ORDER                                      
                                                                               
                                                                1370.75        
                                                                               
                                                                1/2/92         
                                                                               
      Initiated                                                                
           By:  AIT-340                                                        
                                                                               
      SUBJECT:  USING THE OFFICE AUTOMATION TECHNOLOGY AND SERVICES            
                CONTRACT                                                       
                                                                               
      1.  PURPOSE.  This order establishes specific criteria and a             
      waiver procedure under which offices may acquire office                  
      automation hardware, software, networks, and services from non-          
      OATS sources.  This order provides guidance to implement the FAA         
      policy contained in Order 1370.72, Transition to an Office               
      Automation Technology and Services (OATS) Environment.                   
                                                                               
      2.  DISTRIBUTION.  This order is distributed to the division             
      level in Washington, regions, and centers to all Information             
      Resource Managers (IRM).                                                 
                                                                               
      3.  BACKGROUND.                                                          
                                                                               
          a.  The DOT-wide OATS contract was awarded to American               
      Telephone and Telegraph (AT&T) December 21, 1989.  OATS was              
      conceived and is being implemented as the baseline configuration         
      platform for all FAA office automation and distributed data              
      processing applications.  It is enabling us to migrate from our          
      current, highly fragmented state towards a fully compatible,             
      integrated distributed data processing environment.  The OATS            
      contract is used to provide FAA and other DOT operating                  
      administrations with both desktop and laptop workstations; a full        
      range of technical software, including word processing,                  
      spreadsheet, desktop publishing, electronic mail, relational and         
      personal data bases, graphics, and other microcomputer-based             
      applications; networking capabilities, modems, and associated            
      cabling; and, a full range of technical support services,                
      including configuration analysis, installation support, training,        
      and maintenance.  The Office of Acquisition Support and the              
      Office of Information Technology distributed copies of the OATS          
      contract and associated technical information to Information             
      Resource Managers and other key personnel who are involved in            
      OATS implementation.                                                     
                                                                               
          b.  Since the OATS contract was awarded, there have been             
      numerous questions concerning agency policies and procedures for         
      using the OATS contract and procurements of office automation            
      technology from non-OATS sources.  A general policy on use of the        
      OATS contract within FAA is stated in Order 1370.72 by the               
      Administrator as follows:  "... as a matter of general policy,           
      all future acquisitions of microcomputer/minicomputer type               
      hardware, software, and associated network products should be            
      through the OATS contract."  The Administrator also affirmed the         
      need to develop transition plans, and the need to establish              
      criteria and a waiver process for acquisition of non-OATS                
      products.  This order provides guidance on transition planning           
      and guidance for acquisition of hardware, software and networking        
      products from non-OATS sources.                                          
                                                                               
      4.  SCOPE.  All guidelines and procedures described in this order        
      apply to acquisition both by FAA and those performed on behalf of        
      FAA by its contractors.  This order also applies to acquisition          
      under existing blanket purchase agreements.                              
                                                                               
      5.  TRANSITION PLANS.  With the OATS contract in place, each             
      office must develop transition plans which outline the optimum           
      migration paths for each office to follow in attaining a fully           
      compatible OATS environment.  It is recognized that the support          
      of existing office automation environments cannot be discontinued        
      immediately in favor of the target OATS environment because of           
      economics, training, conversion requirements, and other                  
      transition considerations.  However, program organizations and           
      Information Resource Managers must work together to develop              
      innovative and cost-effective solutions for expediting OATS              
      transitions.                                                             
                                                                               
          a.  Washington headquarters, regional, and center IRM's and          
      designated NAS program managers should coordinate transition             
      planning activities with one another and with the Office of              
      Information Technology.  At a minimum, OATS transition plans need        
      to assess requirements for continued support of existing office          
      automation environments, strategies for conversion of current            
      applications, and resources required to support transition to a          
      full OATS environment.                                                   
                                                                               
          b.  The Information Resources Management Division (AIT-300)          
      provides assistance in structuring individual transition plans           
      and will facilitate coordination among the Washington                    
      headquarters, regions, and centers in transition planning.               
                                                                               
      6.  PROCUREMENT OF OFFICE AUTOMATION TECHNOLOGY FROM NON-OATS            
      SOURCES.  It is important not to add to FAA's existing                   
      incompatible, fragmented office automation base environment any          
      more than necessary to meet critical short-term mission                  
      requirements.  Accordingly, IRM's should only approve procurement        
      requests for non-OATS hardware, software, and network products           
      which are consistent with the guidelines provided in Appendix 1,         
      Acquisition and Use of Non-OATS Technology.  You may direct              
      specific questions concerning the attached guidelines to AIT-            
      340.                                                                     
                                                                               
      /s/ M. Sherwin                                                           
      for Theron A. Gray                                                       
          Assistant Administrator for Information Technology                   
                                                                               
                                                                               
                                                                               
           APPENDIX 1.  ACQUISITION AND USE OF NON-OATS TECHNOLOGY             
                                                                               
      1.  INTRODUCTION.  The procurement guidelines contained in               
      paragraph 6 and guidelines outlined in this appendix contain the         
      criteria which will be used in approving non-OATS hardware,              
      software, and services procurements and describe the process for         
      obtaining a waiver from using the OATS contract.  Information            
      Resource Managers (IRM) are expected to evaluate acquisition             
      procurement requests (PR) that fall within their authority based         
      on the same criteria.                                                    
                                                                               
      Agency organizations and program offices are encouraged to               
      complete their transition plans for migration to a full OATS             
      environment.  Transition plans will be used in evaluating waiver         
      requests.  Lack of a transition plan may prolong the process of          
      evaluating a waiver request.                                             
                                                                               
      The key factor in assessing requests will not be the particular          
      functionally offered by non-OATS items, but the difference in            
      application development and the impact on performance of not             
      using the OATS standard.  The impact of the compatibility issues         
      on FAA as a whole, the impact on data standards and information          
      sharing, and the cost of deviating from the OATS standard will           
      also be considered.  Cost evaluations will not be limited to the         
      cost of the individual item, but the entire cost of the project.         
                                                                               
      2.  GUIDELINES.                                                          
                                                                               
          a.  There will be no exemptions granted from mandatory use of        
      the OATS contract for the following conditions/circumstances:            
                                                                               
               (1) OATS-equivalent standalone hardware procured from           
      anywhere other than OATS sources.                                        
                                                                               
               (2) Non-OATS software when the major functional                 
      requirements can be met by OATS-procured products.                       
                                                                               
               (3) Requests based on the assertion that OATS capacity          
      exceeds requirements; e.g., the OATS workstation is more powerful        
      than needed.                                                             
                                                                               
               (4) Non-OATS hardware or software based solely on lower         
      cost.                                                                    
                                                                               
               (5) OATS hardware or software to be obtained from               
      anywhere other than the OATS vendor via the OATS contract.               
                                                                               
          b.  The following exemptions from mandatory use of the OATS          
      contract do not require review by AIT or the approval of a               
      waiver, for procurement requests (PR's) up to $5,000:                    
               (1) Local Area Network (LAN) software purchased to              
      connect OATS workstations to existing networks.                          
                                                                               
               (2) Hardware to connect existing networks to OATS               
      hardware.                                                                
                                                                               
               (3) Repairs and maintenance for existing personal               
      computers (PC) and LAN's.                                                
                                                                               
               (4) Minor expansions for configurations where there is          
      no OATS equivalent product; i.e., to add one or two new employees        
      to an existing LAN environment or to train such users.                   
                                                                               
               (5) Copies of software that have OATS equivalents which         
      are necessary to meet existing operational requirements and to           
      meet minor expansions of LAN's.                                          
                                                                               
               (6) Upgrades to existing PC's, so that they can use OATS        
      software.                                                                
                                                                               
               (7) Acquisitions for use outside the United States,             
      although OATS should be used if feasible.                                
                                                                               
               (8) Upgrades to existing PC's for anything other than           
      OATS software after considering both the investment in the               
      current system and its economic and functional benefits.                 
                                                                               
               NOTE:  All of the exemptions in paragraph 2b should be          
               considered in light of their costs and the timing of the        
               planned transition to an OATS environment.                      
                                                                               
          c.  The following conditions and/or circumstances must be            
      reviewed and approved before proceeding with an acquisition:             
                                                                               
               (1) Other than minimal expansions to existing LAN's;            
      i.e., adding five or more workstations will not be considered            
      without a full-scale transition plan.  Users with new LAN                
      requirements must consider establishing a STARLAN network with a         
      bridge or other integration approach for connection to the old           
      environment.                                                             
                                                                               
               (2) Requirements based on claims of insufficient                
      hardware capacity in an OATS solution must be documented with an         
      analysis of the OATS client/server architecture.  Frequency of           
      use and computational requirements will be considered when               
      analyzing capacity issues.                                               
                                                                               
               (3) Requirements based on claims of insufficient                
      software features or unique features of non-OATS software will be        
      analyzed to determine how the features affect application                
      development, performance, and planned usage.  The alternative of         
      using OATS software must be compared with a non-OATS solution.           
                                                                               
      3.  APPROVALS.                                                           
                                                                               
          a.  After completion of a review of the waiver request, a            
      recommendation for either approval or disapproval will be made to        
      AIT-1.                                                                   
                                                                               
          b.  Imprest fund purchases that meet the above guidelines are        
      acceptable.                                                              
                                                                               
          c.  IRM's may approve PR's up to $5,000 for non-OATS items           
      providing the conditions above are met.  Copies of PR's between          
      $1,000 - 5,000 should be sent to AIT-340 for statistical                 
      evaluation.  Proposed procurements of new software products in           
      excess of $1,000 which are not within the scope of the OATS              
      functional requirements should be submitted to AIT-340 for               
      informational purposes.                                                  
                                                                               
          d.  PR's above $5,000 must be sent to AIT-340 for review.            
      The information described in the "WAIVER DOCUMENTATION" section          
      must accompany the PR.                                                   
                                                                               
      4.  SPECIAL CIRCUMSTANCES.  Limited specific waivers may be              
      granted in rare instances in response to circumstances which are         
      temporary in nature or cannot be foreseen, and therefore are not         
      addressed by the guidelines in this order.  Any such waiver              
      granted will contain language describing the conditions which            
      accompany the waiver.                                                    
                                                                               
      5.  WAIVER DOCUMENTATION.  Requests for waivers which are                
      deficient in documentation requirements will be returned to the          
      originator.  If an item is not applicable or not known, indicate         
      "N/A" or "unknown" as appropriate.                                       
                                                                               
          a.  Existing Environment:                                            
                                                                               
              Describe the current hardware, software, and application         
      environments and their relationship to the requested item(s).            
                                                                               
          b.  Proposed Hardware:                                               
                                                                               
              (1) Include the analysis which shows that your                   
      application cannot operate in a networked configuration of OATS          
      servers and workstations.  Please remember that all software does        
      not need to run on every workstation.  Spreading applications            
      across several servers in a client-server architecture is the            
      usual design approach for Local Area Networks (LAN) and is               
      transparent to individual users.                                         
                                                                               
              (2)  The discussion of hardware capabilities MUST be             
      distinct from the discussion of software.  The possibility of            
      running non-OATS software on OATS hardware, and vice versa, must         
      be considered.                                                           
                                                                               
          c.  Proposed Software:                                               
                                                                               
              (1) List the unique aspects of the requested software and        
      how it relates to your application.                                      
                                                                               
              (2) Show which parts of your solution will be developed          
      or processed differently using your requested software rather            
      than the OATS standard.  Considerations should include:                  
                                                                               
                   (a) what additional costs will be incurred;                 
                                                                               
                   (b) what parts cannot be completed; and                     
                                                                               
                   (c) similar distinctions that you find relevant.            
                                                                               
              FOR EXAMPLE:  If your software is storing data base rules        
              for automatically accessing incompatible systems, you            
              should list the alternatives that would be used if the           
              OATS software was the development language.  Alternatives        
              could include manual updating of rules, rules stored in          
              tables but with no automatic accessing, rules kept on            
              hardcopy, etc.                                                   
                                                                               
              (3) Describe the performance impacts of operating the            
      different software version or network type, if known.                    
                                                                               
          d.  Application Development Costs:                                   
                                                                               
      Estimated acquisition and development costs of the complete              
      system, not just the non-OATS items, should be given so that the         
      entire cost of the noncompatible solution can be assessed.               
                                                                               
          e.  Data Accessibility:                                              
                                                                               
              (1) Describe the data produced, gathered, and/or used by         
      your application.                                                        
                                                                               
              (2) If your application is storing or managing                   
      information which has potential for use by any other agency              
      organizations/program offices in FAA, provide that information           
      here.                                                                    
                                                                               
          f.  Other Costs:                                                     
                                                                               
      If the approval of the waiver request will result in a new               
      computer operation, estimates for maintenance, operating system,         
      ongoing operations, and training costs must be included.                 
                                                                               
          g.  Signature of IRM:  __________________________________            
                                                                               
                Waiver Documentation:                                          
                                                                               
                 *   cover letter to AIT-340;                                  
                 *   waiver request documentation (items 5a through            
                     5g); and                                                  
                                                                               
                 *   organization PR signed by IRM.