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05b SOW FIAR (17 Nov 21).docx

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Dec. 22, 2021, 8:56 p.m.
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Special Operations Forces, Acquisition, Technology & Logistics (SOF AT&L)

Special Operations Command Pacific (SOCPAC)

Financial Improvement and Audit Readiness Support (FIAR)

Statement of Work

17 November 2021

1.1 DESCRIPTION OF ORGANIZATION REQUIRING SUPPORTThe U.S. Special Operations Command (USSOCOM) Special Operations Forces Acquisition, Technology, and Logistics (SOF AT&L) is responsible for all USSOCOM research, development, acquisition, procurement, and logistics. SOF AT&L works with Government, academia, and industry in meeting its mission to provide rapid and focused acquisition, technology, and logistics support to Warfighters, delivering the most effective capabilities to our Special Operations Forces.

Special Operations Command, Central employs Special Operations capabilities in partnership with US government agencies, regional security forces, and CENTCOM component forces to enable and support the goals and objectives of US Central Command. Special Operations Command - Pacific (SOCPAC) is a Theater Special Operations Command (TSOC) charged with providing special operations support and oversight within the Pacific Command (PACOM) Area of Responsibility (AOR).

1.2 TASK PURPOSE/SCOPEThe purpose of this task is to provide 12 Full-Time Equivalent (FTE) contractor support personnel to assist SOF AT&L, SOCCENT, and SOCPAC to achieve and maintain financial improvement and audit readiness. The contractor shall support SOF AT&L, SOCPAC and affiliated component units, Governmental organizations and partner nation forces supporting the Special Operations Forces missions. Subject Matter Expert (SME) FTEs shall provide expert advice, analyses, and assistance in carrying out responsibilities and all actions required to support Financial Improvement Audit Readiness (FIAR).

2.0 GENERAL REQUIREMENTS.

The contractor shall be responsible for meeting the following general requirements, as well as the specific support identified in Section 3.0, below.

2.1 TRANSITIONThe contractor shall be responsible for executing their proposed transition plan and for ensuring fully qualified personnel are in place on day one of the performance period. The contractor shall ensure no interruption of mission occurs during the transition period. During the transition period, it is essential that attention be given to minimize interruptions or delays to work in progress that would impact the mission.

The contractor must plan for the transfer of work control, delineating the method for processing and assigning tasks during the transition periods. The contractor shall provide weekly updates during the transition period (until all personnel are onsite working) to ensure the Government is fully informed of the transition status and any issues that may be identified.

2.2 QUALIFIED PERSONNEL

The contractor shall provide qualified personnel that meet the required skills and qualifications as outlined in table 4.1 of the Statement of Work (SOW). The contractor shall ensure personnel are fully trained to meet mission requirements on day one of performance.

2..3 MANAGEMENT OF ISSUES

The contractor shall address all performance issues and customer complaints to ensure the requirements defined in the SOW are met successfully in accordance with (IAW) the Service Delivery Summary (SDS).

2.4 MANAGEMENT OF POSITIONS SHORTFALLS (RETENTION/FILL RATES)

An FTE for this task order equates to 1,920 hours per year. The contractor shall ensure any absences (including leave, medical emergencies, etc.) lasting more than ten consecutive workdays are back-filled with a qualified candidate for the duration of the absence or until permanently filled. The contractor shall ensure fully qualified personnel are in place to fill vacancies IAW the SDS when personnel depart this task order.

Surge capacity is defined as when operational requirements require additional contractor work hours to support operational needs or contingencies. The contractor shall ensure that surge capacity, when approved by the Contracting Officer’s Representative (COR), is met by additional hours worked by contractor personnel currently assigned to the task order. Surge hours shall be scheduled as required during after-duty hours, weekends, and holidays.

2.5 DELIVERABLES

All deliverables shall be delivered to the COR. Acceptance of deliverables shall be performed by the COR. The COR will evaluate deliverables for completeness, correctness, and operations sufficiency of content. If the COR determines a deliverable is unacceptable, the contractor shall correct all deficiencies within the timeframe stated by the COR. The acceptability of deliverables will be reflected in the contractor’s performance evaluation.

3.0 SPECIFIC REQUIREMENTS

3.1 FIAR ANALYSTS

The contractor shall identify the USSOCOM financial transactions and materiel (universe of transactions) relevant to this effort IAW Office of the Under Secretary of Defense (OUSD) Financial Improvement and Audit Readiness (FIAR) Guidance (April 2016).

The contractor shall assist in drafting or updating all necessary policy or USSOCOM Directives and shall lead working groups to support SOF AT&L, SOCCENT J8, and SOCPAC FIAR efforts.

The contractor shall conduct activities necessary to provide financial and logistics expertise in support of SOF AT&L’s efforts to attain full financial statement audit readiness.

The contractor shall work with Government entities to ensure the documentation required for financial transactions and materiel applicable to SOF AT&L for FIAR compliance is available and complete.

The contractor shall identify and provide courses of action to resolve weaknesses in existing logistics and financial business practices.

The contractor shall assist SOF AT&L with the development and implementation of an Audit Readiness Plan in order to achieve financial statement audit readiness.

The contractor shall support SOF AT&L efforts to improve the reliability of asset accountability.

3.2 TASK ORDER ADMINISTRATION

The contractor shall assign a single point of contact (POC) between the Government and contractor personnel assigned to this task order. The contractor shall designate one of the personnel filling the below positions as the POC.

3.3 The contractor is authorized to use the services of the Defense Technical Information Center (DTIC).

3.4 FIAR Discovery Efforts

3.4.1 The contractor shall document financial and materiel management processes from requirement inception through materiel fielding, including financial reporting. Documentation includes all of the related key risks of material mismanagement, controls, and IT tools. Contractor shall perform supporting document testing and FIAR discovery efforts to include:

Create a statement of process analysis

Prioritize assessable units

Identify scope of the testing and prioritize materiel

Create control assessment forms

Assess and test internal controls, financial processes, and material management processes

Evaluate supporting documentation

Provide deliverables defined in Section 5 of this SOW

3.4.2 In coordination with a USSOCOM Government Integrated Product Team (IPT), the contractor shall provide recommendations for USSOCOM business rules and doctrine/policy definitization for OUSD FIAR compliancy based on Department of Defense (DoD) Federal Accounting Standards Advisory Board (FASAB), and current USSOCOM guidance.

3.4.3 Support Government efforts to reconcile logistics and finance policy and definitions accordingly to set USSOCOM FIAR accountability thresholds.

3.4.4 Provide recommendations for appropriate organizational structure to support auditability.

3.4.5 Complete comparative analysis of materiel management IT tools and provide recommendations for an integrated logistics and financial system architecture that would support SOF AT&L FIAR compliancy.

3.5 FIAR Correction Efforts

3.5.1 The contractor shall support Government efforts to complete corrective actions in areas identified by the auditors and address specific high-risk areas viewed as having the most impact on the financial statements.

3.5.2 Contractor shall recommend solutions to mitigate deficiencies for control activities, processes, supporting documentations and/or systems. The contractor shall provide the Government with a comprehensive design plan for the audit-ready environment and corrective action plans for addressing deficiencies. The contractor shall implement the corrective action plans.

3.6 FIAR Assertion Efforts

Contractor shall compile a complete audit-ready process and systems documentation that reflect the current, integrated process environment, and documents the existence of sufficient and appropriate supporting documentation enabling the Government to assert audit readiness. This FIAR Assertion effort involves the compilation of USSOCOM financial and property management system and process documentation as well as supporting documentation.

3.7 FIAR Sustainment/Readiness Efforts. Contractor shall prepare, and/or update process, controls, as well as perform ongoing remediation for deficiencies noted to ensure auditability of financial statements. FIAR Sustainment/Readiness includes the following:

Review the documents listed in the FIAR Product Matrix and recommend revisions as necessary.

Evaluate SOF AT&L compliance with existing procedures.

Recommend changes to existing procedures to comply with auditability and other legal requirements or for efficiency.

Evaluate current FIAR risks and recommend actions to either reduce, avoid, mitig… Show All