall include:

• E-mail application and version(s) (e.g., Microsoft Exchange v5.5)


• Operating system and version(s) (e.g., Microsoft Windows NT v4.0)
• RMA (if applicable) and version
• Total number of messages
• Total number of attachments
• List of message delimiters and definitions
• Structure used for each e-mail item in the transfer (see Format Description)
• Arrangement of records in the transfer

Media

This file should consist of a single uncompressed file on:

Open-reel magnetic tape must be on 1/2 inch 9-track tape reels recorded at 1600 or 6250 bpi that meet
ANSI X3.39-1986, American National Standard: Recorded Magnetic Tape for Information Interchange
(1600 CPI, PE) or ANSI X3.54-1986, American National Standard: Recorded Magnetic Tape for
Information Interchange (6250 CPI, Group Coded Recording), respectively.

Or

Tape cartridges may be 18-track 3480-class cartridges. The 3480-class cartridge must be recorded at
37,871 bpi that meet ANSI X3.180-1990, American National Standard: Magnetic Tape and Cartridge for
Information Interchange--18-Track, Parallel, 1/2 inch (12.65 mm), 37871 cpi (1491 cpmm), Group-Coded-
-Requirements for Recording. The data must be blocked at no more than 32,760 bytes per block.

Note: Requirements for Media Transfer cited in Part 1228 – Disposition of Federal Records, Subpart L –
Transfer of Records to the National Archives of the United States.

Selection Criteria
All e-mails and e-mail attachments for a given processing year shall be delivered.

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EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Revision Date: October, 2006

2.2 EFAST2 Files Delivered to IRS

The following requirements apply to all files delivered to the IRS:

The vendor shall provide an Ipsec VPN tunnel connection to an IRS secure drop box server (the IRS
Enterprise File Transfer Utility (EFTU)).

The vendor (or EBSA) shall sign and adhere to an Interconnection Security Agreement ensuring that
proper security controls are in place.

Every day the vendor shall push the IRS Structured Return Transaction and XML files to the IRS EFTU
server. (Pushing the files will involve connecting to the IRS secure drop box server through the VPN,
FTP-ing files to a specified directory, then renaming the files into the EFTU directory.)

The vendor shall include the same filings on each daily XML and Structured Return Transaction File
distributions. Each distribution shall include all “accepted” original or amended pension filings received by
EFAST2 since the prior distribution was created.
Monthly, the vendor shall also push the Tracking Database in its entirety to the IRS server.

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

The vendor shall have the capability to re-create the distribution files if errors are found.

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

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EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Revision Date: October, 2006

2.2.1 IRS XML Return Transaction File

File Characteristics
File Name: I260YYYYMMDD01a.ZIP (YYYY = Year; MM = Month; DD = Day)
Record Format: XML
Max Record Length: N/A
Compression: ZIP
Transmission Method: IPSec VPN
Frequency: Daily

Format Description
This distribution shall contain the IRS XML Return Transaction records. The zipped file will contain an
alpha suffix (beginning with a) that the vendor will increment in multiple files distributed on the same day
to prevent potential file collision/overwriting.
File Description
This file contains the same filings as on the daily IRS Structured Return Transaction File, but in XML
format.

This file consists of a BatchDistribution; each BatchDistribution contains a FilingCount and zero or more
ProcessedFiling elements. If EFAST2 does not have any filings to be included on a distribution, a
BatchDistribution should be created with FilingCount = 0 and no ProcessedFiling elements. See Appendix
A for the XML distribution Schema.

Selection Criteria
SPONS-DFE-PN < 501
OR
TYPE-PENSION-BNFT-CODE is non-blank

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EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Revision Date: October, 2006

2.2.2 IRS Structured Return Transaction File

File Characteristics
File Name: I260YYYYMMDD02a.ZIP (YYYY = Year; MM =Month; DD = Day)
Record Format: Fixed length ASCII
Max Record Length: Different records lengths for each table. See Appendix B.
Transmission Method: IPSec VPN
Compression: ZIP
Frequency: Daily

Format Description
This distribution shall contain the IRS Structured Return Transaction records. The (zipped) file will
contain an alpha suffix (beginning with a) that the vendor will increment in multiple files distributed on the
same day to prevent potential file collision/overwriting.

The zipped file shall contain several tables, each named in accordance with the required filename as
indicated in Appendix B. The Contractor shall include a space, as a delimiter, between each field on
every table delivered.

File Description
This file contains the same filings as on the daily IRS XML Return Transaction File, but in but in ASCII
format.

If EFAST2 does not have any filings to be included on a distribution, this file should not be created, but a
Control Record file should be created showing zero returns on the data distribution.

Selection Criteria
All accepted filing records where
SPONS-DFE-PN < 501
OR
TYPE-PENSION-BNFT-CODE is non-blank
in the following tables shall be delivered:
B.1, B.2, B.3, B.4, B.5, B.6, B.7, B.8, B.9, B.10, B.11, B.12, B.13, B.14, B.15, B.16, B.17, B.18, B.19, B.20
B.21, B.22, B.23, B.24, B.25, B.26, B.27, B.28.
See Appendix B for physical layout of each table.

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Amendment 02 - Attachment 8 Attachment E, Page 16 of 60

EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Revision Date: October, 2006

2.2.3 IRS Tracking Database

File Characteristics
File Name: EFAST2Tracking.@YYYYMMDDa.ZIP (YYYY = Year; MM = Month; DD = Day)
Record Format: Fixed length ASCII
Max Record Length: TBP
Compression: ZIP
Transmission Method: IPSec VPN
Frequency: Monthly

Format Description
This zipped file shall contain one table. The zipped filename contains an alpha suffix (beginning with a)
that the vendor will increment in multiple files distributed on the same day to prevent potential file
collision/overwriting. The table shall be named in accordance with the required Tracking database file
name indicated in Appendix B. The Contractor shall include a space, as a delimiter, between each field in
the table delivered.

File Description
This file contains a snapshot of the Tracking Database as described in Section C.6 and Attachment J of
the contract. The contents of this delivery shall be the same records as those used by the Contractor in
its reporting of performance standards described in Section C.2 of the contract.

Selection Criteria
All records in the Tracking Database shall be delivered.

Page 12
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Amendment 02 - Attachment 8 Attachment E, Page 17 of 60

EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Revision Date: October, 2006

2.3 EFAST2 Files Delivered to PBGC

The following requirements apply to all files delivered to the PBGC:

The vendor shall provide an Ipsec VPN tunnel connection to a PBGC secure drop box server.

The vendor (or EBSA) shall sign and adhere to an Interconnection Security Agreement ensuring that
proper security controls are in place.

Every week the vendor shall push the PBGC Structured Return Transaction and XML files to the PBGC
server. (Pushing the files will involve connecting to the PBGC secure drop box server through the VPN,
FTP-ing files to a specified directory, then renaming the files into the proper directory.)

The vendor shall include the same filings on each daily XML and Structured Return Transaction File
distributions. Each distribution shall include all “accepted” original or amended pension filings received by
EFAST2 since the prior distribution was created.

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

The vendor shall have the capability to re-create the distribution files if errors are found.

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

Each week, the vendor shall also create CD(s) containing the PBGC Structured Return Transaction
distribution files and the Control File.

The contractor shall provide a cover memorandum to PBGC regarding the shipment of the CD. The
memorandum shall contain the following information:
Date
PBGC Recipient Name and address
Reference to contract
Enclosure including processing cycle
Subject
Body of letter including:

DATA SET NAME


RECORD COUNT
TYPE OF DATA
CREATION DATE OF DATA FILE
5500 COUNT
5500SF COUNT
SCHEDULES COUNT
TRANSMISSION DATE

Page 13
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Amendment 02 - Attachment 8 Attachment E, Page 18 of 60

EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Revision Date: October, 2006

2.3.1 PBGC XML Return Transaction File

File Characteristics
File Name: P260YYYYMMDD01a.ZIP (YYYY = Year; MM = Month; DD = Day)
Record Format: XML
Max Record Length: N/A
Compression: ZIP
Transmission Method: IPSec VPN
Frequency: Weekly

Format Description
This file shall contain the PBGC XML Return Transaction records.. The zipped file will contain an alpha
suffix (beginning with a) that the vendor will increment in multiple files distributed on the same day to
prevent potential file collision/overwriting.

File Description
This file contains the same filings as on the weekly PBGC Structured Return Transaction File, but in XML
format.

This file consists of a BatchDistribution; each BatchDistribution contains a FilingCount and zero or more
ProcessedFiling elements. If EFAST2 does not have any filings to be included on a distribution, a
BatchDistribution should be created with FilingCount = 0 and no ProcessedFiling elements. See Appendix
A for the XML distribution Schema.

Selection Criteria
All accepted filing records where
SPONS-DFE-PN < 501
OR
TYPE-PENSION-BNFT-CODE is non-blank
in the following tables shall be delivered:
B.1, B.2, B.3, B.4, B.5, B.6, B.7, B.8, B.9, B.10, B.11, B.12, B.13, B.14, B.15, B.16, B.17, B.18, B.19, B.20
B.21, B.22, B.23, B.24, B.25, B.26, B.27, B.28.
See Appendix B for physical layout of each table.

Page 14
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Amendment 02 - Attachment 8 Attachment E, Page 19 of 60

EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Revision Date: October, 2006

2.3.2 PBGC Structured Return Transaction File

File Characteristics
File Name: P260YYYYMMDD02a.ZIP (YYYY = Year; MM = Month; DD = Day)
Character Set: ASCII
Label: NA
Record Format: Variable Blocked (VB)
Transmission Method: Compact Disc(s) (CD) and IPSec VPN (Both Methods must be supported)
Compression: ZIP
Frequency: Weekly

Format Description
This file shall contain the PBGC Structured Return Transaction records.
The (zipped) file will contain an alpha suffix (beginning with a) that the vendor will increment in multiple
files distributed on the same day to prevent potential file collision/overwriting..

The zipped file shall contain several tables, each named in accordance with the required filename as
indicated in Appendix B. The Contractor shall include a space, as a delimiter, between each field on
every table delivered.

File Description
This file contains the same filings as on the weekly PBGC XML Return Transaction File, but in ASCII
format.

The record identification will enable us to merge records in each subdirectory by DLN.

If EFAST2 does not have any filings to be included on a distribution, this file should not be created, but a
Control Record file should be created showing zero returns on the data distribution.

Media
The CD shall be NTFS formatted. The root directory shall be in yyyyww, identifying year and week of the
transaction file. Contained under the root directory is a compressed (zipped) file containing all records
under that year/week for each component (Form / Schedule), for example:

Root Directory: 200901


F5500.zip
F5500SF.zip
Sch_A.zip
Sch_B.zip
Sch_C.zip, etc.

Selection Criteria

SPONS-DFE-PN < 501


OR
TYPE-PENSION-BNFT-CODE is non-blank

Vendor shall spilt files across multiple CDs as necessary to accommodate file sizes in excess of CD
storage capacity.

Page 15
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Amendment 02 - Attachment 8 Attachment E, Page 20 of 60

EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Revision Date: October, 2006

2.3.3 PBGC Control File

File Characteristics
File Name: P260YYYYMMDD03.ZIP (YYYY = Year; MM = Month; DD = Day)
Data Set Name: PDPEM.P260xx.F003.@YYYYJJJ (YYYY = Year; JJJ = Julian Date)
Record Format: Fixed length ASCII
Max Record Length: 256
Transmission Method: Compact Disc(s) (CD) and IPSec VPN (Both Methods must be supported)
Compression: None
Frequency: Weekly

Format Description
This file shall contain one Control Record. The Contractor shall include a space, as a delimiter, between
each field in the record delivered.

File Description This file contains a single record which has information about the transaction files. This
file will be used by the PBGC to verify that complete files were received from EFAST2 and that all records
were processed by PBGC. If no processable returns have been received by EFAST2 since the creation
of the prior distribution, a Control File should still be created and sent to the PBGC containing counts of
zero.

Page 16
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Amendment 02 - Attachment 8 Attachment E, Page 21 of 60

EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Revision Date: October, 2006

3 Contacts

DOL EBSA

Files should be distributed electronically to the EBSA; however, if files are created on CD for the
DOL, the CD should be shipped to:
Annie McCauley (Computer Specialist)
Department of Labor
Room N5510
200 Constitution Ave, NW
Washington, DC 20210
E-mail: mccauley.annie@dol.gov
Voice: 202-693-8587
Fax: 202-219-8656

IRS

Files should be distributed electronically to the IRS; however, if files are created on CD for the
IRS, the CD should be shipped to:

Enterprise Computing Center - MTB/IRS


ATTN: EFAST/UPLOADING/TL - Operations Br.
250 Murall Drive
Kearneysville, WV 25430
E-mail: TBD

PBGC
John Thompson
Pension Benefit and Guaranty Corporation
1200 K Street, NW Room 11213
Washington, DC 20005-4026
Email: TBD

Page 17
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EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Revision Date: October, 2006

This Page is Intentionally Left Blank

Page 18
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Amendment 02 - Attachment 8 Attachment E, Page 23 of 60

EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Appendix A – XML Schema Revision Date: June 5, 2006

Appendix A – XML SCHEMA

Page A-1
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EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Appendix A – XML Schema Revision Date: June 5, 2006

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EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Appendix A – XML Schema Revision Date: June 5, 2006

This Page is Intentionally Left Blank

Page A-3
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EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Appendix B – Physical Record Layout Revision Date: June 5, 2006

Appendix B – PHYSICAL RECORD LAYOUT

Page B-1
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Amendment 02 - Attachment 8 Attachment E, Page 27 of 60

EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Appendix B – Physical Record Layout Revision Date: June 5, 2006

B.1 Filing Header

NOTE: The first field in each table begins at position 0. Each subsequent field is separated by a blank. A blank
also follows the last field in each table. Leading zeroes must be retained.
TBP: System generated fields To Be Proposed by Contractor; Ref: Refers to Variable Number.
Type C: Character; Type N: Number

File Name: PDPEM.FILINGHEADER Date: 6/5/2006

Element
Element Name Dec Length Type Ref Remarks
#

001 DLN 0 14 N 2007.00


002 FILING-ID 20 C 1500.00
003 FILING-HEADER-TIMESTAMP 20 C 1501.00
004 FILING-HEADER-EIN 9 C 1502.00
005 FILING-HEADER-PN 3 C 1503.00
006 FILING-HEADER-PLAN-YEAR-BEGIN 8 C 1503.50 YYYYMMDD
007 FILING-HEADER-PLAN-YEAR-END 8 C 1504.00 YYYYMMDD
008 FILING-HEADER-AMENDED-IND 1 C 1505.00
009 FILING-HEADER-REF-ACK-ID TBP C 1505.50
010 FILING-HEADER-FORM-YEAR 4 C 1506.00 YYYY
011 FILING-HEADER-FORM-VERSION TBP C 1507.00
FILING-HEADER-FILING-SOFTWARE-
012 TBP C 1507.50
ID
013 ADMIN-SIGNATURE-DATE 8 C 1510.00 YYYYMMDD
014 ADMIN-SIGNATURE-SIGNED-NAME 35 C 1511.00
015 SPONSOR-SIGNATURE-DATE 8 C 1514.00 YYYYMMDD
016 SPONSOR-SIGNATURE-SIGNED-NAME 35 C 1515.00
017 DFE-SIGNATURE-DATE 8 C 1515.70 YYYYMMDD
018 DFE-SIGNATURE-SIGNED-NAME 35 C 1515.80
Total Record Length TBP

Page B-2
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Appendix B – Physical Record Layout Revision Date: June 5, 2006

B.2 Generated Fields Layout

File Name: PDPEM.GENERATED Date: 6/5/2006

Element
Element Name Dec Length Type Ref Remarks
#

001 DLN 0 14 N 2007.00


002 SUBMISSION-REQUEST-ID 20 C 2000.00
003 TRANSMISSION-FROM-URI 100 C 2000.50
TRANSMISSION-MESSAGE-
004 25 C 2000.60
TIMESTAMP
005 TRANSMITTER-ID 8 C 2000.70
006 TRANSMISSION-SOFTWARE-ID 8 C 2001.00
007 TRANSMISSION-RESPONSE-ID 20 C 2004.00
TRANSMISSION-RESPONSE-
008 25 C 2005.00
TIMESTAMP
009 SPONS-SIGNATURE-IND 1 C 1582.00
010 DFE-SIGNATURE-IND 1 C 1582.50
011 ADMIN-SIGNATURE-IND 1 C 1583.00
012 AGENT-SIGNATURE-IND 1 C 1584.00
013 ORIGINAL-DUE-DATE 8 C 1586.00 YYYYMMDD
014 SUBMITTED-DATE 8 C 1587.00 YYYYMMDD
015 BYPASS-C 1 C 1591.00
016 BYPASS-E 1 C 1593.00
017 BYPASS-F 1 C 1594.00
018 BYPASS-G 1 C 1595.00
019 BYPASS-H 1 C 1596.00
020 BYPASS-I 1 C 1597.00
021 BYPASS-J 1 C 1598.00
022 BYPASS-K 1 C 1599.00
023 BYPASS-M 1 C 1600.00
024 BYPASS-N 1 C 1601.00
025 BYPASS-O 1 C 1602.00
026 BYPASS-P 1 C 1603.00
027 BYPASS-S 1 C 1604.00
028 BYPASS-T 1 C 1605.00
029 BYPASS-W 1 C 1607.00
030 BYPASS-X 1 C 1607.50
031 BYPASS-Z 1 C 1608.00
032 ACK-ID TBP C 1621.00
033 FILING-STATUS 30 C 1622.00
034 RECEIVED-TIMESTAMP 25 C 1621.00
035 VALIDATED-TIMESTAMP 25 C 1624.00
036 COMPLETED-PROC-TIMESTAMP 25 C
Total Record Length TBP

Page B-3
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EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Appendix B – Physical Record Layout Revision Date: June 5, 2006

B.3 5500 Layout

File Name: PDPEM.F5500 Date: 6/5/2006

Element
Element Name Dec Length Type Ref Remarks
#

001 DLN 0 14 N 2007.00


002 FORM-PLAN-YEAR-BEGIN-DATE 15 8 C 0092.00 YYYYMMDD
003 FORM-TAX-PRD 24 8 C 0093.00 YYYYMMDD
004 TYPE-PLAN-ENTITY-CD 33 1 C 0094.00
005 TYPE-DFE-PLAN-ENTITY-CD 35 1 C 0095.00
006 INITIAL-FILING-IND 37 1 C 0096.01
007 AMENDED-IND 39 1 C 0096.02
008 FINAL-FILING-IND 41 1 C 0096.03
009 SHORT-PLAN-YR-IND 43 1 C 0096.04
010 COLLECTIVE-BARGAIN-IND 45 1 C 0097.00
011 EXT-APPLICATION-FILED-IND 47 1 C 0098.00
012 PLAN-NAME 49 140 C 0099.00
013 SPONS-DFE-PN 190 3 C 0100.00
014 PLAN-EFF-DATE 194 8 C 0102.00 YYYYMMDD
015 SPONSOR-DFE-NAME 203 70 C 0103.00
016 SPONS-DFE-DBA-NAME 274 35 C 0105.00
017 SPONS-DFE-CARE-OF-NAME 310 35 C 0106.00
018 SPONS-DFE-MAIL-US-ADDRESS1 347 35 C 0107.01
019 SPONS-DFE-MAIL-US-ADDRESS2 383 35 C 0107.02
020 SPONS-DFE-MAIL-US-CITY 419 22 C 0107.03
021 SPONS-DFE-MAIL-US-STATE 442 2 C 0107.04
022 SPONS-DFE-MAIL-US-ZIP 445 12 C 0107.05
SPONS-DFE-MAIL-FOREIGN-
023 458 35 C 0107.06
ADDRESS1
SPONS-DFE-MAIL-FOREIGN-
024 494 35 C 0107.07
ADDRESS2
025 SPONS-DFE-MAIL-FOREIGN-CITY 530 22 C 0107.08
SPONS-DFE-MAIL-FOREIGN-PROV-
026 553 22 C 0107.09
STATE
027 SPONS-DFE-MAIL-FOREIGN-CNTRY 576 2 C 0111.00
SPONS-DFE-MAIL-FOREIGN-POSTAL-
028 579 22 C 0110.00
CD
029 SPONS-DFE-LOC-MAIL-US-ADDRESS1 602 35 C 0108.01
030 SPONS-DFE-LOC-MAIL-US-ADDRESS2 638 35 C 0108.02
031 SPONS-DFE-LOC-MAIL-US-CITY 674 22 C 0108.03
032 SPONS-DFE-LOC-MAIL-US-STATE 697 2 C 0108.04
033 SPONS-DFE-LOC-MAIL-US-ZIP 700 12 C 0108.05
SPONS-DFE-LOC-MAIL-FOREIGN-
034 713 35 C 0108.06
ADDRESS1
SPONS-DFE-LOC-MAIL-FOREIGN-
035 749 35 C 0108.07
ADDRESS2
036 SPONS-DFE-LOC-MAIL-FOREIGN-CITY 785 22 C 0108.08
SPONS-DFE-LOC-MAIL-FOREIGN-
037 808 22 C 0108.09
PROV-STATE
038 SPONS-DFE-LOC-MAIL-FOREIGN- 831 2 C 0108.10

Page B-4
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Amendment 02 - Attachment 8 Attachment E, Page 30 of 60

EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Appendix B – Physical Record Layout Revision Date: June 5, 2006

File Name: PDPEM.F5500 Date: 6/5/2006

Element
Element Name Dec Length Type Ref Remarks
#

CNTRY
SPONS-DFE-LOC-MAIL-FOREIGN-
039 834 22 C 0108.11
POSTAL-CD
040 SPONS-DFE-EIN 857 9 C 0115.00
041 SPONS-DFE-PHONE-NUM 867 10 C 0117.00
042 BUSINESS-CODE 878 6 C 0118.00
043 ADMIN-NAME 885 70 C 0119.00
044 ADMIN-CARE-OF-NAME 956 70 C 0120.00
045 ADMIN-MAIL-US-ADDRESS1 1028 35 C 0121.01
046 ADMIN-MAIL-US-ADDRESS2 1029 35 C 0121.02
047 ADMIN-MAIL-US-CITY 1065 22 C 0121.03
048 ADMIN-MAIL-US-STATE 1088 2 C 0121.04
049 ADMIN-MAIL-US-ZIP 1091 12 C 0126.00
050 ADMIN-MAIL-FOREIGN-ADDRESS1 1104 35 C 0122.01
051 ADMIN-MAIL-FOREIGN-ADDRESS2 1140 35 C 0122.02
052 ADMIN-MAIL-FOREIGN-CITY 1176 22 C 0122.03
ADMIN-MAIL-FOREIGN-PROV-
053 1199 22 C 0122.04
STATE
054 ADMIN-MAIL-FOREIGN-CNTRY 1222 2 C 0122.05
ADMIN-MAIL-FOREIGN-POSTAL-
055 1225 22 C 0122.06
CD
056 ADMIN-EIN 1248 9 C 0127.00
057 ADMIN-PHONE-NUM 1258 10 C 0128.00
058 LAST-RPT-SPONS-NAME 1269 71 C 0129.00
059 LAST-RPT-SPONS-EIN 1341 9 C 0130.00
060 LAST-RPT-PLAN-NUM 1351 3 C 0131.00
061 ADMIN-SIGNED-DATE 1355 8 C 0143.00 YYYYMMDD
062 ADMIN-SIGNED-NAME 1364 35 C 0144.00
063 SPONS-SIGNED-DATE 1400 8 C 0146.01 YYYYMMDD
064 SPONS-SIGNED-NAME 1409 35 C 0147.01
065 DFE-SIGNED-DATE 1445 8 C 0147.50 YYYYMMDD
066 DFE-SIGNED-NAME 1454 35 C 0147.60
067 TOT-PARTCP-BOY-CNT 1490 8 C 0148.00
068 TOT-ACTIVE-PARTCP-CNT 1499 8 C 0149.00
069 RTD-SEP-PARTCP-RCVG-CNT 1508 8 C 0150.00
070 RTD-SEP-PARTCP-FUT-CNT 1517 8 C 0151.00
071 SUBTL-ACT-RTD-SEP-CNT 1526 8 C 0152.00
072 BENEF-RCVG-BNFT-CNT 1535 8 C 0153.00
073 TOT-ACT-RTD-SEP-BENEF-CNT 1544 8 C 0154.00
074 PARTCP-ACCOUNT-BAL-CNT 1553 8 C 0155.00
075 SEP-PARTCP-PARTL-VSTD-CNT 1562 8 C 0156.00
076 CONTRIB-EMPLRS-CNT 1571 4 C 0157.50
077 TYPE-PENSION-BNFT-CODE 1576 2 C 0159.00
078 TYPE-WELFARE-BNFT-CODE 1579 2 C 0161.00
079 FUNDING-INSURANCE-IND 1582 1 C 0163.01
080 FUNDING-SEC412-IND 1584 1 C 0163.02

Page B-5
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Appendix B – Physical Record Layout Revision Date: June 5, 2006

File Name: PDPEM.F5500 Date: 6/5/2006

Element
Element Name Dec Length Type Ref Remarks
#

081 FUNDING-TRUST-IND 1586 1 C 0163.03


082 FUNDING-GEN-ASSET-IND 1588 1 C 0163.04
083 BENEFIT-INSURANCE-IND 1590 1 C 0164.01
084 BENEFIT-SEC412-IND 1592 1 C 0164.02
085 BENEFIT-TRUST-IND 1594 1 C 0164.03
086 BENEFIT-GEN-ASSET-IND 1596 1 C 0164.04
087 SCH-R-ATTACHED-IND 1598 1 C 0165.00
088 SCH-B-ATTACHED-IND 1600 1 C 0169.00
089 SCH-H-ATTACHED-IND 1602 1 C 0172.00
090 SCH-I-ATTACHED-IND 1604 1 C 0173.00
091 SCH-A-ATTACHED-IND 1606 1 C 0174.00
092 NUM-SCH-A-ATTACHED-CNT 1608 4 C 0175.00
093 SCH-C-ATTACHED-IND 1613 1 C 0176.00
094 SCH-D-ATTACHED-IND 1615 1 C 0177.00
095 SCH-G-ATTACHED-IND 1617 1 C 0178.00
Total Record Length 1618

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Appendix B – Physical Record Layout Revision Date: June 5, 2006

B.4 5500SF Record Layout

File Name: PDPEM.F5500SF Date: 6/5/2006

Element
Element Name Dec Length Type Ref Remarks
#

001 DLN 0 14 N 2007.00


002 SF-PLAN-YEAR-BEGIN-DATE 15 8 C 1092.00 YYYYMMDD
003 SF-TAX-PRD 24 8 C 1093.00 YYYYMMDD
004 SF-PLAN-ENTITY-CD 33 1 C 1094.00
005 SF-INITIAL-FILING-IND 35 1 C 1096.01
006 SF-AMENDED-IND 37 1 C 1096.02
007 SF-FINAL-FILING-IND 39 1 C 1096.03
008 SF-SHORT-PLAN-YR-IND 41 1 C 1096.04
009 SF-EXT-APPLICATION-FILED-IND 43 1 C 1098.00
010 SF-DFVC-APPLICATION-FILED-IND 45 1 C 1098.10
011 SF-PLAN-NAME 47 140 C 1099.00
012 SF-PLAN-NUM 188 3 C 1100.00
013 SF-PLAN-EFF-DATE 192 8 C 1102.00 YYYYMMDD
014 SF-SPONSOR-NAME 201 70 C 1103.00
015 SF-SPONS-DBA-NAME 273 35 C
016 SF-SPONS-CARE-OF-NAME 309 35 C
017 SF-SPONS-US-ADDRESS1 345 35 C 1107.01
018 SF-SPONS-US-ADDRESS2 381 35 C 1107.02
019 SF-SPONS-US-CITY 417 22 C 1107.03
020 SF-SPONS-US-STATE 440 2 C 1107.04
021 SF-SPONS-US-ZIP 443 12 C 1107.05
022 SF-SPONS-FOREIGN-ADDRESS1 456 35 C 1107.06
024 SF-SPONS-FOREIGN-ADDRESS2 492 35 C 1107.07
025 SF-SPONS-FOREIGN-CITY 528 22 C 1107.08
SF-SPONS-FOREIGN-PROV-
026 C 1107.09
STATE 551 22
027 SF-SPONS-FOREIGN-CNTRY 574 2 C 1111.00
028 SF-SPONS-FOREIGN-POSTAL-CD 577 22 C 1110.00
029 SF-SPONS-EMPLR-EIN 600 9 C 1115.00
030 SF-SPONS-EMPLR-PHONE-NUM 610 10 C
031 SF-BUSINESS-CODE 621 6 C 1118.00
032 SF-ADMIN-NAME 628 71 C 1119.00
033 SF-ADMIN-CARE-OF-NAME 700 35 C 1120.00
034 ADMIN-US-ADDRESS1 736 35 C 1121.01
035 ADMIN-US-ADDRESS2 772 35 C 1121.02
036 ADMIN-US-CITY 808 22 C 1121.03
037 ADMIN-US-STATE 831 2 C 1121.04
038 ADMIN-US-ZIP 834 12 C 1126.00
039 ADMIN-FOREIGN-ADDRESS1 847 35 C 1122.01
040 ADMIN-FOREIGN-ADDRESS2 883 35 C 1122.02
041 ADMIN-FOREIGN-CITY 919 22 C 1122.03
042 ADMIN-FOREIGN-PROV- 942 22 C 1122.04

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Appendix B – Physical Record Layout Revision Date: June 5, 2006

File Name: PDPEM.F5500SF Date: 6/5/2006

Element
Element Name Dec Length Type Ref Remarks
#

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

Page B-8
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 8 Attachment E, Page 34 of 60

EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Appendix B – Physical Record Layout Revision Date: June 5, 2006

File Name: PDPEM.F5500SF Date: 6/5/2006

Element
Element Name Dec Length Type Ref Remarks
#

086 SF-FAIL-PROVIDE-BENEFIT-DUE-AMT 1514 15 C 1168.00


087 SF-PLAN-BLACKOUT-PERIOD-IND 1530 1 C 1169.00
088 SF-COMPLY-BLACKOUT-NOTICE-IND 1532 15 C 1170.00
089 SF-PARTCP-LOANS-IND 1548 1 C 1171.00
090 SF-PARTCP-LOANS-EOY-AMT 1550 15 C 1172.00
091 SF-DB-PLAN-FUNDING-REQD-IND 1566 1 C 1173.00
092 SF-DC-PLAN-FUNDING-REQD-IND 1568 1 C 1174.00
093 SF-SEC-412-REQ-CONTRIB-AMT 1570 15 C 1175.00
094 SF-EMPLR-CONTRIB-PAID-AMT 1586 15 C 1176.00
095 SF-EMPLR-CONTRIB-PAID-DATE 1602 8 C 1177.00 YYYYMMDD
096 SF-FUNDING-DEFICIENCY-AMT 1611 15 C 1178.00
097 SF-FUNDING-WAIVER-IND 1627 1 C 1179.00
098 SF-RES-TERM-PLAN-ADPT-IND 1629 1 C 1180.00
099 SF-RES-TERM-PLAN-ADPT-AMT 1631 15 C 1181.00
100 SF-ALL-PLAN-AST-DISTRIB-IND 1647 1 C 1181.50
101 SF-PLAN-TRANSFER-NAME 1649 140 C 1182.00
102 SF-PLAN-TRANSFER-EIN 1790 9 C 1183.00
103 SF-PLAN-TRANSFER-PN 1800 3 C 1184.00
104 SF-ADMIN-SIGNED-DATE 1804 8 C 1185.00 YYYYMMDD
105 SF-ADMIN-SIGNED-NAME 1813 35 C 1186.00
106 SF-SPONS-SIGNED-DATE 1849 8 C 1187.00 YYYYMMDD
107 SF-SPONS-SIGNED-NAME 1858 35 C 1188.00
Total Record Length 1894

Page B-9
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 8 Attachment E, Page 35 of 60

EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Appendix B – Physical Record Layout Revision Date: June 5, 2006

B.5 Schedule A Record Layout

File Name: PDPEM.SCHEDA Date: 6/5/2006

Element
Element Name Dec Length Type Ref Remarks
#

001 DLN 0 14 N 2007.00


002 SCH-A-PLAN-YEAR-BEGIN-DATE 15 8 C 0183.00 YYYYMMDD
003 SCH-A-TAX-PRD 24 8 C 0184.00 YYYYMMDD
004 SCH-A-PLAN-NUM 33 3 C 0185.00
005 SCH-A-EIN 37 9 C 0186.00
006 INS-CARRIER-NAME 47 70 C 0187.00
007 INS-CARRIER-EIN 118 9 C 0192.00
008 INS-CARRIER-NAIC-CODE 128 5 C 0193.00
009 INS-CONTRACT-NUM 134 15 C 0194.00
010 INS-PRSN-COVERED-EOY-CNT 150 7 C 0195.00
011 INS-POLICY-FROM-DATE 158 8 C 0196.00 YYYYMMDD
012 INS-POLICY-TO-DATE 167 8 C 0197.00 YYYYMMDD
013 INS-BROKER-COMM-TOT-AMT 176 15 C 0198.01
014 INS-BROKER-FEES-TOT-AMT 192 15 C 0198.02
015 PENSION EOY-GEN-ACCT-AMT 208 15 C 0211.00
016 PENSION-EOY-SEP-ACCT-AMT 224 15 C 0212.00
017 PENSION-BASIS-RATES-TEXT 240 105 C 0213.00
018 PENSION-PREM-PAID-TOT-AMT 346 15 C 0214.00
019 PENSION-UNPAID-PREMIUM-AMT 362 15 C 0215.00
020 PENSION-CONTRACT-COST-AMT 378 15 C 0216.00
021 PENSION-COST-TEXT 394 105 C 0217.00
022 ALLOC-CONTRACTS-INDIV-IND 500 1 C 0218.01
023 ALLOC-CONTRACTS-GROUP-IND 502 1 0218.02
024 ALLOC-CONTRACTS-OTHER-IND 504 1 0218.03
025 ALLOC-CONTRACTS-OTHER-TEXT 506 105 C 0219.00
PENSION-DISTRIB-BNFT-TERM-PLN-
026 612 1 C 0220.00
IND
UNALLOC-CONTRACTS-DEP-ADMIN-
027 614 1 C 0221.01
IND
UNALLOC-CONTRACTS-IMM-PART-
028 616 1 0221.02
GUAR-IND
UNALLOC-CONTRACTS-GUAR-INVEST-
029 618 1 0221.03
IND
030 UNALLOC-CONTRACTS-OTHER-IND 620 1 0221.04
031 UNALLOC-CONTRACTS-OTHER-TEXT 622 105 C 0222.00
032 PENSION-END-PREV-BAL-AMT 728 15 C 0223.00
033 PENSION-CONTRIB-DEP-AMT 744 15 C 0224.00
034 PENSION-DIVND-CR-DEP-AMT 760 15 C 0225.00
035 PENSION-INT-CR-DUR-YR-AMT 776 15 C 0226.00
036 PENSION-TRANSFER-FROM-AMT 792 15 C 0227.00
037 PENSION-OTHER-AMT 808 15 C 0228.01
038 PENSION-OTHER-TEXT 824 105 C 0229.01
039 PENSION-TOT-ADDITIONS-AMT 930 15 C 0230.00
040 PENSION-TOT-BAL-ADDN-AMT 946 15 C 0231.00

Page B-10
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 8 Attachment E, Page 36 of 60

EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Appendix B – Physical Record Layout Revision Date: June 5, 2006

File Name: PDPEM.SCHEDA Date: 6/5/2006

Element
Element Name Dec Length Type Ref Remarks
#

041 PENSION-BNFTS-DSBRSD-AMT 962 15 C 0232.00


042 PENSION-ADMIN-CHRG-AMT 978 15 C 0233.00
043 PENSION-TRANSFER-TO-AMT 994 15 C 0234.00
044 PENSION-OTH-DED-AMT 1010 15 C 0235.01
045 PENSION-OTH-DED-TEXT 1026 105 C 0236.01
046 PENSION-TOT-DED-AMT 1132 15 C 0237.00
047 PENSION-EOY-BAL-AMT 1148 15 C 0238.00
048 WLFR-BNFT-HEALTH-IND 1164 1 C 0240.01
049 WLFR-BNFT-DENTAL-IND 1166 1 C 0240.02
050 WLFR-BNFT-VISION-IND 1168 1 C 0240.03
051 WLFR-BNFT-LIFE-INSUR-IND 1170 1 C 0240.04
052 WLFR-BNFT-TEMP-DISAB-IND 1172 1 C 0240.05
053 WLFR-BNFT-LONG-TERM-DISAB-IND 1174 1 C 0240.06
054 WLFR-BNFT-UNEMP-IND 1176 1 C 0240.07
055 WLFR-BNFT-DRUG-IND 1178 1 C 0240.08
056 WLFR-BNFT-STOP-LOSS-IND 1180 1 C 0240.09
057 WLFR-BNFT-HMO-IND 1182 1 C 0240.10
058 WLFR-BNFT-PPO-IND 1184 1 C 0240.11
059 WLFR-BNFT-INDEMNITY-IND 1186 1 C 0240.12
060 WLFR-BNFT-OTHER-IND 1188 1 C 0240.99
061 WLFR-TYPE-BNFT-OTH-TEXT 1190 105 C 0241.00
062 WLFR-PREMIUM-RCVD-AMT 1296 15 C 0242.00
063 WLFR-UNPAID-DUE-AMT 1312 15 C 0243.00
064 WLFR-RESERVE-AMT 1328 15 C 0244.00
065 WLFR-TOT-EARNED-PREM-AMT 1344 15 C 0245.00
066 WLFR-CLAIMS-PAID-AMT 1360 15 C 0246.00
067 WLFR-INCR-RESERVE-AMT 1376 15 C 0247.00
068 WLFR-INCURRED-CLAIM-AMT 1392 15 C 0248.00
069 WLFR-CLAIMS-CHRGD-AMT 1408 15 C 0249.00
070 WLFR-RET-COMMISSIONS-AMT 1424 15 C 0250.00
071 WLFR-RET-ADMIN-AMT 1440 15 C 0251.00
072 WLFR-RET-OTH-COST-AMT 1456 15 C 0252.00
073 WLFR-RET-OTH-EXPENSE-AMT 1472 15 C 0253.00
074 WLFR-RET-TAXES-AMT 1488 15 C 0254.00
075 WLFR-RET-CHARGES-AMT 1504 15 C 0255.00
076 WLFR-RET-OTH-CHRGS-AMT 1520 15 C 0256.00
077 WLFR-RET-TOT-AMT 1536 15 C 0257.00
078 WLFR-REFUND-CASH-IND 1552 1 C 0258.01
079 WLFR-REFUND-CREDIT-IND 1554 1 C 0258.02
080 WLFR-REFUND-AMT 1556 15 C 0259.00
081 WLFR-HELD-BNFTS-AMT 1572 15 C 0260.00
082 WLFR-CLAIMS-RESERVE-AMT 1588 15 C 0261.00
083 WLFR-OTH-RESERVE-AMT 1604 15 C 0262.00
084 WLFR-DIVNDS-DUE-AMT 1620 15 C 0263.00
085 WLFR-TOT-CHARGES-PAID-AMT 1636 15 C 0264.00

Page B-11
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 8 Attachment E, Page 37 of 60

EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Appendix B – Physical Record Layout Revision Date: June 5, 2006

File Name: PDPEM.SCHEDA Date: 6/5/2006

Element
Element Name Dec Length Type Ref Remarks
#

086 WLFR-ACQUIS-COST-AMT 1652 15 C 0265.00


087 WLFR-ACQUIS-COST-TEXT 1668 1000 C 0266.00
088 INS-FAIL-PROVIDE-INFO-IND 2669 1 C 0266.50
089 INS-FAIL-PROVIDE-INFO-TEXT 2671 105 C 0266.60
Total Record Length 2777

Page B-12
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 8 Attachment E, Page 38 of 60

EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Appendix B – Physical Record Layout Revision Date: June 5, 2006

B.6 Schedule A Part 1 Record Layout

File Name: PDPEM.SCHAP1 Date: 6/5/2006

Element
Element Name Dec Length Type Ref Remarks
#

001 DLN 0 14 N 2007.00


002 REC-SEQ-NUM 15 20 N TBP by Contractor
003 INS-BROKER-NAME 36 35 C 0199.00
004 INS-BROKER-US-ADDRESS1 72 35 C 0200.01
005 INS-BROKER-US-ADDRESS2 108 35 C 0200.02
006 INS-BROKER-US-CITY 144 22 C 0200.03
008 INS-BROKER-US-STATE 167 2 C 0200.04
009 INS-BROKER-US-ZIP 170 12 C 0200.05
010 INS-BROKER-FOREIGN-ADDRESS1 183 35 C 0201.01
011 INS-BROKER-FOREIGN-ADDRESS2 219 35 C 0201.02
012 INS-BROKER-FOREIGN-CITY 255 22 C 0201.03
INS-BROKER-FOREIGN-PROV-
013 278 22 C 0201.04
STATE
014 INS-BROKER-FOREIGN-CNTRY 301 2 C 0201.05
015 INS-BROKER-FOREIGN-POSTAL-CD 304 22 C 0201.06
016 INS-BROKER-COMM-PD-AMT 327 15 C 0204.00
017 INS-BROKER-FEES-PD-AMT 343 15 C 0205.00
018 INS-BROKER-FEES-PD-TEXT 359 105 C 0206.00
019 INS-BROKER-CODE 465 1 C 0207.00
Total Record Length 467

Page B-13
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 8 Attachment E, Page 39 of 60

EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Appendix B – Physical Record Layout Revision Date: June 5, 2006

B.7 Schedule B Record Layout


File Name: PDPEM.SCHEDB Date: 6/5/2006

Element
Element Name Dec Length Type Ref Remarks
#

001 DLN 0 14 N 2007.00


002 SCH-B-PLAN-YEAR-BEGIN-DATE 15 8 C 0267.00 YYYYMMDD
003 SCH-B-TAX-PRD 24 8 C 0268.00 YYYYMMDD
004 SCH-B-PN 33 3 C 0269.00
005 SCH-B-EIN 37 9 C 0270.00
006 ACTRL-TYPE-EMPLR-CODE 47 1 C 0271.00
007 ACTRL-100-LESS-PARTCP-PR-YR-IND 49 1 C 0272.00
008 ACTRL-VALUE-DATE 51 8 C 0273.00 YYYYMMDD
009 ACTRL-CURR-VALUE-AST-01-AMT 60 15 C 0274.00
010 ACTRL-AST-FNDNG-STD-AMT 76 15 C 0275.00
011 ACTRL-ACCR-LIAB-GAIN-MTHD-AMT 92 15 C 0276.00
012 ACTRL-UNFND-LIAB-MTHD-BASE-AMT 108 15 C 0277.00
013 ACTRL-ACCR-LIAB-AGE-MTHD-AMT 124 15 C 0278.00
014 ACTRL-NORM-COST-AGE-MTHD-AMT 140 15 C 0279.00
015 ACTRL-CURR-LIAB-PRE-PARTCP-AMT 156 15 C 0280.00
016 ACTRL-RPA94-INFO-CURR-LIAB-AMT 172 15 C 0281.00
017 ACTRL-RPA94-EXPT-INCR-LIAB-AMT 188 15 C 0282.00
018 ACTRL-CURR-LIAB-HIGH-INT-AMT 204 15 C 0283.00
ACTRL-RPA94-EXPT-RELEASE-LIAB-
019 220 15 C 0284.00
AMT
020 ACTRL-EXPECT-PLAN-PAYMENT-AMT 236 15 C 0288.00
021 SCH-B-SIGNATURE-DATE 252 8 C 0290.00 YYYYMMDD
022 SCH-B-ACTUARY-NAME-LINE 261 35 C 0291.00
023 SCH-B-ACTUARY-FIRM-NAME 297 35 C 0293.00
024 SCH-B-ACTUARY-US-ADDRESS1 333 35 C 0294.01
025 SCH-B-ACTUARY-US-ADDRESS2 369 35 C 0294.02
026 SCH-B-ACTUARY-US-CITY 405 22 C 0294.03
027 SCH-B-ACTUARY-US-STATE 428 2 C 0294.04
028 SCH-B-ACTUARY-US-ZIP 431 12 C 0294.05
029 SCH-B-ACTUARY-FOREIGN-ADDRESS1 444 35 C 0295.01
030 SCH-B-ACTUARY-FOREIGN-ADDRESS2 480 35 C 0295.02
031 SCH-B-ACTUARY-FOREIGN-CITY 516 22 C 0295.03
SCH-B-ACTUARY-FOREIGN-PROV-
032 539 22 C 0295.04
STATE
033 SCH-B-ACTUARY-FOREIGN-CNTRY 562 2 C 0295.05
SCH-B-ACTUARY-FOREIGN-POSTAL-
034 565 22 C 0295.06
CD
035 SCH-B-ACTUARY-PHONE-NUM 588 10 C 0298.00
036 SCH-B-ACTRY-ENRLMT-NUM 599 7 C 0298.01
037 SCH-B-ACTUARY-NOT-REFLECT-IND 607 1 C 0299.00
038 ACTRL-CURR-VALUE-AST-02-AMT 609 15 C 0300.00
039 ACTRL-LIAB-RTD-PARTCP-CNT 625 8 C 0301.00
040 ACTRL-LIAB-RTD-VSTD-BNFT-AMT 634 15 C 0302.00

Page B-14
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 8 Attachment E, Page 40 of 60

EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Appendix B – Physical Record Layout Revision Date: June 5, 2006

File Name: PDPEM.SCHEDB Date: 6/5/2006

Element
Element Name Dec Length Type Ref Remarks
#

041 ACTRL-LIAB-RTD-TOTAL-BNFT-AMT 650 15 C 0303.00


042 ACTRL-LIAB-TERM-PARTCP-CNT 666 8 C 0304.00
043 ACTRL-LIAB-TERM-VSTD-BNFT-AMT 675 15 C 0305.00
044 ACTRL-LIAB-TERM-TOTAL-BNFT-AMT 691 15 C 0306.00
045 ACTRL-LIAB-ACT-PARTCP-CNT 707 8 C 0307.00
046 ACTRL-LIAB-ACT-VSTD-BNFT-AMT 716 15 C 0308.00
047 ACTRL-LIAB-ACT-TOTAL-BNFT-AMT 732 15 C 0309.00
048 ACTRL-TOT-LIAB-PARTCP-CNT 748 8 C 0310.00
049 ACTRL-TOT-LIAB-VSTD-BNFT-AMT 757 15 C 0311.00
050 ACTRL-TOT-LIAB-BNFT-AMT 773 15 C 0312.00
051 ACTRL-TOT-CURR-LIAB-PRCNT 789 2 C 0313.00
052 ACTRL-TOT-EMPLR-CONTRIB-AMT 792 15 C 0359.00
053 ACTRL-TOT-EMPLEE-CONTRIB-AMT 808 15 C 0360.00
054 ACTRL-OTH-FND-CURR-LIAB-PRCNT 824 4 C 0361.00
055 ACTRL-1ST-LIQUIDITY-SHORT-AMT 829 15 C 0362.00
056 ACTRL-2ND-LIQUIDITY-SHORT-AMT 845 15 C 0363.00
057 ACTRL-3RD-LIQUIDITY-SHORT-AMT 861 15 C 0364.00
058 ACTRL-4TH-LIQUIDITY-SHORT-AMT 877 15 C 0365.00
059 ACTRL-COST-METHOD-CODE 893 1 C 0366.00
060 ACTRL-OTH-COST-TEXT 895 105 C 0367.00
061 ACTRL-CHG-FNDNG-MTHD-IND 1001 1 C 0368.00
062 ACTRL-CHG-REVENUE-PROC-IND 1003 1 C 0369.00
063 ACTRL-CHG-FNDNG-MTHD-DATE 1005 8 C 0370.00 YYYYMMDD
064 ACTRL-CURR-LIAB-RPA-PRCNT 1014 4 C 0371.00
065 ACTRL-CURR-LIAB-RPA-IND 1019 1 C 0372.00
066 ACTRL-WEIGHTED-RTM-AGE 1021 2 C 0375.00
067 ACTRL-WEIGHTED-RTM-AGE-IND 1024 1 C 0376.00
068 ACTRL-RATE-SPEC-INS-PRE-IND 1026 1 C 0377.00
069 ACTRL-RATE-SPEC-INS-POST-IND 1028 1 C 0378.00
070 ACTRL-MORTALITY-MALE-PRE-CODE 1030 7 C 0379.00
071 ACTRL-MORTALITY-MALE-POST-CODE 1038 7 C 0380.00
072 ACTRL-MORTALITY-FEM-PRE-CODE 1046 7 C 0381.00
073 ACTRL-MORTALITY-FEM-POST-CODE 1054 7 C 0382.00
074 ACTRL-VALUATION-INT-PRE-PRCNT 1062 4 C 0383.00
075 ACTRL-VALUATION-INT-PRE-IND 1067 1 C 0384.00
076 ACTRL-VALUATION-INT-POST-PRCNT 1069 4 C 0385.00
077 ACTRL-VALUATION-INT-POST-IND 1074 1 C 0386.00
078 ACTRL-EXPENSE-LOAD-PRE-PRCNT 1076 4 C 0387.00
079 ACTRL-EXPENSE-LOAD-PRE-IND 1081 1 C 0388.00
080 ACTRL-EXPENSE-LOAD-POST-PRCNT 1083 4 C 0389.00
081 ACTRL-EXPENSE-LOAD-POST-IND 1088 1 C 0390.00
082 ACTRL-WTHDRWL-25-MALE-RATE-CD 1090 1 C 0391.00
083 ACTRL-WTHDRWL-25-MALE-PRCNT 1092 4 C 0392.00
084 ACTRL-WTHDRWL-25-FEM-RATE-CD 1097 1 C 0393.00

Page B-15
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 8 Attachment E, Page 41 of 60

EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Appendix B – Physical Record Layout Revision Date: June 5, 2006

File Name: PDPEM.SCHEDB Date: 6/5/2006

Element
Element Name Dec Length Type Ref Remarks
#

085 ACTRL-WTHDRWL-25-FEM-PRCNT 1099 4 C 0394.00


086 ACTRL-WTHDRWL-40-MALE-RATE-CD 1104 1 C 0395.00
087 ACTRL-WTHDRWL-40-MALE-PRCNT 1106 4 C 0396.00
088 ACTRL-WTHDRWL-40-FEM-RATE-CD 1111 1 C 0397.00
089 ACTRL-WTHDRWL-40-FEM-PRCNT 1113 4 C 0398.00
090 ACTRL-WTHDRWL-55-MALE-RATE-CD 1118 1 C 0399.00
091 ACTRL-WTHDRWL-55-MALE-PRCNT 1120 4 C 0400.00
092 ACTRL-WTHDRWL-55-FEM-RATE-CD 1125 1 C 0401.00
093 ACTRL-WTHDRWL-55-FEM-PRCNT 1127 4 C 0402.00
094 ACTRL-SAL-SCALE-MALE-PRCNT 1132 4 C 0403.00
095 ACTRL-SAL-SCALE-MALE-IND 1137 1 C 0404.00
096 ACTRL-SAL-SCALE-FEM-PRCNT 1139 4 C 0405.00
097 ACTRL-SAL-SCALE-FEM-IND 1144 1 C 0406.00
098 ACTRL-INVST-RETURN-PRCNT 1146 5 C 0407.00
ACTRL-INVST-RETURN-CURRENT-
1152 5
VALUE-PRCNT C 0407.01
099 ACTRL-FNDNG-DEFN-WVR-DATE 1158 8 C 0426.00 YYYYMMDD
100 ACTRL-ALT-MTHD-RULE-CODE 1167 1 C 0427.00
ACTRL-SCH-ACTIVE-PARTCP-DATA-
101 1169 1 C 0428.00
IND
102 ACTRL-PR-YR-FNDNG-DEFN-AMT 1171 15 C 0429.00
103 ACTRL-NORMAL-COST-AMT 1187 15 C 0430.00
104 ACTRL-NOT-WVRS-OUTSTD-AMT 1203 15 C 0431.00
105 ACTRL-NOT-WVRS-AMT 1219 15 C 0432.00
106 ACTRL-FNDNG-WVRS-OUTSTD-AMT 1235 15 C 0433.00
107 ACTRL-FNDNG-WVRS-AMT 1251 15 C 0434.00
108 ACTRL-FNDNG-CHRGS-INT-AMT 1267 15 C 0435.00
109 ACTRL-ADDNL-INT-LATE-QRTLY-AMT 1283 15 C 0436.00
110 ACTRL-ADDNL-FNDNG-PRT2-IND 1299 1 C 0437.01
111 ACTRL-ADDNL-FNDNG-PRT2-AMT 1301 15 C 0438.01
112 ACTRL-TOT-CHARGES-AMT 1317 15 C 0439.00
113 ACTRL-PR-YR-CREDIT-BALANCE-AMT 1333 15 C 0440.00
114 ACTRL-EMPLR-CONTRIB-SCH-B-AMT 1349 15 C 0441.00
115 ACTRL-AMORTZ-CR-OUTSTD-BAL-AMT 1365 15 C 0442.00
116 ACTRL-AMORTZ-CREDITS-AMT 1381 15 C 0443.00
117 ACTRL-INT-APPLICABLE-AMT 1397 15 C 0444.00
118 ACTRL-ERISA-FFL-ACCR-LIAB-AMT 1413 15 C 0445.00
119 ACTRL-RPA97-OVRRIDE-CURR-AMT 1429 15 C 0447.00
120 ACTRL-FFL-CREDIT-OBRA-AMT 1445 15 C 0448.00
121 ACTRL-WAIVED-FNDNG-DEFN-AMT 1461 15 C 0450.00
122 ACTRL-OTHER-CREDITS-FFL-AMT 1477 15 C 0451.00
123 ACTRL-TOT-CREDITS-AMT 1493 15 C 0452.00
124 ACTRL-CREDIT-BAL-AMT 1509 15 C 0453.00
125 ACTRL-CURR-FNDNG-DEFN-AMT 1525 15 C 0454.00
126 ACTRL-FNDNG-CHRG-RECNCL-AMT 1541 15 C 0455.00
127 ACTRL-INT-CHRG-RECNCL-AMT 1557 15 C 0456.00

Page B-16
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 8 Attachment E, Page 42 of 60

EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Appendix B – Physical Record Layout Revision Date: June 5, 2006

File Name: PDPEM.SCHEDB Date: 6/5/2006

Element
Element Name Dec Length Type Ref Remarks
#

128 ACTRL-RECNCL-OUTSTD-BAL-AMT 1573 15 C 0457.00


129 ACTRL-RECONCILIATION-AMT 1589 15 C 0458.00
130 ACTRL-TOT-RECONCILIATION-AMT 1605 15 C 0459.00
131 ACTRL-ACCUM-FNDNG-DEFN-AMT 1621 15 C 0460.00
ACTRL-CHG-ACTRL-ASSUMP-CURR-
132 1637 1 C 0461.00
IND
133 ACTRL-STOCK-PRCNT 1639 5 C 0461.20
134 ACTRL-DEBT-PRCNT 1645 5 C 0461.30
135 ACTRL-REAL-EST-PRCNT 1651 5 C 0461.40
136 ACTRL-OTH-ASSET-PRCNT 1657 5 C 0461.50
137 ACTRL-MACAULAY-DUR 1663 5 C 0461.60
138 ACTRL-GOVT-DEBT-PRCNT 1669 5 C 0461.70
139 ACTRL-INVST-GRADE-DEBT-PRCNT 1675 5 C 0461.80
140 ACTRL-HI-YLD-DEBT-PRCNT 1681 5 C 0461.90
141 ACTRL-GATEWAY-PRCNT 1687 4 C 0462.00
142 ACTRL-RPA94-CURR-LIAB-AMT 1692 15 C 0463.00
143 ACTRL-RQR-ADJ-VAL-ASSETS-AMT 1708 15 C 0464.00
ACTRL-RQR-FNDED-CURR-LIAB-
144 1724 4 C 0465.00
PRCNT
145 ACTRL-RQR-UNFND-CURR-LIAB-AMT 1729 15 C 0466.00
146 ACTRL-LIAB-ATTRIBUTE-AMT 1745 15 C 0467.00
147 ACTRL-OUTSTD-UNFND-LIAB-AMT 1761 15 C 0468.00
148 ACTRL-1ST-UNFND-NEW-LIAB-AMT 1777 15 C 0469.00
149 ACTRL-RQR-UNFND-NEW-LIAB-PRCNT 1793 4 C 0470.00
150 ACTRL-2ND-UNFND-NEW-LIAB-AMT 1798 15 C 0471.00
151 ACTRL-RQR-UNFND-OLD-LIAB-AMT 1814 15 C 0472.00
152 ACTRL-DEFICIT-REDUCT-AMT 1830 15 C 0473.00
153 ACTRL-FNDNG-ACCT-DEFICIT-AMT 1846 15 C 0474.00
154 ACTRL-BNFT-PD-UNPRED-AMT 1862 15 C 0475.00
ACTRL-RQR-UNFND-CURR-LIAB-
155 1878 4 C 0476.00
PRCNT
156 ACTRL-TOT-PREV-PRODUCT-AMT 1883 15 C 0478.00
157 ACTRL-1ST-AMORTZ-EVENT-LIAB-AMT 1899 15 C 0479.00
158 ACTRL-RPA94-ADDITIONAL-AMT 1915 15 C 0480.00
159 ACTRL-GREATEST-PREV-AMT 1931 15 C 0481.00
160 ACTRL-PRELIM-ADDNL-FNDNG-AMT 1947 15 C 0482.00
161 ACTRL-CONTRIB-CURR-LIAB-AMT 1963 15 C 0483.00
162 ACTRL-PRELIM-NEITHER-RULE-AMT 1979 15 C 0484.00
163 ACTRL-ADJ-ADDNL-FNDNG-PRCNT 1995 4 C 0489.00
164 ACTRL-ADJ-ADDNL-FNDNG-AMT 2000 15 C 0490.00
Total Record Length 2016

Page B-17
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 8 Attachment E, Page 43 of 60

EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Appendix B – Physical Record Layout Revision Date: June 5, 2006

B.8 Schedule B Part 1 Record Layout


File Name: PDPEM.SCHEDBP1 Date: 6/5/2006

Element
Element Name Dec Length Type Ref Remarks
#

001 DLN 0 14 N 2007.00


002 REC-SEQ-NUM 15 20 N TBP by Contractor
003 ACTRL-CONTRIB-DATE 36 8 C 0314.00 YYYYMMDD
004 ACTRL-CONTRIB-EMPLR-AMT 45 15 C 0315.00
005 ACTRL-CONTRIB-EMPLEE-AMT 61 15 C 0316.00
Total Record Length 77

B.9 Schedule B Part 2 Record Layout

File Name: PDPEM.SCHEDBP2 Date: 6/5/2006

Element
Element Name Dec Length Type Ref Remarks
#

001 DLN 0 14 N 2007.00


002 REC-SEQ-NUM 15 20 N TBP by Contractor
003 ACTRL-AMORTZ-BASE-CODE 36 1 C 0408.00
004 ACTRL-AMORTZ-INIT-BAL-AMT 38 15 C 0409.00
005 ACTRL-AMORTIZATION-AMT 54 15 C 0410.00
Total Record Length 70

Page B-18
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 8 Attachment E, Page 44 of 60

EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Appendix B – Physical Record Layout Revision Date: June 5, 2006

B.10 Schedule C Record Layout

File Name: PDPEM.SCHEDC Date: 6/5/2006

Element
Element Name Dec Length Type Ref Remarks
#

001 DLN 0 14 N 2007.00


YYYYMMDD; Populate from
002 SCH-C-PLAN-YEAR-BEGIN-DATE 15 8 C 0519.00
5500
YYYYMMDD; Populate from
003 SCH-C-TAX-PRD 24 8 C 0520.00
5500
004 SCH-C-PN 33 3 C 0521.00 Populate from 5500
005 SCH-C-EIN 37 9 C 0522.00 Populate from 5500
Total Record Length 47

B.11 Schedule C Part 1 Record Layout

File Name: PDPEM.SCHEDCP1 Date: 6/5/2006

Element
Element Name Dec Length Type Ref Remarks
#

001 DLN 0 14 N 2007.00


002 REC-SEQ-NUM 15 20 N TBP by Contractor
003 PROVIDER-NAME 36 35 C 0524.00
004 PROVIDER-EIN 72 9 C 0525.00
005 PROVIDER-US-ADDRESS1 82 35 C 0525.01
006 PROVIDER-US-ADDRESS2 118 35 C 0525.02
007 PROVIDER-US-CITY 154 22 C 0525.03
008 PROVIDER-US-STATE 177 2 C 0525.04
009 PROVIDER-US-ZIP 180 12 C 0525.05
010 PROVIDER-FOREIGN-ADDRESS1 193 35 C 0525.06
011 PROVIDER-FOREIGN-ADDRESS2 229 35 C 0525.07
012 PROVIDER-FOREIGN-CITY 265 22 C 0525.08
PROVIDER-FOREIGN-PROV-
013 288 22 C 0525.09
STATE
014 PROVIDER-FOREIGN-CNTRY 311 2 C 0525.10
015 PROVIDER-FOREIGN-POSTAL-CD 314 22 C 0525.11
016 PROVIDER-PHONE-NUM 337 10 0525.20
017 PROVIDER-RELATION 348 25 C 0527.00
018 PROVIDER-TOTAL-AMT 374 15 C 0529.50
019 PROVIDER-AMT-EST-IND 390 1 C 0529.60
020 PROVIDER-EST-FORMULA-TEXT 392 105 0529.70
021 PROVIDER-OTHER-COMP-IND 498 1 0529.80
Total Record Length 500

Page B-19
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 8 Attachment E, Page 45 of 60

EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Appendix B – Physical Record Layout Revision Date: June 5, 2006

B.12 Schedule C Part 2 Record Layout

File Name: PDPEM.SCHEDCP2 Date: 6/5/2006

Element
Element Name Dec Length Type Ref Remarks
#

001 DLN 0 14 N 2007.00


002 REC-SEQ-NUM 15 20 N TBP by Contractor
003 REC-SEQ-NUM1 36 20 N TBP by Contractor
004 PROVIDER-01-SRVC-CODE 57 2 C 0530.00
Total Record Length 60

B.13 Schedule C Part 3 Record Layout

File Name: PDPEM.SCHEDCP3 Date: 6/5/2006

Element
Element Name Dec Length Type Ref Remarks
#

001 DLN 0 14 N 2007.00


002 REC-SEQ-NUM 15 20 N TBP by Contractor
003 OTHER-COMP-NAME 36 35 C 0530.10
004 OTHER-COMP-EIN 72 9 C 0530.20
005 OTHER-COMP-PAID-AMT 82 15 C 0530.40
006 OTHER-COMP-AMT-EST-IND 98 1 C 0530.50
007 OTHER-COMP-EST-FORMULA-TEXT 100 105 C 0530.60
008 OTHER-COMP-EXPLAN-TEXT 206 105 C 0530.70
Total Record Length 312

B.14 Schedule C Part 4 Record Layout

File Name: PDPEM.SCHEDCP4 Date: 6/5/2006

Element
Element Name Dec Length Type Ref Remarks
#

001 DLN 0 14 N 2007.00


002 REC-SEQ-NUM 15 20 N TBP by Contractor
003 REC-SEQ-NUM1 36 20 N TBP by Contractor
004 OTHER-COMP-SRVC-CODE 57 2 C 0530.30
Total Record Length 60

Page B-20
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 8 Attachment E, Page 46 of 60

EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Appendix B – Physical Record Layout Revision Date: June 5, 2006

B.15 Schedule C Part 5 Record Layout

File Name: PDPEM.SCHEDCP5 Date: 6/5/2006

Element
Element Name Dec Length Type Ref Remarks
#

001 DLN 0 14 N 2007.00


002 REC-SEQ-NUM 15 20 N TBP by Contractor
003 PROVIDER-FAIL-NAME 36 35 C 0530.71
004 PROVIDER-FAIL-EIN 72 9 C 0530.72
005 PROVIDER-FAIL-US-ADDRESS1 82 35 C 0530.73
006 PROVIDER-FAIL-US-ADDRESS2 118 35 C 0530.74
007 PROVIDER-FAIL-US-CITY 154 22 C 0530.75
008 PROVIDER-FAIL-US-STATE 177 2 C 0530.76
009 PROVIDER-FAIL-US-ZIP 180 12 C 0530.77
010 PROVIDER-FAIL-FOREIGN-ADDRESS1 193 35 C 0530.78
011 PROVIDER-FAIL-FOREIGN-ADDRESS2 229 35 C 0530.79
012 PROVIDER-FAIL-FOREIGN-CITY 265 22 C 0530.80
PROVIDER-FAIL-FOREIGN-PROV-
013 288 22 C 0530.81
STATE
014 PROVIDER-FAIL-FOREIGN-CNTRY 311 2 C 0530.82
015 PROVIDER-FAIL-FOREIGN-POSTAL-CD 314 22 C 0530.83
016 PROVIDER-FAIL-PHONE-NUM 337 10 C 0530.84
Total Record Length 348

Page B-21
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 8 Attachment E, Page 47 of 60

EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Appendix B – Physical Record Layout Revision Date: June 5, 2006

B.16 Schedule C Part 6 Record Layout


File Name: PDPEM.SCHEDCP6 Date: 6/5/2006

Element
Element Name Dec Length Type Ref Remarks
#

001 DLN 0 14 N 2007.00


002 REC-SEQ-NUM 15 20 N TBP by Contractor
003 PROVIDER-TERM-NAME 36 35 C 0531.00
004 PROVIDER-TERM-EIN 72 9 C 0532.00
005 PROVIDER-TERM-POSITION 82 25 C 0533.00
006 PROVIDER-TERM-US-ADDRESS1 108 35 C 0534.01
007 PROVIDER-TERM-US-ADDRESS2 144 35 C 0534.02
008 PROVIDER-TERM-US-CITY 180 22 C 0535.01
009 PROVIDER-TERM-US-STATE 203 2 C 0536.01
010 PROVIDER-TERM-US-ZIP 206 12 C 0537.01
PROVIDER-TERM-FOREIGN-
011 219 35 C 0537.11
ADDRESS1
PROVIDER-TERM-FOREIGN-
012 255 35 C 0537.12
ADDRESS2
013 PROVIDER-TERM-FOREIGN-CITY 291 22 C 0537.13
PROVIDER-TERM-FOREIGN-PROV-
014 314 22 C 0537.14
STATE
015 PROVIDER-TERM-FOREIGN-CNTRY 337 2 C 0537.15
PROVIDER-TERM-FOREIGN-POSTAL-
016 340 22 C 0537.16
CD
017 PROVIDER-TERM-PHONE-NUM 363 10 C 0538.00
018 PROVIDER-TERM-TEXT 374 250 C 0539.00
Total Record Length 625

Page B-22
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 8 Attachment E, Page 48 of 60

EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Appendix B – Physical Record Layout Revision Date: June 5, 2006

B.17 Schedule D Record Layout

File Name: PDPEM.SCHEDD Date: 6/5/2006


Element
Element Name Dec Length Type Ref Remarks
#

001 DLN 0 14 N 2007.00


YYYYMMDD, Populate from
002 SCH-D-PLAN-YEAR-BEGIN-DATE 15 8 C 0540.00
5500
YYYYMMDD, Populate from
003 SCH-D-TAX-PRD 24 8 C 0541.00
5500
004 SCH-D-PN 33 3 C 0542.00 Populate from 5500
005 SCH-D-EIN 37 9 C 0543.00 Populate from 5500
Total Record Length 47

B.18 Schedule D Part 1 Record Layout

File Name: PDPEM.SCHEDDP1 Date: 6/5/2006

Element
Element Name Dec Length Type Ref Remarks
#

001 DLN 0 14 N 2007.00


002 REC-SEQ-NUM 15 20 N TBP by Contractor
003 DFE-P1-ENTITY-NAME 36 35 C 0544.00
004 DFE-P1-SPONS-NAME 72 70 C 0545.00
005 DFE-P1-PLAN-EIN 143 9 C 0546.01
006 DFE-P1-PLAN-PN 153 3 C 0546.02
007 DFE-P1-ENTITY-CODE 157 1 C 0547.00
008 DFE-P1-PLAN-INT-EOY-AMT 159 15 C 0548.00
Total Record Length 175

B.19 Schedule D Part 2 Record Layout

File Name: PDPEM.SCHEDDP2 Date: 6/5/2006

Element
Element Name Dec Length Type Ref Remarks
#

001 DLN 0 14 N 2007.00


002 REC-SEQ-NUM 15 20 N TBP by Contractor
003 DFE-P2-PLAN-NAME 36 140 C 0549.00
004 DFE-P2-PLAN-SPONS-NAME 177 70 C 0550.00
005 DFE-P2-PLAN-EIN 248 9 C 0551.00
006 DFE-P2-PLAN-PN 257 3 C 0552.00
Total Record Length 261

Page B-23
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 8 Attachment E, Page 49 of 60

EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Appendix B – Physical Record Layout Revision Date: June 5, 2006

B.20 Schedule G Record Layout

File Name: PDPEM.SCHEDG Date: 6/5/2006

Element
Element Name Dec Length Type Ref Remarks
#

001 DLN 0 14 N 2007.00


YYYYMMDD, Populate from
002 SCH-G-PLAN-YEAR-BEGIN-DATE 15 8 C 0626.00
5500
YYYYMMDD, Populate from
003 SCH-G-TAX-PRD 24 8 C 0627.00
5500
004 SCH-G-PN 33 3 C 0628.00 Populate from 5500
005 SCH-G-EIN 37 9 C 0629.00 Populate from 5500
Total Record Length 47

B.21 Schedule G Part 1 Record Layout

File Name: PDPEM.SCHEDGP1 Date: 6/5/2006

Element
Element Name Dec Length Type Ref Remarks
#

001 DLN 0 14 N 2007.00


002 REC-SEQ-NUM 15 20 N TBP by Contractor
003 LNS-DEFAULT-PII-IND 36 1 C 0630.00
004 LNS-DEFAULT-OBLIGOR-NAME 38 35 C 0631.00
005 LNS-DEFAULT-OBLIGOR-STR-ADDR 74 35 C 0632.00
006 LNS-DEFAULT-OBLIGOR-CITY 110 22 C 0633.00
007 LNS-DEFAULT-OBLIGOR-STATE 133 2 C 0634.00
008 LNS-DEFAULT-OBLIGOR-ZIP-CODE 136 9 C 0635.00
009 LNS-DEFAULT-ORIGINAL-AMT 146 15 C 0636.00
010 LNS-DEFAULT-PRNCPL-RCVD-AMT 162 15 C 0637.00
011 LNS-DEFAULT-INT-RCVD-AMT 178 15 C 0638.00
012 LNS-DEFAULT-UNPAID-BAL-AMT 194 15 C 0639.00
013 LNS-DEFAULT-DESCRIPTION-TXT 210 105 C 0640.00
014 LNS-DEFAULT-PRCPL-OVERDUE-AMT 316 15 C 0641.00
015 LNS-DEFAULT-INT-OVERDUE-AMT 332 15 C 0642.00
Total Record Length 348

Page B-24
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 8 Attachment E, Page 50 of 60

EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Appendix B – Physical Record Layout Revision Date: June 5, 2006

B.22 Schedule G Part 2 Record Layout

File Name: PDPEM.SCHEDGP2 Date: 6/5/2006

Element
Element Name Dec Length Type Ref Remarks
#

001 DLN 0 14 N 2007.00


002 REC-SEQ-NUM 15 20 N TBP by Contractor
003 LEASES-DEFAULT-PII-IND 36 1 C 0643.00
004 LEASES-DEFAULT-LESSOR-NAME 38 35 C 0644.00
005 LEASES-DEFAULT-RELATION-TEXT 74 35 C 0645.00
006 LEASES-DEFAULT-TERMS-TEXT 110 105 C 0646.00
007 LEASES-DEFAULT-COST-AMT 216 15 C 0647.00
008 LEASES-DEFAULT-CURR-VALUE-AMT 232 15 C 0648.00
009 LEASES-DEFAULT-RENTL-RCPT-AMT 248 15 C 0649.00
010 LEASES-DEFAULT-EXPENSE-PD-AMT 264 15 C 0650.00
011 LEASES-DEFAULT-NET-RCPT-AMT 280 15 C 0651.00
012 LEASES-DEFAULT-ARREARS-AMT 296 15 C 0652.00
Total Record Length 312

Page B-25
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 8 Attachment E, Page 51 of 60

EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Appendix B – Physical Record Layout Revision Date: June 5, 2006

B.23 Schedule H Record Layout

File Name PDPEM.SCHEDH Date: 6/5/2006

Element
Element Name Dec Length Type Ref Remarks
#

001 DLN 0 14 N 2007.00


YYYYMMDD, Populate from
002 SCH-H-PLAN-YEAR-BEGIN-DATE 15 8 C 0663.00
5500
YYYYMMDD, Populate from
003 SCH-H-TAX-PRD 24 8 C 0664.00
5500
004 SCH-H-PN 33 3 C 0665.00 Populate from 5500
005 SCH-H-EIN 37 9 C 0666.00 Populate from 5500
006 NON-INT-BEAR-CASH-BOY-AMT 47 15 C 0667.00
007 EMPLR-CONTRIB-BOY-AMT 63 15 C 0668.00
008 PARTCP-CONTRIB-BOY-AMT 79 15 C 0669.00
009 OTHER-RECEIVABLES-BOY-AMT 95 15 C 0670.00
010 INT-BEAR-CASH-BOY-AMT 111 15 C 0671.00
011 GOVT-SEC-BOY-AMT 127 15 C 0672.00
012 CORP-DEBT-PREFERRED-BOY-AMT 143 15 C 0673.00
013 CORP-DEBT-OTHER-BOY-AMT 159 15 C 0674.00
014 PREF-STOCK-BOY-AMT 175 15 C 0675.00
015 COMMON-STOCK-BOY-AMT 191 15 C 0676.00
016 JOINT-VENTURE-BOY-AMT 207 15 C 0677.00
017 REAL-ESTATE-BOY-AMT 223 15 C 0678.00
018 OTHER-LOANS-BOY-AMT 239 15 C 0679.00
019 PARTCP-LOANS-BOY-AMT 255 15 C 0680.00
020 INT-COMMON-TR-BOY-AMT 271 15 C 0681.00
021 INT-POOL-SEP-ACCT-BOY-AMT 287 15 C 0682.00
022 INT-MASTER-TR-BOY-AMT 303 15 C 0683.00
023 INT-103-12-INVST-BOY-AMT 319 15 C 0684.00
024 INT-REG-INVST-CO-BOY-AMT 335 15 C 0685.00
025 INS-CO-GEN-ACCT-BOY-AMT 351 15 C 0686.00
026 OTH-INVST-BOY-AMT 367 15 C 0687.00
027 EMPLR-SEC-BOY-AMT 383 15 C 0688.00
028 EMPLR-PROP-BOY-AMT 399 15 C 0689.00
029 BLDGS-USED-BOY-AMT 415 15 C 0690.00
030 TOT-ASSETS-BOY-AMT 431 15 C 0691.00
031 BNFTS-PAYABLE-BOY-AMT 447 15 C 0692.00
032 OPRTNG-PAYABLE-BOY-AMT 463 15 C 0693.00
033 ACQUIS-INDBT-BOY-AMT 479 15 C 0694.00
034 OTHER-LIAB-BOY-AMT 495 15 C 0695.00
035 TOT-LIABILITIES-BOY-AMT 511 15 C 0696.00
036 NET-ASSETS-BOY-AMT 527 15 C 0697.00
037 NON-INT-BEAR-CASH-EOY-AMT 543 15 C 0698.00
038 EMPLR-CONTRIB-EOY-AMT 559 15 C 0699.00
039 PARTCP-CONTRIB-EOY-AMT 575 15 C 0700.00
040 OTHER-RECEIVABLES-EOY-AMT 591 15 C 0701.00
041 INT-BEAR-CASH-EOY-AMT 607 15 C 0702.00

Page B-26
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 8 Attachment E, Page 52 of 60

EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Appendix B – Physical Record Layout Revision Date: June 5, 2006

File Name PDPEM.SCHEDH Date: 6/5/2006

Element
Element Name Dec Length Type Ref Remarks
#

042 GOVT-SEC-EOY-AMT 623 15 C 0703.00


043 CORP-DEBT-PREFERRED-EOY-AMT 639 15 C 0704.00
044 CORP-DEBT-OTHER-EOY-AMT 655 15 C 0705.00
045 PREF-STOCK-EOY-AMT 671 15 C 0706.00
046 COMMON-STOCK-EOY-AMT 687 15 C 0707.00
047 JOINT-VENTURE-EOY-AMT 703 15 C 0708.00
048 REAL-ESTATE-EOY-AMT 719 15 C 0709.00
049 OTHER-LOANS-EOY-AMT 735 15 C 0710.00
050 PARTCP-LOANS-EOY-AMT 751 15 C 0711.00
051 INT-COMMON-TR-EOY-AMT 767 15 C 0712.00
052 INT-POOL-SEP-ACCT-EOY-AMT 783 15 C 0713.00
053 INT-MASTER-TR-EOY-AMT 799 15 C 0714.00
054 INT-103-12-INVST-EOY-AMT 815 15 C 0715.00
055 INT-REG-INVST-CO-EOY-AMT 831 15 C 0716.00
056 INS-CO-GEN-ACCT-EOY-AMT 847 15 C 0717.00
057 OTH-INVST-EOY-AMT 863 15 C 0718.00
058 EMPLR-SEC-EOY-AMT 879 15 C 0719.00
059 EMPLR-PROP-EOY-AMT 895 15 C 0720.00
060 BLDGS-USED-EOY-AMT 911 15 C 0721.00
061 TOT-ASSETS-EOY-AMT 927 15 C 0722.00
062 BNFTS-PAYABLE-EOY-AMT 943 15 C 0723.00
063 OPRTNG-PAYABLE-EOY-AMT 959 15 C 0724.00
064 ACQUIS-INDBT-EOY-AMT 975 15 C 0725.00
065 OTHER-LIAB-EOY-AMT 991 15 C 0726.00
066 TOT-LIABILITIES-EOY-AMT 1007 15 C 0727.00
067 NET-ASSETS-EOY-AMT 1023 15 C 0728.00
068 EMPLR-CONTRIB-INCOME-AMT 1039 15 C 0729.00
069 PARTICIPANT-CONTRIB-AMT 1055 15 C 0730.00
070 OTH-CONTRIB-RCVD-AMT 1071 15 C 0731.00
071 NON-CASH-CONTRIB-BS-AMT 1087 15 C 0732.00
072 TOT-CONTRIB-AMT 1103 15 C 0733.00
073 INT-BEAR-CASH-AMT 1119 15 C 0734.00
074 INT-ON-GOVT-SEC-AMT 1135 15 C 0735.00
075 INT-ON-CORP-DEBT-AMT 1151 15 C 0736.00
076 INT-ON-OTH-LOANS-AMT 1167 15 C 0738.00
077 INT-ON-PARTCP-LOANS-AMT 1183 15 C 0739.00
078 INT-ON-OTH-INVST-AMT 1199 15 C 0740.00
079 TOTAL-INTEREST-AMT 1215 15 C 0741.00
080 DIVND-PREF-STOCK-AMT 1231 15 C 0742.00
081 DIVND-COMMON-STOCK-AMT 1247 15 C 0743.00
082 TOTAL-DIVIDENDS-AMT 1263 15 C 0744.00
083 TOTAL-RENTS-AMT 1279 15 C 0745.00
084 AGGREGATE-PROCEEDS-AMT 1295 15 C 0746.00
085 AGGREGATE-COSTS-AMT 1311 15 C 0747.00
086 TOT-GAIN-LOSS-SALE-AST-AMT 1327 15 C 0748.00

Page B-27
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 8 Attachment E, Page 53 of 60

EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Appendix B – Physical Record Layout Revision Date: June 5, 2006

File Name PDPEM.SCHEDH Date: 6/5/2006

Element
Element Name Dec Length Type Ref Remarks
#

087 UNREALZD-APPRCTN-RE-AMT 1343 15 C 0749.00


088 UNREALZD-APPRCTN-OTH-AMT 1359 15 C 0750.00
089 TOT-UNREALZD-APPRCTN-AMT 1375 15 C 0751.00
090 GAIN-LOSS-COM-TRUST-AMT 1391 15 C 0752.00
091 GAIN-LOSS-POOL-SEP-AMT 1407 15 C 0753.00
092 GAIN-LOSS-MASTER-TR-AMT 1423 15 C 0754.00
093 GAIN-LOSS-103-12-INVST-AMT 1439 15 C 0755.00
094 GAIN-LOSS-REG-INVST-AMT 1455 15 C 0756.00
095 OTHER-INCOME-AMT 1471 15 C 0757.00
096 TOT-INCOME-AMT 1487 15 C 0758.00
097 DISTRIB-DRT-PARTCP-AMT 1503 15 C 0759.00
098 INS-CARRIER-BNFTS-AMT 1519 15 C 0760.00
099 OTH-BNFT-PAYMENT-AMT 1535 15 C 0761.00
100 TOT-DISTRIB-BNFT-AMT 1551 15 C 0762.00
101 TOT-CORRECTIVE-DISTRIB-AMT 1567 15 C 0763.00
TOT-DEEMED-DISTRIB-PARTCP-LNS-
102 1583 15 C 0764.00
AMT
103 TOT-INT-EXPENSE-AMT 1599 15 C 0765.00
104 PROFESSIONAL-FEES-AMT 1615 15 C 0766.00
105 CONTRACT-ADMIN-FEES-AMT 1631 15 C 0767.00
106 INVST-MGMT-FEES-AMT 1647 15 C 0768.00
107 OTHER-ADMIN-FEES-AMT 1663 15 C 0769.00
108 TOT-ADMIN-EXPENSES-AMT 1679 15 C 0770.00
109 TOT-EXPENSES-AMT 1695 15 C 0771.00
110 NET-INCOME-AMT 1711 15 C 0772.00
111 TOT-TRANSFERS-TO-AMT 1727 15 C 0773.00
112 TOT-TRANSFERS-FROM-AMT 1743 15 C 0774.00
113 ACCTNT-OPINION-TYPE-IND 1759 1 C 0775.00
114 ACCT-OPIN-NOT-ON-FILE-IND 1761 1 C
0775.04
115 ACCT-PERFORMED-LTD-AUDIT-IND 1763 1 C
0775.01
116 ACCOUNTANT-FIRM-NAME 1765 35 C
0775.02
117 ACCOUNTANT-FIRM-EIN 1801 9 C
0775.03
118 FAIL-TRANSMIT-CONTRIB-IND 1811 1 C 0780.00
119 FAIL-TRANSMIT-CONTRIB-AMT 1813 15 C 0781.00
120 LOANS-IN-DEFAULT-IND 1829 1 C 0782.00
121 LOANS-IN-DEFAULT-AMT 1831 15 C 0783.00
122 LEASES-IN-DEFAULT-IND 1847 1 C 0784.00
123 LEASES-IN-DEFAULT-AMT 1849 15 C 0785.00
124 PARTY-IN-INT-NOT-RPTD-IND 1865 1 C 0786.00
125 PARTY-IN-INT-NOT-RPTD-AMT 1867 15 C 0787.00
126 PLAN-INS-FDLTY-BOND-IND 1883 1 C 0788.00
127 PLAN-INS-FDLTY-BOND-AMT 1885 15 C 0789.00
128 LOSS-DISCV-DUR-YEAR-IND 1901 1 C 0790.00
129 LOSS-DISCV-DUR-YEAR-AMT 1903 15 C 0791.00

Page B-28
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 8 Attachment E, Page 54 of 60

EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Appendix B – Physical Record Layout Revision Date: June 5, 2006

File Name PDPEM.SCHEDH Date: 6/5/2006

Element
Element Name Dec Length Type Ref Remarks
#

130 ASSET-UNDETERM-VAL-IND 1919 1 C 0792.00


131 ASSET-UNDETERM-VAL-AMT 1921 15 C 0793.00
132 NON-CASH-CONTRIB-IND 1937 1 C 0794.00
133 NON-CASH-CONTRIB-AMT 1939 15 C 0795.00
134 AST-HELD-INVST-IND 1955 1 C 0796.00
135 FIVE-PRCNT-TRANS-IND 1957 1 C 0797.00
136 ALL-PLAN-AST-DISTRIB-IND 1959 1 C 0798.00
137 FAIL-PROVIDE-BENEFIT-DUE-IND 1961 1 C 0798.10
138 FAIL-PROVIDE-BENEFIT-DUE-AMT 1963 15 C 0798.15
139 PLAN-BLACKOUT-PERIOD-IND 1979 1 C 0798.20
140 COMPLY-BLACKOUT-NOTICE-IND 1981 1 C 0798.30
141 RES-TERM-PLAN-ADPT-IND 1983 1 C 0799.00
142 RES-TERM-PLAN-ADPT-AMT 1985 15 C 0800.00
Total Record Length 2001

B.24 Schedule H Part 1 Record Layout

File Name PDPEM.SCHEDHP1 Date: 6/5/2006

Element
Element Name Dec Length Type Ref Remarks
#

001 DLN 0 14 N 2007.00


002 REC-SEQ-NUM 15 20 N TBP by Contractor
003 PLAN-TRANSFER-NAME 36 140 C 0801.00
004 PLAN-TRANSFER-EIN 177 9 C 0802.00
005 PLAN-TRANSFER-PN 187 3 C 0803.00
Total Record Length 191

Page B-29
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 8 Attachment E, Page 55 of 60

EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Appendix B – Physical Record Layout Revision Date: June 5, 2006

B.25 Schedule I Record Layout

File Name: PDPEM.SCHEDI Date: 6/5/2006

Element
Element Name Dec Length Type Ref Remarks
#
001 DLN 0 14 N 2007.00
YYYYMMDD; Populate from
002 SCH-I-PLAN-YEAR-BEGIN-DATE 15 8 C 0813.00
5500
YYYYMMDD; Populate from
003 SCH-I-TAX-PRD 24 8 C 0814.00
5500
004 SCH-I-PLAN-NUM 33 3 C 0815.00 Populate from 5500
005 SCH-I-EIN 37 9 C 0816.00 Populate from 5500
006 SMALL-TOT-ASSETS-BOY-AMT 47 15 C 0817.00
007 SMALL-TOT-LIABILITIES-BOY-AMT 63 15 C 0818.00
008 SMALL-NET-ASSETS-BOY-AMT 79 15 C 0819.00
009 SMALL-TOT-ASSETS-EOY-AMT 95 15 C 0820.00
010 SMALL-TOT-LIABILITIES-EOY-AMT 111 15 C 0821.00
011 SMALL-NET-ASSETS-EOY-AMT 127 15 C 0822.00
012 SMALL-EMPLR-CONTRIB-INCOME-AMT 143 15 C 0823.00
013 SMALL-PARTICIPANT-CONTRIB-AMT 159 15 C 0824.00
014 SMALL-OTH-CONTRIB-RCVD-AMT 175 15 C 0825.00
015 SMALL-NON-CASH-CONTRIB-BS-AMT 191 15 C 0826.00
016 SMALL-OTHER-INCOME-AMT 207 15 C 0827.00
017 SMALL-TOT-INCOME-AMT 223 15 C 0828.00
018 SMALL-TOT-DISTRIB-BNFT-AMT 239 15 C 0829.00
019 SMALL-CORRECTIVE-DISTRIB-AMT 255 15 C 0830.00
SMALL-DEEMED-DSTRB-PARTCP-LN-
020 271 15 C 0831.00
AMT
021 SMALL-ADMIN-SRVC-PROVIDERS-AMT 287 15 0831.50
022 SMALL-OTH-EXPENSES-AMT 303 15 C 0832.00
023 SMALL-TOT-EXPENSES-AMT 319 15 C 0833.00
024 SMALL-NET-INCOME-AMT 335 15 C 0834.00
025 SMALL-TOT-PLAN-TRANSFERS-AMT 351 15 C 0835.00
026 SMALL-JOINT-VENTURE-EOY-IND 367 1 C 0836.00
027 SMALL-JOINT-VENTURE-EOY-AMT 369 15 C 0837.00
028 SMALL-EMPLR-PROP-EOY-IND 385 1 C 0838.00
029 SMALL-EMPLR-PROP-EOY-AMT 387 15 C 0839.00
030 SMALL-INVST-REAL-ESTATE-EOY-IND 403 1 C 0840.00
031 SMALL-INVST-REAL-ESTATE-EOY-AMT 405 15 C 0841.00
032 SMALL-EMPLR-SEC-EOY-IND 421 1 C 0842.00
033 SMALL-EMPLR-SEC-EOY-AMT 423 15 C 0843.00
034 SMALL-MORTG-PARTCP-EOY-IND 439 1 C 0844.00
035 SMALL-MORTG-PARTCP-EOY-AMT 441 15 C 0845.00
036 SMALL-OTH-LNS-PARTCP-EOY-IND 457 1 C 0846.00
037 SMALL-OTH-LNS-PARTCP-EOY-AMT 459 15 C 0847.00
038 SMALL-PERSONAL-PROP-EOY-IND 475 1 C 0848.00
039 SMALL-PERSONAL-PROP-EOY-AMT 477 15 C 0849.00
040 SMALL-FAIL-TRANSMIT-CONTRIB-IND 493 1 C 0850.00
041 SMALL-FAIL-TRANSMIT-CONTRIB-AMT 495 15 C 0851.00
042 SMALL-LOANS-IN-DEFAULT-IND 511 1 C 0852.00

Page B-30
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 8 Attachment E, Page 56 of 60

EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Appendix B – Physical Record Layout Revision Date: June 5, 2006

File Name: PDPEM.SCHEDI Date: 6/5/2006

Element
Element Name Dec Length Type Ref Remarks
#
043 SMALL-LOANS-IN-DEFAULT-AMT 513 15 C 0853.00
044 SMALL-LEASES-IN-DEFAULT-IND 529 1 C 0854.00
045 SMALL-LEASES-IN-DEFAULT-AMT 531 15 C 0855.00
046 SMALL-PARTY-IN-INT-NOT-RPTD-IND 547 1 C 0856.00
047 SMALL-PARTY-IN-INT-NOT-RPTD-AMT 549 15 C 0857.00
048 SMALL-PLAN-INS-FDLTY-BOND-IND 565 1 C 0858.00
049 SMALL-PLAN-INS-FDLTY-BOND-AMT 567 15 C 0859.00
050 SMALL-LOSS-DISCV-DUR-YEAR-IND 583 1 C 0860.00
051 SMALL-LOSS-DISCV-DUR-YEAR-AMT 585 15 C 0861.00
052 SMALL-ASSET-UNDETERM-VAL-IND 601 1 C 0862.00
053 SMALL-ASSET-UNDETERM-VAL-AMT 603 15 C 0863.00
054 SMALL-NON-CASH-CONTRIB-IND 619 1 C 0864.00
055 SMALL-NON-CASH-CONTRIB-AMT 621 15 C 0865.00
056 SMALL-20-PRCNT-SNGL-INVST-IND 637 1 C 0866.00
057 SMALL-20-PRCNT-SNGL-INVST-AMT 639 15 C 0867.00
058 SMALL-ALL-PLAN-AST-DISTRIB-IND 655 1 C 0868.00
059 WAIVER-ANNUAL-IQPA-REPORT 657 1 C 0868.01
SMALL-FAIL-PROVIDE-BENEFIT-DUE-
060 659 1 C 0868.10
IND
SMALL-FAIL-PROVIDE-BENEFIT-DUE-
061 661 15 C 0868.15
AMT
062 SMALL-PLAN-BLACKOUT-PERIOD-IND 677 1 C 0868.20
SMALL-COMPLY-BLACKOUT-NOTICE-
063 679 1 C 0868.30
IND
064 SMALL-RES-TERM-PLAN-ADPT-IND 681 1 C 0869.00
065 SMALL-RES-TERM-PLAN-ADPT-AMT 683 15 C 0870.00
Total Record Length 699

B.26 Schedule I Part 1 Record Layout

File Name: PDPEM.SCHEDIP1 Date: 6/5/2006

Element
Element Name Dec Length Type Ref Remarks
#

001 DLN 0 14 N 2007.00


002 REC-SEQ-NUM 15 20 N TBP by Contractor
003 SMALL-PLAN-TRANSFER-NAME 36 140 C 0871.00
004 SMALL-PLAN-TRANSFER-EIN 177 9 C 0872.00
005 SMALL-PLAN-TRANSFER-PN 187 3 C 0873.00
Total Record Length 191

Page B-31
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 8 Attachment E, Page 57 of 60

EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Appendix B – Physical Record Layout Revision Date: June 5, 2006

B.27 Schedule R Record Layout

File Name: PDPEM.SCHEDR Date: 6/5/2006

Element
Element Name Dec Length Type Ref Remarks
#

001 DLN 0 14 N 2007.00


YYYYMMDD; Populate from
002 SCH-R-PLAN-YEAR-BEGIN-DATE 15 8 C 0898.00
5500
YYYYMMDD; Populate from
003 SCH-R-TAX-PRD 24 8 C 0899.00
5500
004 SCH-R-PN 33 3 C 0900.00 Populate from 5500
005 SCH-R-EIN 37 9 C 0901.00 Populate from 5500
006 PEN-VALUE-DSTRB-PD-PRPTY-AMT 47 15 C 0902.00
007 PEN-PAYOR-01-EIN 63 9 C 0903.00
008 PEN-PAYOR-02-EIN 73 9 C 0904.00
009 PEN-BNFT-DISTRIB-SNGL-SUM-CNT 83 8 C 0905.00
010 PEN-ELEC-SATISFY-CODE-412-IND 92 1 C 0906.00
011 PEN-FNDNG-WVRS-DATE 94 8 C 0907.00 YYYYMMDD
012 PEN-EMPLR-CONTRIB-RQR-AMT 103 15 C 0908.00
013 PEN-EMPLR-CONTRIB-PAID-AMT 119 15 C 0909.00
014 PEN-FUNDING-DEFICIENCY-AMT 135 15 C 0910.00
015 PEN-FUNDING-DEADLINE-IND 151 1 C 0910.50
016 PEN-CHG-FNDNG-METHOD-IND 153 1 C 0911.00
017 PEN-AMDMT-INCR-VAL-BNFT-IND 155 2 C 0913.00
018 PEN-SEC-REPAY-LOAN-IND 158 1 C 0950.00
019 PEN-SEC-REPAY-LOAN-TEXT 160 250 C 0951.00
020 ESOP-PREF-STOCK-IND 411 1 C 0952.00
021 ESOP-PREF-CNVRT-TEXT 413 250 C 0953.00
022 ESOP-BACK-TO-BACK-IND 664 1 C 0954.00
023 ESOP-STOCK-NOT-TRADABLE-IND 666 1 C 0955.00
024 CONTRIB-EMPLR-NAME 668 70 C 0956.00
025 CONTRIB-EMPLR-EIN 739 9 C 0957.00
026 CONTRIB-EMPLR-AMT 749 15 C 0958.00
027 CONTRIB-EMPLR-RATE 765 4 C 0959.00
028 CONTRIB-EMPLR-BASE-CD 770 1 C 0960.00
029 CONTRIB-EMPLR-OTH-BASE-TEXT 772 25 C 0960.50
030 CONTRIB-EMPLR-CBA-EXP-DATE 798 8 C 0961.00
Total Record Length 807

Page B-32
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 8 Attachment E, Page 58 of 60

EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Appendix B – Physical Record Layout Revision Date: June 5, 2006

B.28 Schedule R Part 1 Record Layout

File Name: PDPEM.SCHEDRP1 Date: 6/5/2006

Element
Element Name Dec Length Type Ref Remarks
#

001 DLN 0 14 N 2007.00


002 REC-SEQ-NUM 15 20 N TBPby Contractor
003 CONTRIB-EMPLR-NAME 36 70 C 0956.00
004 CONTRIB-EMPLR-EIN 107 9 C 0957.00
005 CONTRIB-EMPLR-AMT 117 15 C 0958.00
006 CONTRIB-EMPLR-RATE 133 4 C 0959.00
007 CONTRIB-EMPLR-BASE-CD 138 1 C 0960.00
008 CONTRIB-EMPLR-OTH-BASE-TEXT 140 25 C 0960.50
009 CONTRIB-EMPLR-CBA-EXP-DATE 166 8 C 0961.00
Total Record Length 175

B.29 Tracking Record Layout

File Name: PDPEM.TRACKING Date: 6/5/2006

Element
Element Name Dec Length Type Ref Remarks
#

001 DLN 0 14 N 2007.00

002 FILING-HEADER-EIN 9 C 1502.00


003 FILING-HEADER-PN 3 C 1503.00
004 FILING-HEADER-PLAN-YEAR-BEGIN 8 C 1503.50
005 FILING-HEADER-PLAN-YEAR-END 8 C 1504.00
006 FILING-HEADER-AMENDED-IND 1 C 1505.00
007 FILING-HEADER-REF-ACK-ID TBP C 1505.50
008 FILING-HEADER-FORM-YEAR 4 C 1506.00
009 FILING-HEADER-PRIOR-YR-IND TBP N 1507.20
010 Form Type (5500,5500-SF) TBP TBP TBP
011 FILING-ID 20 C 1500.00
012 FILING-HEADER-FILING-SOFTWARE-ID TBP C 1507.50
013 SPONSOR-SIGNATURE-USERID 8 C 1512.00
014 ADMIN-SIGNATURE-USERID 8 C 1508.00
015 DFE-SIGNATURE-USERID 8 C 1515.50
016 AGENT-SECURITY-SIGNERID TBP C 1517.00
017 SUBMISSION-REQUEST-ID 20 C 2000.00
018 TRANSMITTER-ID 8 C 2000.70
019 TRANSMISSION-SOFTWARE-ID 8 C 2001.00
020 ACK-ID TBP TBP 1621.00
021 FILING-STATUS 30 C 1622.00
022 ERROR-CODE [] TBP TBP TBP
023 FILING-HEADER-TIMESTAMP 20 C 1501.00

Page B-33
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 8 Attachment E, Page 59 of 60

EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Appendix B – Physical Record Layout Revision Date: June 5, 2006

File Name: PDPEM.TRACKING Date: 6/5/2006

Element
Element Name Dec Length Type Ref Remarks
#

024 RECEIVED-TIMESTAMP 25 C 1621.00


025 Tracking Record Created Timestamp TBP TBP TBP
TRANSMISSION-RESPONSE-
026 25 C 2005.00
TIMESTAMP
027 VALIDATED-TIMESTAMP 25 C 1624.00 .
028 Acknowledgement Response Timestamp TBP TBP TBP
029 Output Record Timestamp TBP TBP TBP
030 Completed EBSA Availability Timestamp TBP TBP TBP
031 Completed IRS Availability Timestamp TBP TBP TBP
032 Completed PBGC Availability Timestamp TBP TBP TBP
Completed Public Disclosure Availability
033 TBP TBP TBP
Timestamp
034 EBSA Availability Indicator TBP TBP TBP

035 IRS Availability Indicator TBP TBP TBP

036 PBGC Availability Indicator TBP TBP TBP


037 Public Disclosure Availability Indicator TBP TBP TBP
038 Completed EBSA Delivery Timestamp TBP TBP TBP
039 Completed IRS Delivery Timestamp TBP TBP TBP
040 Completed PBGC Delivery Timestamp TBP TBP TBP
041 COMPLETED-PROC-TIMESTAMP 25 C 1624
042 DLN TBP TBP TBP
043 Link to XML output record TBP TBP TBP
044 Link to Archived Input message TBP TBP TBP
045 Suspect Duplicate Indicator TBP TBP TBP
046 True Duplicate Indicator TBP TBP TBP

Page B-34
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 8 Attachment E, Page 60 of 60

EFAST2 Interface Requirements Document Operational Date: January 1, 2009


Appendix B – Physical Record Layout Revision Date: June 5, 2006

B.30 Control Record Layout


File Name: 260-xx-03-001 Date: 6/5/2006
Record Title: EFAST2 Control Record

Element Name Dec Length Type Remarks

DATA-SET-NAME 0 44 C Name of Data File


FILLER 44 1 C
Total record count (Should =
RECORD-COUNT 12 C sum of four counts shown
45 below)
FILLER 57 1 C
AGENCY-NUMBER 58 3 C Blank
FILLER 61 1 C
AGENCY-NAME 62 44 C Vendor name
FILLER 106 1 C
AGENCY-ADDRESS 107 44 C Address + City, State, Zip
FILLER 151 1 C
O (Original), B (Backup), R
TYPE-OF-DATA 1 C
152 (Replacement), or T (Test)
FILLER 153 1 C
CREATION-DATE 154 8 C YYYYMMDD
FILLER 162 1 C
5500-COUNT 163 12 C Unsigned
FILLER 175 1 C
5500SF-COUNT 176 12 C Unsigned
FILLER 188 1 C
SCHEDULES-COUNT 189 12 C Unsigned
FILLER 201 1 C
TRANSMISSION-DATE 202 8 C YYYYMMDD
FILLER 210 33 C
Total Record Length 243

Page B-35
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 9 Attachment J, Page 1 of 16

Attachment 9
Attachment J
EFAST2 Tracking Database and
Production Control Reporting Requirements
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 9 Attachment J, Page 2 of 16

This Page is Intentionally Left Blank


DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 9 Attachment J, Page 3 of 16

J.1 Tracking Database Purpose

The purpose of the tracking database is multifold:

1. Production Control Reports. Provide an automated infrastructure enabling timely,


automatic generation of accurate production control reports to the Government,
based on self-consistent counts of all filings received in valid submission requests,
including accepted, not accepted, and in-process, and counts of filings failing each
edit test.
2. Audit. Provide an auditable basis for measuring system performance, including
timeliness performance standards and associated incentive payments.
3. End User Reference. Allow authorized Government end users to search for filing
information, including across multiple plan years, and obtain identifiers used to
retrieve posted filing data.

J.2 Tracking Database Requirements

The tracking database requirements described below are not intended to fully satisfy the
Contractor's internal production control needs. They concern only functionality required for the
purposes listed above.

The database shall include one record for every filing submission received in a valid request
message as defined in Section C.10.4, including not-accepted submissions and filings still in
process in IFAS (i.e., not yet posted to Data Management).

Filing status records shall be retained in the tracking database from filing receipt for a
minimum of five years after delivery to the Government of final status structured data
records.

J.2.1 Tracking Database Records and Data Elements

Each record in the database shall contain, at a minimum, the following data elements (See the
DER, Attachment P, for detailed description):

Field Source When Populated


FILING-HEADER-EIN FilingHeader Tracking record
creation
FILING-HEADER-PN FilingHeader Tracking record
creation
FILING-HEADER-PLAN-YEAR- FilingHeader Tracking record
BEGIN creation
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 9 Attachment J, Page 4 of 16

Field Source When Populated


FILING-HEADER-PLAN-YEAR- FilingHeader Tracking record
END creation

FILING-HEADER-AMENDED- FilingHeader Tracking record


IND creation
FILING-HEADER-REF-ACK-ID FilingHeader Tracking record
creation
FILING-HEADER-FORM-YEAR FilingHeader Tracking record
creation
FILING-HEADER-PRIOR-YR-IND FilingHeader Tracking record
creation
Form Type (5500, 5500-SF) Filing structure Tracking record
creation
FILING-ID FilingHeader Tracking record
creation
FILING-HEADER-FILING- FilingHeader Tracking record
SOFTWARE-ID creation
SPONSOR-SIGNATURE-USERID FilingHeader Tracking record
creation
ADMIN-SIGNATURE-USERID FilingHeader Tracking record
creation
DFE-SIGNATURE-USERID FilingHeader Tracking record
creation
AGENT-SECURITY-SIGNERID FilingHeader Tracking record
creation
SUBMISSION-REQUEST-ID RequestHeader Tracking record
creation
TRANSMITTER-ID RequestHeader Tracking record
creation

TRANSMISSION-SOFTWARE-ID RequestHeader Tracking record


creation
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 9 Attachment J, Page 5 of 16

Field Source When Populated


ACK-ID Filing Status database. On completion of
System-generated acceptance
unique identifier of a processing
filing submission,
whether accepted or
not. Generated on
completion of
acceptance processing.
FILING-STATUS Filing Status database On completion of
acceptance
processing
ERROR-CODE [] Filing Status database On completion of
(array) of all schema acceptance
failures and edit test processing
failures
FILING-HEADER-TIMESTAMP FilingHeader Tracking record
creation

TRANSMISSION-MESSAGE- RequestHeader Tracking record


TIMESTAMP creation
RECEIVED-TIMESTAMP System-generated, Tracking record
indicates time of creation
receipt of valid
submission message.
This value shall be
used to determine
compliance with
timeliness performance
standards described in
Section C.2.
Tracking Record Created System-generated by Tracking record
Timestamp tracking database at creation
time this record is
inserted.
TRANSMISSION-RESPONSE- System-generated by Receipt sent to
TIMESTAMP tracking database at filer
time the receipt is
generated and returned
to filer.
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 9 Attachment J, Page 6 of 16

Field Source When Populated


VALIDATED-TIMESTAMP System-generated, On completion of
indicates time of acceptance
completion of processing
acceptance processing
in IFAS and generation
of filing status field in
tracking database. The
value for this data
element shall be used
to determine
compliance with
timeliness performance
standards described in
Section C.2.
Acknowledgement Response System-generated, Acknowledgement
Timestamp indicates time of sent to filer
completion of
acceptance processing
in IFAS and generation
of acknowledgement
response to filer. The
value for this data
element shall be used
to determine
compliance with
timeliness performance
standards described in
Section C.2.

Output Record Timestamp System-generated, On completion of


indicates time of output record
generation of creation
ProcessedFiling output
data record.
Completed EBSA Availability System-generated, On completion of
Timestamp indicates availability of EBSA output
data distribution record record availability
to EBSA. The value
for this data element
shall be used to
determine compliance
with timeliness
performance standards
described in Section
C.2.
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 9 Attachment J, Page 7 of 16

Field Source When Populated


Completed IRS Availability System-generated, On completion of
Timestamp indicates availability of IRS output record
data distribution record availability
to IRS. The value for
this data element shall
be used to determine
compliance with
timeliness performance
standards described in
Section C.2.
Completed PBGC Availability System-generated, On completion of
Timestamp indicates availability of PBGC output
data distribution record record availability
to PBGC. The value
for this data element
shall be used to
determine compliance
with timeliness
performance standards
described in Section
C.2.
Completed Public Disclosure System-generated, On completion of
Availability Timestamp indicates availability of Public Disclosure
data distribution record output record
to Public Disclosure.
EBSA Availability Indicator System-generated, Tracking record
relates to selection creation; set = 0 if
criteria for EBSA delivery not
distribution described required, set = 1 if
in Attachment E.2.1.2. delivery required
IRS Availability Indicator System-generated, Tracking record
relates to selection creation; set = 0 if
criteria for IRS delivery not
distribution described required, set = 1 if
in Attachment E.2.2.2. delivery required
PBGC Availability Indicator System-generated, Tracking record
relates to selection creation; set = 0 if
criteria for PBGC delivery not
distribution described required, set = 1 if
in Attachment E.2.3.2. delivery required
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 9 Attachment J, Page 8 of 16

Field Source When Populated


Public Disclosure Availability System-generated, Tracking record
Indicator relates to selection creation; set = 0 if
criteria for Public delivery not
Disclosure described in required, set = 1 if
Section C.15.2. delivery required
Completed EBSA Delivery System-generated, On sending of
Timestamp indicates delivery of email notification
data dis tribution record message to EBSA
to EBSA. The value indicating that the
for this data element “push” data
shall be used to distribution
determine compliance product has been
with timeliness generated and is
performance standards available for
described in Section pickup by EBSA.
C.2.
Completed IRS Delivery Timestamp System-generated, On sending of
indicates delivery of email notification
data distribution record message to IRS
to IRS. The value for indicating that the
this data element shall “push” data
be used to determine distribution
compliance with product has been
timeliness performance generated and is
standards described in available for
Section C.2. pickup by IRS.
Completed PBGC Delivery System-generated, On sending of
Timestamp indicates delivery of email notification
data distribution record message to PBGC
to PBGC. The value indicating that the
for this data element “push” data
shall be used to distribution
determine compliance product has been
with timeliness generated and is
performance standards available for
described in Section pickup by PBGC.
C.2.
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 9 Attachment J, Page 9 of 16

Field Source When Populated


COMPLETED-PROC- System-generated, Calculated as
TIMESTAMP indicates availability of follows:
data distribution record COMPLETED-
to EBSA, IRS, PBGC, PROC-
and Public Disclosure. TIMESTAMP =
The value for this data MAX(Completed
element shall be used EBSA
to determine Availability
compliance with Timestamp *
timeliness performance EBSA
standards described in Availability
Section C.2. Indicator,
Completed IRS
Availability
Timestamp * IRS
Availability
Indicator,
Completed PBGC
Availability
Timestamp *
PBGC
Availability
Indicator,
Completed Public
Disclosure
Availability
Timestamp *
Public Disclosure
Availability
Indicator)
DLN System-generated On completion of
globally unique output record
identifier of an creation
accepted filing
submission.
Link to XML output record Allows retrieval of On completion of
filing data. output record
creation
Link to Archived Input message Used for special ad hoc Tracking record
Government requests creation
only.
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 9 Attachment J, Page 10 of 16

Field Source When Populated


Suspect Duplicate Indicator System-generated from Tracking record
automated query of creation
Tracking Database
True Duplicate Indicator System-generated from Subsequent to
automated query of completion of
Tracking Database filing acceptance

J.2.2 Creating and Populating Tracking Database Records

Each record shall be created immediately upon receipt of a valid filing submission request,
whether or not the filing submission itself is ultimately accepted or not accepted. For details of
submission request validation, see Section C.10.4.

Each tracking record element shall be populated in the tracking database and accessible to
queries within one minute of completion of the "when populated" event listed in Section J.2.1.

Contractor's technical proposal shall demonstrate that the system technical architecture is capable
of capturing each such timestamp automatically and recording it in the tracking database.

J.2.3 Tracking Database Audit Trail, Query Application, and Detail Reports

All changes to populated filing records in the tracking database, including deletion, shall be
logged and visible for audit purposes.

The Contractor shall provide a programmatic query interface to the database suitable for
automatically generating report deliverables such as the Production Control (PC) Reports.

Upon Government request, the Contractor shall create a snapshot of the tracking database as of a
specified date, suitable for validating or auditing PC Reports. In addition, the Contractor shall
make this available to the Government as supporting documentation for PC Reports and
verification of timeliness standard compliance. Supporting documentation requirements for
invoices are specified in Section G.

J.2.4 True Duplicate Detection

The Contractor shall inspect all accepted filing submissions to determine whether they are true
duplicates of previously accepted filings. A filing submission shall be considered a true
duplicate if all FilingData or ShortFormData elements in the ProcessedFiling output record are
identical to those of a previously accepted filing submission. In that case, the submission with
the later Received Timestamp value in the Tracking Database shall be considered a duplicate,
and the submission with the earlier Received Timestamp value shall not be considered a
duplicate.
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 9 Attachment J, Page 11 of 16

The detection shall take place in two steps. Upon creation of the tracking record for a filing
submission, if the values of FILING-HEADER-FORM-YEAR, FILING-HEADER-EIN,
FILING-HEADER-PN, and FILING-HEADER-PLAN-YEAR-END match those of an existing
Tracking Database record, and if FILING-HEADER-AMENDED-IND does not equal '1', then
the tracking record with the later RECEIVED- TIMESTAMP value shall be marked as a Suspect
Duplicate in the Tracking Database.

Subsequent to completion of filing acceptance, each accepted filing submission marked as a


Suspect Duplicate shall be checked to determine whether it is a true duplicate as described above
and in Sections C.11.1 and C.14.5, and if so shall be marked as a True Duplicate in the Tracking
Database.

The Contractor shall complete duplicate detection for each accepted filing within 24 hours of
filing acceptance.

J.2.5 Tracking Database Performance

The Contractor shall design the tracking database to include, at a minimum:

• Inquiries spanning multiple plan years

• Aggregation of records by TRANSMITTER-ID, TRANSMISSION-


SOFTWARE-ID, or FILING-HEADER-SOFTWARE-ID
• Aggregation of records by ERROR-CODE

• Marrying amended to original filings (matching FILING-HEADER-REF-ACK-


ID to ACK-ID)
• Detection of “true duplicate” filings
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 9 Attachment J, Page 12 of 16

J.3 Production Control Reports

J.3.1 Purpose

The purpose of Production Control (PC) Reports is to help the Government do the following:

1. Monitor the overall status of EFAST2 production


2. Analyze volume trends vs. historical patterns
3. Analyze performance of edit tests
4. Track compliance with timeliness performance standards

J.3.2 Production Control Report General Requirements

1. PC Reports shall be delivered to the Government on a weekly basis. Each report


shall record the state of the system as of the end of the processing week, however
the Contractor defines it (e.g. after last shift, Saturday).
2. Reports shall be delivered within 2 business days of conclusion of the reporting
period.
3. The report shall be in a format suitable both for computation and analysis, such as
Microsoft Excel, and formatted as a printable record..
4. Except as indicated otherwise, all report elements shall be generated automatically
by queries against the tracking database or against a snapshot report of the database.
5. PC Report values shall be consistent with values obtained by Government queries
against the same data set, such as for audit purposes.
6. PC reports shall be self-consistent, as determined by self-consistency checks
specified below.
7. Delivered reports that fail any such checks shall be accompanied by a reasonable
explanation of each discrepancy, or shall be not accepted by the Government as
deficient or defective.

J.3.3 Production Control Report Required Data Elements

The following data elements shall be included in each report.

Production Control Report Header Items:

1. Report date. This is the Date/time of the tracking database snapshot used to create
the report was generated.
2. Version number of the report
3. Delivery date. Date report delivered to the Government.
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 9 Attachment J, Page 13 of 16

J.3.3.1 Production Control Report Section 1 – Volumes

This section shall contain 3 columns, representing the following:


A. Filing submissions, current week
B. Filing submissions, previous week
C. Filing submissions, cumulative count (by processing year)

Rows in this report section shall include the following data elements:

1. Count of filing submissions received. The value indicates receipt by filing


acceptance system, and shall include the sum total of filings accepted, filings not
accepted, and filings still in acceptance processing. It shall not include filings
included in invalid web service requests, as described in Section C.10.4.
a) Regular filings
b) Short form filings
c) Prior year filings
2. Count of filing submissions not accepted, as described in Section C.10.4.
a) Regular filings
b) Short form filings
c) Prior year filings
3. Count of filing submissions accepted, as described in Section C.10.4.
a) Regular filings
b) Short form filings
c) Prior year filings
4. Count of filing submissions completing structured output data record.
a) Regular filings
b) Short form filings
c) Prior year filings
5. Count of filing submissions completing delivery to Government end users.
a) Regular filings
b) Short form filings
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 9 Attachment J, Page 14 of 16

c) Prior year filings


6. Count of duplicate filings or amended filings.

J.3.3.2 Production Control Report Section 2 - Backlogs

This section shall contain 3 columns, as follows:

A. Filings, current week


B. Filings, previous week
C. Filings, weekly change

Rows in this report section shall include the following data elements:

1. Validation backlog. Received but not completed acceptance processing.


2. Structured data processing backlog. Completed acceptance processing but not yet
completed posting of output data record.
3. Distribution backlog. Completed output data record but not yet completed
distribution to all end user agencies and public disclosure.

J.3.3.3 Production Control Report Section 3 - Timeliness

This section shall contain 3 columns, as follows:

A. Filings, current week


B. Filings, previous week
C. Filings, current performance standard measurement period, to date

Rows in this report section shall include the following data elements:

1. Mean time to acknowledgment. Calculated as average of Validated timestamp minus


Received timestamp, computed using all filing submissions with Validated timestamp
in the specified reporting interval.
2. Mean time to structured output data. Calculated as average of Output Record
timestamp minus Received timestamp; computed using all filing submissions with
Output Record timestamp in the specified reporting interval.
3. Mean time to delivery. Calculated as average of Completed Delivery timestamp
minus Received timestamp; computed using all filing submissions with Completed
Delivery timestamp in the specified reporting interval.
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Amendment 02 - Attachment 9 Attachment J, Page 15 of 16

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

J.3.4 Production Control Report Section 4 - Edit Test Performance

This section shall contain 3 columns, representing the following:


A. Filings validated, current week
B. Filings validated, previous week
C. Filings validated, cumulative count (by processing year)

Rows in this section represent specific error/alert conditions, to include, at a minimum:

1. Total count

2. No errors or alerts

3. Schema error (If multiple schema error codes, break out each code in separate row.
See Section C.10.4.8)

4. Invalid binary attachment

5. Invalid FilingSoftwareId

6. Edit test errors, one row for each edit test number (also indicate Severity in row
label)
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 9 Attachment J, Page 16 of 16

J.3.5 Production Control Report Quality Control Consistency Checks

In order to ensure that PC reports delivered to the Government are accurate and self-consistent,
the reports shall include consistency checks, as described below.

Each PC report shall report values of both the left and right sides of each consistency check
equation. Any equations that do not balance shall be explained in an attached note.

1. Overall system balance check:

Cumulative filings received = Cumulative filings not accepted + Cumulative filings


completing delivery + Cumulative validation backlog + Cumulative structured data
backlog + Cumulative delivery backlog + Prior year correction, where

Prior year correction = Cumulative filings not accepted at end of previous


processing year + Cumulative filings completing delivery at end of previous
processing year – Cumulative filings received at end of previous processing year
2. Validation backlog check:

Weekly change in Validation backlog = Current week filings received – current


week filings completing validation.

3. Structured data backlog check:

Weekly change in Structured Data backlog = Current week filings accepted –


current week filings completing structured data.

4. Delivery backlog check:

Weekly change in Delivery backlog = Current week filings completing structured


data – current week filings completing delivery.

The Contractor shall attach to the PC Report an explanation of any consistency check that fails.
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 10 Attachment P

Attachment 10
Attachment P.2008
Data Element Requirements (DER)
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 10 Attachment P

This Page is Intentionally Left Blank


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Amendment 02 - Attachment 10 Attachment P, Page 750 of 1168

Data Element - Plan Year 2008


Form IRD Variable Var Number
SF SF-PLAN-YEAR-BEGIN-DATE 1092

Form Label Line Number


Plan Year Beginning Date PLAN YEAR BEGIN

Input Specification

XML Element Name ElementID Required in schema


PlanYearBeginDate 1092

Edit tests:
P-209SF Reject when the Form 5500-SF plan year ending date is earlier than the Form
5500-SF plan year beginning date, or when the difference exceeds 371 days.
X-008SF Reject when any of the PlanYearBeginDate, PlanYearEndDate, EIN, Plan Number,
or Amended Indicator in the Filing Header do not match corresponding element
on the Form5500-SF.
X-027SF Reject when the Plan Year Beginning Date on Schedule B does not match the
Plan Year Beginning Date on Form 5500-SF.
X-031SF Alert when Schedule B Line 1a is not a date between the Plan Year Beginning
and Plan Year Ending dates on Form 5500-SF.

Schema Info: Type DateType minOccurs= 1; maxOccurs= 1

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

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

Output Specification - XML Format


Copy input element value exactly
DOL069RP20266 EFAST2 RFP
Amendment 02 - Attachment 10 Attachment P, Page 751 of 1168

Data Element - Plan Year 2008


Form IRD Variable Var Number
SF SF-TAX-PRD 1093

Form Label Line Number


Plan Year Ending Date PLAN YEAR END

Input Specification

XML Element ElementID Required in schema


Name 1093
PlanYearEndDate

Edit tests:
P-209SF Reject when the Form 5500-SF plan year ending date is earlier than the Form
5500-SF plan year beginning date, or when the difference exceeds 371 days.
X-004SF Reject when the Effective Date of the Plan on Form 5500-SF Line 1c is not a
date between 1800-01-01 and the Plan Year End date.
X-008SF Reject when any of the PlanYearBeginDate, PlanYearEndDate, EIN, Plan Number,
or Amended Indicator in the Filing Header do not match corresponding element
on the Form5500-SF.
X-028SF Reject when the Plan Year Ending Date on Schedule B does not match the Plan
Year Ending Date on Form 5500-SF.
X-031SF Alert when Schedule B Line 1a is not a date between the Plan Year Beginning
and Plan Year Ending dates on Form 5500-SF.

Schema Info: Type DateType minOccurs= 1; maxOccurs= 1

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

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

Output Specification - XML Format


Copy input element value exactly