Washington Metropolitan Area Transit Authority
Contract Life Cycle Management
Executive Steering Committee
Meeting
Objectives
Scope and Approach
Key Observations
Fit Gap Analysis Results
Recommendations
Timeline and Association to Organizational Readiness
Appendix
Assessment Findings
High Level CLM Process Flow
High Level Project Plan
Critical Success Factors
Objectives
•
Capture CLM data in one system in order to enable transparency of information.
•
Streamline the CLM process leveraging system delivered best practices.
•
Enhance communication and collaboration through the use of a comprehensive
CLM system.
•
Use standard procedures and technology to allow stakeholders to better manage
the contract lifecycle.
•
Use standard procedures and technology to facilitate a user friendly
environment to encourage suppliers to respond to RFQ’s/RFP’s.
•
Leverage existing technology infrastructure at WMATA.
Assessment Scope and Approach
Scope
• Business Processes: Procurement Planning – Sourcing – Contracting - Closeout
• PeopleSoft modules: e-Procurement, Purchasing, Strategic Sourcing, Procurement
Contracts, E-supplier and Supplier Contract Management
Approach
• Reviewed current and updated business flows
• Validated and updated requirements for clarity and completeness
• Performed Fit/Gap Analysis
Fit Gap Analysis Results
81% Fit
Majority of gaps are in 5 groups
•
Advanced Procurement
Planning Automation
•
DBE/SLB Monitoring and
Tracking
•
Integration of Maximo and
PeopleSoft Item Vendor
relationship
•
Automating the Tracking of
Bid Protests, Claims, and
Settlements
•
Need for Segregation of Bids
based on Cost vs. Technical
and Operating vs. Capital
1
37
18
58
32
8
4
4
8
7
7
0
10
0
0
10
20
30
40
50
60
70
Gap
Fit
Gap = Needs custom code or modification to
existing code
Key Observations
Visibility
• From Advanced Procurement Planning to Contract Close Out
• PeopleSoft Workflow engine
Audit Trails
• Incorporate entire CLM process within PeopleSoft through Bolt on
and standard functionality
• All transactions in one CLM database for ease of reporting
Item and
Vendor Data
• Opportunity exists to eliminate the manual steps between
PeopleSoft and Maximo
Application Map – Current vs. Future
Strategic
Sourcing
ePro
Purchasing
Supplier
Contract
Management
Procurement
Contracts
eSupplier
MEAD SYSTEM
•
Add to Plan of Contract
•
Procurement Initiation
•
Contract Award
Metroweb - Standard Forms
•
Add to Plan of Contracts
•
Statement of Work
•
Independent Cost Estimate
•
Evaluation Criteria
•
Submittal Requirements
•
Milestone Planning Template
•
Contract Award
Plan of Contracts database
Eliminated
Reconfigure existing
PS modules
Existing PS modules
(No Change)
New PS module
Recommendations
Reconfigure Strategic Sourcing, eSupplier Connection and the Supplier Portal; Implement
Supplier Contract Management.
Use PeopleSoft to perform tasks that currently require 3
rd
party tools
Require vendors to interact with WMATA using the Vendor Portal
- Electronically review opportunities, engage in online bidding, electronic proposal
submission, electronically sign contracts
- Allows WMATA staff to operate more strategically
Implement with a strategic perspective
- Make process changes as part of moving from a paper-based process to an integrated
system
- Don’t simply automate a paper-based process
- Reduce/Eliminate external templates and forms
- Capture data in system and allow system to use data throughout the contract
life-cycle
Recommendations
Use Supplier Contracts Document Authoring Tool
- System-enforced document version control and audit trail
- Document Owner concept
- Check-In/Check Out Control with all MS Word features enabled
- Clause Protection within document
Use the SCM Clause Library and Document Creation features to generate contract
documents.
- Sections
- Clauses
- Wizards
- Rules
- Bind Variables
- Configurators
Leverage Collaboration features within system
- Provides controls, routing and comment entry during collaboration
Preparation/
Risk Mitigation
Implementation
New Process
Stabilization
ROI/Benefits
Realization
Timeline and Association to Organizational
Risk and Readiness
Poor
Excellent
Good
Average
Configure
Existing Modules,
Install Supplier
Contracts
Project initiated
4/1/14
4/15
1/10/14
2/16
Level of Organizational
Readiness for New Technology
Assessment Findings
Business Process
Changes to Current State
Future State
Advance
Planning
•
Eliminate POC, Initiate
and AWARD MEAD
•
Eliminate the use of
the PMIS database for
POC
•
Eliminate Plan of
Contracts Add/Delete
form (excel)
•
All work completed in PeopleSoft
through use of custom bolt-on, PS
Forms and workflow
Simplified
Acquisition
•
Eliminate excel/word
templates
•
Eliminate
user-initiated email
approval routing for
individual submittal
requirements
•
Use of custom CLM Work Center
(bolt-on)
•
System-generated Submittal
Requirement Checklist
•
Excel/Word templates converted
to online Forms (pages)
•
Sourcing Events will replace
manual steps
Assessment Findings
Business Process
Changes to Current State
Future State
Pre-Solicitation
•
Eliminate excel/word
templates
•
Eliminate user-initiated email
approval routing for
individual submittal
requirements
•
Eliminate excel-based
Milestone Plan templates
•
Use of custom CLM Work Center (bolt-on)
•
System-generated Submittal Requirement
Checklist
•
Excel/Word templates converted to online
Forms (pages)
•
Use system-delivered Sourcing Plans and
Sourcing Plan Templates to replace
excel-based milestone templates
•
Use SCM Wizards, Configurators and Clauses
to generate the applicable Contract Terms &
Conditions
Solicitation
•
Eliminate MS Word
solicitation templates
•
Eliminate Source Selection
Plan
•
Evaluation Criteria will
•
Sourcing Events in the Strategic Sourcing
module will replace the Solicitation Package.
•
Collaboration Groups will be used to
establish Technical Evaluation Team
•
Evaluation Criteria will be created using Bid
Factors and Bid Factor Groups
Evaluation
•
Eliminate manual,
paper-based evaluation of
solicitation responses
Assessment Findings
Business Process
Changes to Current State
Future State
Solicitation
Amendment
•
Eliminate word/excel forms
and email review/approval
routing.
•
Event Version will be used create Solicitation
Amendments
Contract Modification •
Eliminate word/excel forms
and email review/approval
routing.
•
Contract Document
Amendments/Modifications will be used to
create Contract Modifications.
Task Order
•
Eliminate word/excel forms
and email review/approval
routing.
•
Task Orders will be created using Sourcing
Events.
•
Vendors will receive system-generated
notification.
•
Online data exchange between vendor and
WMATA
Critical Success Factors
Te
ch
nol
og
y PeopleSoft best
practice expertise
Clean Clause library
mappings
Data cleanup ahead
of implementation
Pe
opl
e WMATA resource
investment
Vendor
engagement and
enablement
Testing and training
Pr
oc
ess
Communication
and project
visibility
Scope and schedule
management
Commitment to
standard processes
Avoiding conflicting
priorities
Washington
Metropolitan
Area
Transit
Authority
CLM Future State
Process Narrative
12/12/2013
Table of Contents
INTRODUCTION ... 2
Future State CLM Process Narratives ... 2
1-ADVANCE PROCUREMENT PLANNING ... 2
2-PRE-SOLICITATION/PROCUREMENT INITIATION... 3
3-SOURCING ... 4
4-SOURCING AMENDMENT ... 5
5-BIDDING ... 6
6-EVALUATION/ANALYSIS AND AWARD ... 6
7-CONTRACT DOCUMENT ... 7
8-CONTRACT MODIFICATION ... 9
INTRODUCTION
The purpose of this document is to provide a narrative description of the processes included in the CLM
process flow diagram.
Future State CLM Process Narratives
1-ADVANCE PROCUREMENT PLANNING
The Advance Procurement Planning process is used to create and approve items that will be placed on
the Plan of Contracts (POC).
All procurement actions greater than $100,000 are included in the Plan of Contracts (“POC”). The POC is
part of the ongoing procurement planning process. The POC is updated in one of two ways either
annually through the annual budget cycle or on an as needed basis after the budget cycle has been
completed.
The WMATA business process for Advance Procurement Planning is included in the functionality
delivered with the PeopleSoft Procure-to-Pay (P2P) or SRM modules. However PeopleSoft provides
delivered tools that can be used to configure PeopleSoft to provide the same functionality that is
provided in MEAD.
This process flow is not part of the Users will log into PeopleSoft to initiate the process to add an item to
the Plan of Contracts.
The Advanced Planning process begins with Procurement opening the Plan of Contracts for programs to
enter requests to add contracts to Plan of Contracts. Advance Procurement Planning Fiscal Years will be
created that are similar to Budget Years. Procurement can open and close years as needed.
Using a concept similar to ‘Open Enrollment’ items will be entered, submitted for approval, approved
and posted to the Plan of Contracts. The final Plan of Contracts will then be published.
Adding to the Plan of Contracts – After receiving notification that the open enrollment period has
begun, Programs can begin adding to the Plan of Contracts.
The current Plan of Contracts Add/Delete form will be replaced with an online page that will not require
an attachment. Date fields such as Planned Procurement Initiation Date, Solicitation Initiation Date and
Award needed By Date can be added to the online POC request forms. The additional date fields will
help to enable Procurement to develop a comprehensive annual work plan, perform analysis, establish
benchmarks, identification of bottlenecks, and opportunities for process improvement.
The benefits of replacing Procurement MEADs and the Plan of Contract database are summarized
below:
•
Workload Management for Procurement
•
Develop Annual Work Plan for Procurement
o
Projected Solicitation Workload
CA assignment
•
Add a field for Programs to indicate when they expect to initiate the procurement process for each contract that is
requested.
•
Planned contract request vs. actual contract awards
•
Advance Procurement Planning Metrics
o
Total contract requests
o
Contracts requested by Program/Department
o
Planned contracts requested by Program/Department vs. Actual contracts executed by
Program/Department
•
Develop Benchmarks
o
Add to Plan of Contracts
Duration from initiation to approval
•
Average turnaround time
o
Procurement Initiation
Duration from initiation to final approval
•
Approval time for individual items
•
How many procurements initiation requests include the DBE sub-process?
•
How many procurement initiation requests require the Sole Source sub-process?
o
Solicitation Development
Count of procurements by Solicitation Type (Micro, Simplified, Solicitation)
Bottlenecks
Corrective Actions/Process Improvement Strategy
2-PRE-SOLICITATION/PROCUREMENT INITIATION
The Procurement Initiation Process is used to determine the appropriate Solicitation Process to use and
identify Procurement Package Submittal Requirements. This is a custom process that will include a page
to enter new Procurement Initiation Requests. The custom page will be designed around the following
sections:
Section 1 - Solicitation Determination Questions
Users will enter a response to required questions. The responses will determine the appropriate
solicitation process and the related submittal requirements
Section 2 – Checklist
A checklist of required submittal items will generated.
Users will be required to indicate that the checklist item has been completed before the Procurement
Initiation Request can be submitted for approval.
The information entered in this section is intended to be included in the Solicitation.
An online page will require users to respond to a series of questions. After responding to questions a
checklist is generated that will display the Solicitation Type and all submittal requirements.
When entering a new Procurement Initiation request, users will be required to associate the initiation
request to the Plan of Contracts by selecting the Appropriate POC_ID.
After responding to the questions the users will save the page and begin working on the individual items
included in the Submittal Requirements Checklist.
PeopleSoft Forms will be used to capture the required information and route for approval.
This section will be dynamic and display input fields based on the nature of the solicitation.
After all submittal requirements have been approved the Procurement Package can be routed for
approval.
Alternate Approach: All required information gathered on one form and then routed as a group. The
exception would be conditional submittals including Sole Source and DBE because they have different
review and approval routings.
Once the Procurement Package has been approved, the procurement will be assigned to a CA to begin
the solicitation process.
A custom process will create a flat file that can be used as the Copy From source when creating a
Sourcing Event. This will copy the data gathered during Procurement Initiation and eliminate the need
for redundant data input.
The Procurement Initiation step is a predecessor step for the Solicitation Process. Based on question
responses, a message may be displayed to let the user know that the Procurement Initiation process is
not required. The message will also display the applicable next step for the user.
3-SOURCING
The Sourcing Process refers to the development of the solicitation documents that will be published
online. The Strategic Sourcing module and Sourcing Events are used to create solicitation documents.
Several Solicitation Types have been identified within Sourcing process flow. Separate process flow
diagrams have been created for each Solicitation Type in an effort to bring visibility to the requirements
associated with each Solicitation Type. Cost and Technical evaluation criteria (Bid Factors) will need to
be structured in a manner that will allow for bidders to submit cost and technical proposals.
The following Sourcing Processes have been identified by WMATA.
Micro Process – Procurements under 3,000 will use a Requisition and Purchase Order but not require
additional documentation.
Simplified Acquisition Process – The Simplified Process is used for procurements that are over $3,000
but do not meet the thresholds that require the Solicitation process. The Simplified Process does not
require that a contract be added to the Plan of Contracts. The Simplified Process also skips the
Procurement Initiation step however, the Simplified Process does require certain submittal
requirements that can also be included in the Procurement Initiation Process.
Task Order – Task Order is similar to the Simplified Acquisition Process.
Solicitation Process – The solicitation process is used for the most complex solicitations and includes
more submittal requirements, review and approval.
Sourcing Events will be created by Procurement. Start and End Dates that define the period of time
during which bids can be submitted are defined when creating a new Sourcing Event.
Event Basics include Bid Factors and Bid Factor Groups which represents header level Evaluation Criteria
that applies to the entire event. Attachments, Comments, Standard Comments and Constraints are also
entered when defining Event Basics.
Event Line Items are used to add the individual line items that are needed. Item ID’s or description-only
item identifiers can be used. Bid Factors, Bid Factor Groups, Constraints, Attachments and Comments
can also be associated to Event Lines.
When creating an event, users can invite specific bidders, invite groups of bidders or designate an event
as a public event. Event Lines can also be dispatched individually to selected bidders.
Invited Bidders will receive a notification when an event is posted.
Event Collaboration is defined by selecting individual collaborators or by using Collaboration Groups.
Collaboration can be initiated after an event has been saved.
Event approval routing is completed prior to posting the event. Posting will trigger event notifications to
bidders and make public event available through the Supplier Portal.
Sourcing Events will replace the Solicitation Package and Source Selection Plan.
The information gathered as part of the Solicitation Package and Source Selection Plan will be input
directly into PeopleSoft.
4-SOURCING AMENDMENT
Sourcing Amendments can be issued at any time prior to the closing date/time for a solicitation.
Amendments are needed for a variety of reasons including responses to questions submitted by bidders,
clarification of bidding requirements or changes to the solicitation.
Event Versions are used to create amendments to Sourcing Events. A system-assigned version sequence
number tracks event version history and maintains the current event version.
Bidders will receive notifications when an event is changed. Bidders will follow the Bidding process flow
when submitted responses to amended events. Amended Events will be analyzed and awarded using
the Analyze and Award process flow.
5-BIDDING
Registered Bidders will be able to view Sourcing Events through the Supplier Portal. Public Events can
be reviewed by the general public. Bidders can also be invited to submit bids for non-public events. If a
bidder is invited to bid on an event a system-generated notification will be sent to the bidder.
In order to bid on events a prospective bidder must register as a bidder using the self-registration
process.
After selecting an event a bidder will have the option to enter a bid response, accept an invitation to bid,
decline the invitation or download an xml version of the Bid Packet.
Bidders can enter line item bid prices and quantities, enter bid factor responses, enter comments and
add attachments. After validating all entries, bidders can submit their bid response or save the bid
response and submit at a later time.
When a bidder submits a proposal the cost and technical portions will be separated electronically.
Bidders can also send notification to buyers if the bidder chooses not to bid on an event or if the bidder
views the events and plans to submit a bid at a later date.
Bidders are unable to submit bids after the pre-determined bid deadline has passed.
6-EVALUATION/ANALYSIS AND AWARD
WMATA receives Bids/Proposals submitted by bidders. Event Analysis and Analysis Collaboration are
used to determine winning bidders and award events. Collaboration Groups are used to establish
evaluation teams which will independently evaluate the cost and technical proposals.
Event Rounds are used to short-list the bids after an initial round if scoring. Rounds are also used for
Best and Final Offer (BAFO) submittal and evaluation.
Analysis can take place at the Event Header, Event Line or both based on the Bid Factors associated to
the event.
An Award Decision will be made by Procurement. If no award is to be made the solicitation can be
cancelled. When an award is made the award is posted to either a Purchase Order or a Procurement
Contract.
7-CONTRACT DOCUMENT
From a system perspective the Contract Process Flow represents the transition from the Strategic
Sourcing module to the Supplier Contracts module. In Strategic Sourcing events are awarded and
Purchase Orders or Procurement Contracts are created. Supplier Contracts uses the Purchase Order or
Procurement Contract as the source transaction when adding or creating a new contract document.
Awarding a Sourcing Event is typically the responsibility of a buyer or other Procurement user. Creating
a contract document can be initiated by the Program Office or a Procurement user. Each document has
a designated Document Administrator or Document Owner. Additional controls are designed around
the Document Owner. This Document Owner is generally a user from the Program Office.
The Supplier Contract Management (SCM) module is used to create system-generated authored
contract documents. The Contract process relies heavily on delivered functionality, configuration and
setup.
After a Strategic Sourcing is awarded to a winning bidder and a Purchase Order or Procurement Contract
is created, users can create a contract document.
A Contract Document can be created using a link that is displayed on the source transaction (Purchase
Order or Procurement Contract). Documents can also be initiated from the Supplier Contracts – Add a
Document page. Creating a document involves several steps and pages. The first step is to ‘Add a
Document’. On the Add a Document page users enter or select high level information that will help to
define the document. Based on the selected Document Type the user may be required to execute a
Selector Wizard. A Selector Wizard will prompt users to respond to a series of questions. The wizard
question responses allow the system to determine the appropriate Document Configurator that is
needed to create the document. A Document Configurator is a template used for document creation. A
configurator template contain a series of clauses, sections and rules (collectively referred to as elements
or objects). Configurators are also associated to Document Creation Wizards. This type of wizard
consists of a series of questions, bind variables and rules.
A Document Creation Wizard can drive the clauses and sections that are included in a document. For
example, a wizard can include a Yes or No question asking if the contract will include FTA Funding. If the
response to the wizard question is ‘Yes’, an associated rule will insert required federal language into the
contract. If the response to this question is ‘No’, the federal language will not be inserted into the
document.
A Document Creation wizard can also serve as a source for content that will be included in the
system-generated document. For example, the Document Creation Wizard may include a question where the
user enters free form text (i.e. ‘Please enter any special insurance requirements’). In this case a bind
variable that represents the special requirements will be mapped to the wizard question. The same bind
variable will also be included in a clause. The end result is that the exact text entered in response to the
wizard question will be included in the system-generated document.
At the conclusion of the Document Creation Wizard process users will be transferred to the Document
Management page. The Document Management page is like a work center where any actions or tasks
related to the document can be initiated.
View Document can be used to open a read-only version of the document in MS Word. Documents
opened using View Document cannot be modified but can be saved locally by using Save As in MS Word.
Edit Document will checkout the document and enable editing features in MS Word. After checking out
a document and making changes the user will need to save the document locally and then use the
Import feature to check in the document. While a document is checked out, no other users are able to
make any changes to the document. Several controls are provided that can control which users can edit
documents (User Security Roles and Document Types), which documents a user can edit (Document
Owner User Preference settings), when a document can be edited (status), which clauses can be edited
(Protect in Document clause control) and whether or not meta-data represented by bind variables can
be edited. In addition Clause Approval can be setup to trigger approval routing for changes made to
contract documents.
Document Collaboration can be setup and initiated from the Document Management page. Users can
select Collaborators and determine the type of actions that will be allowed for Collaborators. Using
View users are included in Collaboration routing and are able to view the document but are not allowed
to provide any feedback. Review lets Collaborators use a comments field in PeopleSoft to record their
feedback but are prevented from editing the actual document itself. Edit lets Collaborators use Check
Out and Check In to make changes to the actual document.
A complete document version history and a summary all document changes are available for review
using linked provided on the Document Management page.
Internal Collaboration involves other users within your organization. External Collaboration includes
Suppliers or other external parties.
Document Approval Workflow Routing is initiated from the Document Management page. Preview
Approval is used to review system-defined approval paths and steps for the document without actually
submitting the document for approval. Submit for Approval will initiate approval routing. A worklist
Item and/or email notification will be generated and sent to the initial approver. The Document Status
will be updated to Pending Approval. When the last approver has approved the document a Final
Approval email notification is sent to the Document Owner. The notification can also be setup to notify
additional users if needed.
The status of a document will change as a document is created and continues through the document life
cycle. When initially created documents may have a status of Draft. When collaboration is used a
document can have a status of Pending Collaboration, Collaboration In-Process or Collaborated.
Pending Approval and Approved will be assigned when a document is in the approval process or has
been approved. After approval a document can be dispatched which will assign a status of Dispatched
to the Document. When all steps in the document creation life cycle have been completed a document
will be assigned a status of Executed.
The use of Digital Signatures can be enabled for Internal and/or External Digital Signatures. Digital
Signatures use workflow approval routing that is based on Virtual Approver workflow. Document
Signers can be determined on a document by document basis.
Recreate/Refresh Document can be used to re-execute the Document Creation wizard. This can be
useful if a user determines that a wizard question response was inaccurate and needs to be changed.
Supplier Contracts uses document versioning to assign a new version sequence number whenever a
document is recreated.
8-CONTRACT MODIFICATION
The Contract Modification process will use the Supplier Contracts module. This process is based on
delivered functionality but customization within Supplier Contracts will also be used.
Documents can be modified after the document has completed all required approval, dispatched and
executed steps. Supplier Contracts used the term Contract Amendment. WMATA reserves the term
amendment for changes to solicitations and uses the term Contract Modification to refer to changes to
executed documents. For the purposes of this document the term Contact Modification will be used in
place of Document Amendment.
After a document has been executed the Create Modification (Amendment) button will be displayed.
The Contract Modification process includes the creation of a contract modification document based on a
modification configurator that is associated to the Document Type of the main document. The
system-assigned modification sequence will be system-assigned to track all modifications that are associated to the
main document. Modification documents are subject to the same Review, Edit, Collaboration and
Approval steps that were available for the main document. Additional modifications can be created
once the current modification has been approved and the document status is updated to Executed.
A customization to the Document Management page to display a hyperlink for a custom subpage is
anticipated. The custom page will require users to enter detailed information related to the
modification. The modification will not be eligible to submit for approval until all required information
has been provided. This information can include start and end dates, amounts, and a description of the
modification. This information would be available for reporting purposes.
9-CLOSE OUT
Delivered Contract Close Out functionality is limited within PeopleSoft. Procurement Contracts include a
Contract Status field that allows a Procurement Contract to be manually set to Inactive. Status values in
Supplier Contracts can be used in a similar manner. WMATA’s Contract Close Out process includes the
receipt of a signed affidavit from the vendor and a close out checklist.
A Contract Header Agreement with validation steps will be used to automate the checklist and provide
verification of compliance with the items included in the Close Out Checklist. Alerts and Notifications
can also be setup and generated from the Close Out Agreement.
The vendor affidavit of contract completion can be automated. Additional information is needed to
determine the best approach for automation of this document.
Summary Level
Pre-Solicitation
Enablement
Transactions
Procurement Administration
- Open Plan of Contracts for input
- Advance Planning FY
- Close POC input
- Create/Post/Approve Original POC
- Modifications to the adopted
Annual POC
Plan Of Contracts
-
Create Plan of Contract request
transactions
-
Submit Plan of Contracts request
transactions for approval
-
Approval Plan of Contract request
transactions
-
Revise/Edit/Cancel requests
-
Accept Approved POC request
transactions for posting to the Annual
POC (Procurement Task)
Procurement Initiation
-
Determine Submittal Requirements
-
Gather required information
-
Initiate individual approvals
-
Submit the completed Procurement
Package for approval
Current State Road Map
Procurement Initiation (3A)
Micro (2B)
Advance Procurement Planning (1)
Solicitation (3B)
Simplified (2A)
Task Order (6)
Evaluation (3C)
Solicitation Amendment (4)
Contract Modification (5)
Future State – Process Flow Road Map
Procurement Initiation
Advance Procurement Planning
Evaluation
Amendment
Modification
Close Out
Bidding
Micro
Simplified
Task Order
Solicitation
Sourcing Process (Event)
Contract Award
Step 1
Step 2
Step 5
Step 6
Step 7
Step 8
Step 9
Step 3
Step 4
Process
Step
Pre-Solicitation
•
Enablement
–
Procurement Admin Function
•
Advance Planning Request
–
Add to Plan of Contracts
•
Procurement Initiation Request
–
Determine Solicitation Process/Solicitation Type
–
Determine Submittal Requirements
Sourcing
•
Prepare Event
–
Based on Pre-Solicitation Determinations
•
Approve Event
Sourcing – Prepare Event
•
Sourcing Process
–
Determined by Procurement Initiation Request
•
Micro
–
Requisition Purchase Order (Always)
–
Sourcing Event (Never)
•
Simplified
–
Requisition Purchase Order (Always)
–
Sourcing Event (Always)
•
Solicitation
–
Requisition (Not required in all cases)
»
Can we develop any rules around when a requisition is required?
–
Sourcing Event (Always)
–
Event Award
»
Procurement Contract
•
SCM Contract Document
•
Task Order
–
Related to an existing contract
–
Mod to a Contract
–
Requisition
–
Sourcing Event
–
Event Award
»
Purchase Order (Always)
»
Procurement Contracts (Never)
CLM Process by Module
Custom
•
Enable Advance
Planning
•
Contract Request
•
Add to Plan of
Contracts
•
Procurement
Initiation
–
Submittal
Requirements
–
Procurement
Initiation
•
DBE Certification
Strategic Souring
•
Create Event
•
Collaboration
•
Approval
•
Post/Publish
•
Submit Responses
•
Analysis Responses
–
Collaboration
•
Award Event
–
Purchase Order
–
Procurement
Contract
---
•
Amendments
Supplier Contracts
•
Create SCM
Document
•
Review/Edit
•
Collaboration
•
Approval
•
Execution
---
•
Contract
Modifications
Transaction Type mapped to Process Flow
Micro
Simplified Task Order Solicitation
Non-IDIQ
Solicitation
IDIQ
Plan of Contracts
X
X
Procurement Initiation
X
X
Sourcing Plan
X
X
Submittal Requirements*
X
X
X
Requisition
X
X
X
Sourcing Event
X
X
X
Purchase Order
X
X
Procurement Contract
X
X
SCM Contract Document
X
X
X
Template/Form
Micro
Simplified
Task
Order
Solicitation
Non-IDIQ
Solicitation
IDIQ
Suggested Contractor
X
X
X
SOW
X
X
X
ICE
X
X
X
Evaluation Criteria
X
X
X
Bidder Submittal Requirements
X
X
Sole Source (As Needed)
X
X
X
DBE (As Needed)
X
X
Fit Gap
Total
Requirements
Over all Fit vs
Gap (in %)
Fit
158
81%
Gap
36
19%
Grand Total
194
100%
Requirements
Fit Gap
Topic
Number of Fit
Number of Gap
Grand Total Fit (in %)
Gap (in %)
Advance Procurement Planning
1
4
5
20%
80%
Contract Management
37
8
45
82%
18%
Reporting
18
7
25
72%
28%
Sourcing
58
7
65
89%
11%
System-Technical
32
0
32
100%
0%
Vendor Management
8
10
18
44%
56%
Workflow
4
0
4
100%
0%
Grand Total
158
36
194
81%
19%
High Level Fit vs Gap Analysis
Detail Fit vs Gap Analysis by Topic
WMATA Requirements 2 - Gap 1-Workaround y 2 - Med g
Reference
Number Topic Requirement Additional Requirement Detail PeopleSoft Functionality General Comments Related Requirement(s) Module Business Process Fit Gap Resolution Type (Order of Magnitude)Gap Complexity Gap Mitigation Related Comments R1 Sourcing The system should provide capability
to configure for the following contract types: 1) Firm-Fixed-Price
2) Fixed-Price With Economic Price Adjustments 3) Cost-Reimbursement 4) Incentive (Cost and Performance) 5) Indefinite-Delivery Indefinite-Quantity 6) Definite-Quantity 7) Time-And-Material 8) Labor-Hour 9) Letter 10) Revenue
Refer to Procurement Procedure Manual (PPM) section 4 - Types of contracts for details.
Options:
1) Wizard Question with Bind Variable to define values which will be displayed in a Wizard Dropdown.
2) User Defined Field that would be displayed on the Document Add page with or without a lookup.
3) Use a table to store Translate values which could be selected using a lookup or dropdown (modification)
Contract Types describe the contracts that are created as a result of a solicitation. Is there a need to define Solicitation Types or Procurement Types? There may be business rules that dictate which Solicitation Types or Procurement Types are valid with which Contract Types. Either way we need to define the attributes that are unique to each Contract Type and also identify the common attributes. 1. What questions need to be asked/answer at each step in the CLM lifecycle? 2. Transactional Binds that need to be displayed on contract documents? 3. Wizard Questions, Binds and Rules that are needed to dictate when conditional clauses should be included in the document output.
Strategic Sourcing Contract Fit
R2 Sourcing The system should provide capability to configure for various "funding type". In addition system should be able to set up business rules and routing for each Funding types. Funding types include: 1) Federal Funds 2) Operating Funds 3) Mixed Funds
The funding type can be capital v/s operating funds and should be on the solicitation and contracts. The funding designation type should be at the header level. It has to trigger routing and clause template. 1)Must have the ability to distinguish between federal / non-federal and capital / operating funds. 2)Has to be at the header level 3)Has to carry forward to all documents 4)Has to trigger recommended route list 5)Has to trigger recommended clause templates, and completion/approval of required documents.
Options: 1) User Defined Fields 2) Bind Variables/Wizards
Mapping Funding Type values to business rules. This requirement can also determine some clauses that should be included in the document.
Valid Combinations: 1. Federal and Capital 2. Federal and Operating 3. Non-Federal and Capital 4. Non-Federal and Operating
Note: A mix of federal and non-federal will need to br treated as federal.
Strategic Sourcing Procurement Initiation Fit
R3 Sourcing The system should provide capability to capture sub contract agreement, Sub contract information , Award details. Should have capability to set up business rules for authorities Socioeconomic Program (DBE and SBLPP) requirements. The system should validate the SBLPP and DBE selected by the user, against a pre-defined list of SBLPP and DBE Vendors.
Disadvantage Business Enterprise(DBE) requirement: For federally funded procurements, there needs to be a DBE goal setting and needs to be routed to the DBE program office for approval. There will to be an Appendix B that should show the DBE goal. The DBE goal is tracked at the award level and also at the contract management level. There needs to be vendor validation and also tracked at the DBE goals are met. The DBE Program applies to federally funded procurement actions above the simplified acquisition threshold, and the Small Business and Local Preference Program (SBLPP) applies to operating funded procurement actions, the system needs to allow for the SBLPP designation at the document level. DBE
Federal funds need DBE goal Solicitation must reflect the goal set by the DBE office Must be routed through the DBE office
Appendix B must be attached
DBE and SBLPP requirements can be divided into two categories: 1. Direct - Contractors that execute agreements directly with WMATA. A vendor record is maintained for these contractors in PeopleSoft. The DBE/SLBPP designation for these vendors is maintained in the vendor master. Actual Spend can be easily tracked if the Government Classification fields on the vendor record are maintained. 2. Indirect - Subcontractors that do not contract directly with WMATA or receive payments directly from WMATA.
High Level DBE Process: 1. DBE Registration Process - 2. DBE Goal Setting 3. Subcontractor Identification 4. Contract Award
5. Subcontract Payment Tracking and Reporting
- Suppliers enter DBE Subcontractor Payment Information using the Supplier Portal - Suppliers import a flat file
- Supplier provide backup information with invoices
DBE/SBLPP - R3, R33, R95,
R101, R105 Contracts Contract Management Gap 2-Customization 1 - High Custom pages and a potential interface from the system of record for DBE Status.
R7 Sourcing The system should provide capability to configure the system for "document
type". This includes: 1) RFP 2) RFQ 3) RFI 4) Invitations for Bid (IFB) 5) Letter of Interest and Qualification (LIQ)
Options: 1) User Defined Fields 2) Bind Variables/Wizards
Strategic Sourcing Procurement Initiation Fit
R8 Sourcing The system should provide capability to set up business rules for various "contract type", "funding type" and "document type".
Examples of rules would be: DBE, Gain-sharing, revenue-sharing, FFP rules for templates and routing rules. These various types of funding, contracts and solicitations will have different attachments, routing and clauses required.
SCM Rules can be used for document creation and routing rules and
be based on workflow criteria that is user defined. Strategic Sourcing Procurement Initiation Fit
R9 Sourcing System should allow users to define
acquisition thresholds and define approval levels required Contracting Authority is the authority to actually sign the contract. Approval authority is the authority to actually spend the money. 1)Different levels of approval authority 2)Validate that the people on the list have approval/warrant authority 3)Approval authority for people on route list to say it is ok to spend the money 4)Contracting authority for Contracting Officers to sign
Options: 1) User Defined Fields 2) Bind Variables/Wizards (confirm) 3) Workflow
Strategic Sourcing Procurement Initiation Fit
R10 Sourcing Revised Requirement - The system should allow for Liquidated Damages language to be included in system-generated terms and conditions as needed. Original - The system should be able to set up thresholds and rules for liquidated damages.
Need to have capability to identify and track document for liquidated damages. The system should provide search and reporting capabilities for liquidating damages.
Assumption: This requirement refers to determining when liquidated damages clauses should be included in the terms and conditions of a solicitation and the resulting contract. In this case Wizards, Question Groups, Bind Variables, Rules and Clauses can be used to insert Liquidated Damages language into SCM documents. 11/20/13: After discussion with WMATA team this requirement will be changed. Original Requirement - The system should be able to set up thresholds and rules for liquidated damages.
Revised Requirement - The system should allow for Liquidated Damages language to be included in system-generated terms and conditions as needed. This will be a fit as a Yes/No Wizard Question Response linked to a Rule can be used to include Liquidated Damages in a document based on the question response.
R11 Sourcing The system must provide capability to allow delegation of approval authority both short term and long term. System should have date time audit capability for delegations.
The delegation can occur to another person with equal or higher authority. Examples. 1)Vacation rules 2)GM can delegate their approval to CPO who can delegate to their staff
For Short Term the Alternate User Section of the My System Profile/General Profile Information page can be used. For Long-Term role assignment can be used.
Workflow Approvals Fit
R12 Sourcing The system must provide capability to store electronic signatures of all internal signatories and approvers and approved WMATA contractors(Not Vendors).
Individual "Signature Clauses" could be used or Signature files stored in the database or a secured network location. Electronic signatures can have different definitions. Need to discuss with WMATA to make sure we understand WMATA's definition and expectations. We should also further define who, when, why and what with respect to digital signatures
Workflow Approvals Fit
R13 Sourcing The system must offer the ability to perform milestone
planning and generate appropriate timelines. Need to be able to report on procurements that have missed milestones Supervisors should be notified on missed Milestones. 1)Report on missed procurements 2)Automatic Milestone notifications for missed due dates to supervisor
Sourcing Plans Strategic Sourcing Sourcing Plans Fit
R14 Sourcing The system should have the capability to route the
milestone plan for review and approval. Requirement is for Milestone plans to be reviewed and also approved. Program Mgrs may need to make changes Need to be able to approve or disapprove
A delivered Process Definition (Process ID = Plan Approval) in
intended to meet this requirement. Strategic Sourcing Sourcing Plans Fit
R15 Sourcing The system must deliver automated functionality that routes action requests and status messages internally and externally to individuals using WMATA email.
Notification Templates Workflow Notifications Fit
R16 Sourcing The system should provide capability to search for a solicitation both internally and externally once the solicitation is published.
Supplier Portal Search (external) and Maintain Events (internal) Strategic Sourcing Bidding Fit R17 Sourcing The system will provide capability to set up evaluation criteria
for a solicitation. Need to have General criteria and technical criteria and be able to rank the criteria. Rankings will be adjectival but the build-up should be numerically derived based on weighted factors and scorecards. FTA best practice is adjectival: Exceptional, Acceptable, Marginal, Unacceptable
SS - Bid Factors setup for Sourcing Events. Strategic Sourcing Create Sourcing Event Fit
R18 Sourcing The system will allow the Contract Administrator to select the solicitation evaluation committee members and identify them as voting, non-voting, internal or external members.
There will be advisors, e.g. consultants who will not score and are considered as non-voting members. Non-voting members need to be flagged as evaluation committee members in the system but not necessarily score. 1)Voting = members of the core group who will be doing the scoring 2)Non-Voting = Advisors only, not scoring members of the team 3)Need the ability to flag an evaluation team member as a scorer or non-scorer for audit purposes
Multiple Rounds of Event Analysis along with Collaboration Groups and Security Roles assignments can be used to meet most aspects of this requirement.
Need to verify the voting/non-voting and internal/external portion of this requirement. Strategic Sourcing Create Sourcing Event Fit
R19 Sourcing The system should provide capability to notify the selected evaluation committee members of their role and responsibility.
Analyze Events - Invite Collaborators - Route To button Sourcing Analysis Collab Notification Template - Notifies collaborators that they have been invited to collaborate on bid analysis
Strategic Sourcing Event Analysis Fit R20 Sourcing The system must offer capability for the evaluation
committee members to sign the NDA (E-form) using electronic signatures.
Functionality used for this requirement would be based on how the NDA form is developed. Options for the NDA Form include the following:
1) Internal SCM Ad Hoc Document - In this case a signature clause could b3e used.
2) PeopleSoft Forms - With Forms a checkbox indicating electronic approval/signature could be used.
3) Develop the NDA Form using Adobe Acrobat and include an electronic signature field
Strategic Sourcing Event Analysis Fit
R21 Sourcing The system will offer secure document exchange capability for evaluation committee members (internal, external, voting or non- voting members) to conduct evaluations. Only members assigned as evaluators will have access to evaluation documents.
Vendor documents (proposals) that come in should be shared only with the evaluation team members. Critical Need to separate scorecards by areas such as cost, technical, contractual etc. WMATA only wants evaluators to see what they are responsible for scoring.
Multiple Rounds of Event Analysis can be used to meet most aspects
of this requirement. When Event Analysis Collaboration is initiated the Event Status is set to Collaborating Bid Analysis. The event creator can't see the collaboration input until the collaboration due date and time has passed or the collaborators have finished entering their input, whichever occurs first.
Strategic Sourcing Event Analysis Fit
R22 Sourcing The system must provide capabilities for users to provide
online comments for evaluations. SS - Collaboration (Event Creation and Bid Analysis) Strategic Sourcing Event Analysis Fit R23 Sourcing The system should provide capability to apply penalty on
pricing for non- SBLPP vendors for simplified acquisition during evaluation.
See R3, R4, R5 for explanation Bid Factors and Event Constraints R3, R4, R5 were removed from the updated list of requirements. Strategic Sourcing Event Analysis Fit R24.1 Sourcing The system should provide capability for contractors to
submit a proposal electronically via a link provided during solicitation publication (with date and time stamp recorded to ensure timely receipt of bid or proposal). This includes being able to fill out the representations and certifications.
Bidders would have the ability to submit responses through the
Supplier Portal. 1. The system should provide capability for contractors to submit a proposal electronically via a link provided during solicitation publication (with date and time stamp recorded to ensure timely receipt of bid or proposal). = FIT
2. This includes being able to fill out the representations and certifications. Is this a Form or a checkbox that signifies compliance?
3. System should have the capability to accept proposals separately for technical and Cost/Contract
Strategic Sourcing Solicitation Fit X
R24.2 Sourcing System should have the capability to accept proposals
separately for technical and Cost/Contract. Sourcing Bid Submission Gap 2-Customization 1 - High
R25 Sourcing The system should not allow retrieval of a proposal submitted by a contractor once the proposal is submitted online.
SS - Event Options (Security/Controls) Strategic Sourcing Solicitation Fit
R26 Sourcing The system shall have capability to allow a contractor to send a response to an amendment. Response shall not over write the original submission.
New version or Round in Strategic Sourcing. The supplier could respond to the new version or round. The system keeps copies of all versions and rounds.
Strategic Sourcing Solicitation Fit R27 Sourcing The system must track the short list of finalists for RFP
evaluation. Rounds Strategic Sourcing Event Analysis Fit
R28 Sourcing The system must support bid analysis and optimization
