15A00018R00000040REPOST - Statement of Work Amendment 0001 v20210819.docx

1.0 Introduction

1.1 Organization

This task is to be accomplished for the Department of Justice (DOJ), Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF), Office of Professional Responsibility and Security Operations (OPRSO), Personnel Security Division (PSD).

1.2 Background

1.2.1 ATF is a law enforcement organization within the DOJ. ATF’s unique responsibilities consist of reducing violent crime, collecting revenue, and protecting the public. ATF enforces Federal laws and regulations relating to alcohol, tobacco, firearms, explosives, and arson by working directly and in cooperation with other government agencies to:

a) Suppress and prevent crime and violence through enforcement, regulation and community outreach;

b) Ensure fair and proper revenue collection;

c) Provide fair and effective industry regulation;

d) Support and assist Federal, state, local and international law enforcement;

e) Provide innovative training programs in support of criminal and regulatory enforcement functions;

f) Help reduce the criminal use of firearms; and

g) Provide for public safety by reducing the criminal misuse of explosives, combating arson, and removing safety hazards caused by improper and unsafe storage of explosive materials.

1.2.2 The PSD is charged with ensuring all persons privileged to be employed by or provide a service to ATF are reliable, trustworthy, of good character and conduct, and are of complete and unswerving loyalty to the United States. The PSD maintains the personnel security program and all associated collateral functions in support of the program. The PSD is responsible for conducting background investigations on prospective ATF employees and contractors and conducting periodic reinvestigations on current employees and contractors, in accordance with established Executive Orders and other regulatory directives, the Privacy Act of 1974, Office of Personnel Management (OPM) regulations, other relevant regulations from the Office of Management and Budget (OMB), DOJ and ATF policies and procedures.

ATF already has an established program that utilizes trained, experienced contractors to conduct background investigations. ATF has determined that the most efficient and cost-effective method of conducting background investigations is to employ the services of contract investigators. PSD has been authorized, pursuant to a Delegation of Authority Memorandum of Understanding (MOU) between ATF and OPM, to utilize the services of contract investigators to conduct background investigations. Contract investigators, who are under contract with ATF, must be known as “Special Investigators,” hereinafter referred to as contractors. Contractors may also be assigned to assist with other official ATF investigations.

Contractors are given no independent authority from ATF to carry a firearm while executing their duties under this contract.

2.0 General Agreement Terms

2.1 This Statement of Work (SOW) outlines the services, requirements, security, and other expectations of contractors privileged to be awarded a Basic Ordering Agreement (BOA). A BOA, as defined by the Federal Acquisitions Regulations (FAR) 16.703, as a “written instrument of understanding, negotiated between an agency, contracting activity, or contracting office and a contractor, that contains (1) terms and clauses applying to future contracts (orders) between the parties during its term, (2) a description, as specific as practicable, of supplies or services to be provided, and (3) methods for pricing, issuing, and delivering future orders under the basic ordering agreement.” All terms and conditions as provided by FAR Subpart 16.703 must be adhered to under this SOW.

2.2 Orders tasked in accordance with a BOA will be issued by ATF and services to be conducted will be identified by the PSD.

2.3 Contractor oversight and performance monitoring must be conducted by an ATF representative to include, but not limited to, the Contracting Officer’s Representative (COR) or the Contracting Officer (CO). The BOA and the contractor’s responsibilities thereunder are subject to changes in Federal law, regulation, and policy, which may include, procedural changes related to the use of government equipment, security and/or investigative procedures and training requirements. All modifications may be sent to contractors via mail or electronic mail after review and approval of the CO and COR.

2.4 Contractors may be subpoenaed and/or requested to testify in matters related to their investigative work associated with the BOA. Contractors must make themselves available when requested; however, he/she is not permitted to serve as an expert witness nor consultant against ATF in any criminal, civil, legal, or administrative proceeding when it relates to information, he/she obtained during the course of his/her investigative services.

2.5 A BOA will be effective on the date it is signed by both parties; at which time orders may be issued.

3.0 Contractor Qualifications and Requirements

3.1 Contractors must meet minimum PSD program requirements and Federal requirements as outlined in the MOU between ATF and OPM. Typically, though not exclusively, the contractors are retired Federal investigators who have at least three years of current experience conducting personnel security background investigations. Contractors are required to have experience of either a college degree (bachelors) or four years of general experience, four years of specialized experience within the last five years or one year of specialized Federal background investigative experience. General experience is progressively responsible experience that demonstrates the ability to problem solve, analyze problems to identify significant factors, gather pertinent data and recognize solutions, plan, and organize work and communicate effectively orally and in writing on a professional level. Specialized experience other than Federal background investigative experience includes other investigative experience (i.e., criminal investigations).

3.2 Contractors must possess sufficient investigative abilities to perform the orders assigned to them by the PSD Contractors must be computer literate and efficient in software programs that support email, word processing, and data entry, which are utilized to electronically receive assignments and submit electronic reports. Further, all contractors, when performing the duties assigned hereunder, must be expected to utilize his/her personal automobiles, information technology equipment and facilities.

3.3 Each contractor, when working on behalf of the PSD, must carry themselves in a manner that reflects positively on ATF. To that end, contractors, when on duty, must present themselves in a professional manner, be neatly groomed and appropriately attired.

3.4 Contractors must be able to conduct investigations within a 200 miles radius of his/her residence without prior notification. Contractors may occasionally be requested to accept assignments requiring travel more than 200 miles; contractors will be contacted in advance of such assignments. Contractors are expected to possess an automobile with appropriate insurance coverage. ATF assumes no liability for contractor misconduct or negligence while driving his/her personal automobile in connection with his/her conduction of ATF investigations

4.0 Scope of Work, Assignment of Orders and Deliverables

4.1 By acceptance of the BOA each contractor agrees to abide by all standards, policies and procedures set forth in the Special Investigator (SI) Manual and all subsequent Personnel Investigative Notices, Personnel Investigative Policies and/or other correspondence provided by the PSD.

4.2 The SI Manual will be provided to the contractor electronically by accessing their dashboard in the ATF Investigative Management Enterprise (AIME) on his/her ATF laptop. Contractors are expected to utilize the worksheets and questionnaires contained within the SI Manual.

4.3 Contractors are expected to be available to accept orders, as requested, without prior notification. A minimum of two weeks advanced written notice must be given to the PSD when the Contractor will be unavailable. Notice must be submitted by updating his/her availability on “My Schedule” within the SI’s dashboard and by sending an email to SIAdministration@atf.gov.

4.4 Contractors will be required to conduct face-to-face and/or virtual interviews, review records, take accurate notes of those interviews, file reviews and reduce those notes to writing in the form of a Report of Investigation (ROI).

4.5 With each order, contractors will be tasked to complete one or more of the following investigative requirements:

a) Enhanced Subject Interview;

b) Verify identity and citizenship status;

c) Verify employment through records and interviews;

d) Verify claims of residence through records and interviews;

e) Verify attendance at educational facilities through records and interviews;

f) Conduct personal interviews with references;

g) Develop and interview additional sources;

h) Conduct military record reviews;

i) Conduct law enforcement checks;

j) Verify and review public records; and/or

k) Expand the investigation as necessary.

Each order will specify the following:

a) The work to be performed by the contractor;

b) The place(s) where the work is to be performed;

c) An assignment initiation date;

d) A due date determined by the response type (i.e., routine or priority); and

e) The number of estimated points to be paid for each investigative assignment.

4.6 Work assignments associated with an order must be completed by the due date determined by the PSD. If a contractor determines that he/she cannot meet the due date of a particular assignment, the contractor must request an extension from the PSD by emailing SIAdministration@atf.gov. Failure to obtain such an extension may result in reduced or non-payment for that particular assignment. Repeated failure to submit ROIs by the required due date may be cause for termination of BOA.

4.7 Upon completion of an investigative assignment each contractor must submit the following items in accordance with the policies and procedures set forth in the SI Manual to the PSD:

a) Completed ROI;

b) Request for Payment; and

c) Any attachments as stated in the ROI or other documents to be included in the investigative file.

4.8 Attachments to the report must be sent via facsimile, scanned, and uploaded into the AIME system or in instances of large volume, via Federal Express. Federal Express instructions are documented in the SI Manual. Contractors must submit all documents that provide proof of issue resolution (i.e., proof of payment plan, proof of balance pay off, etc.).

4.9 Contractors must review all ROIs and all other submissions to ensure the information being provided to the PSD is factually accurate, meets the assignment requirements, is formatted following the PSD procedures and guidelines of the SI Manual and PSD New Investigator Training. It is expected that all submitted ROIs will be free of errors and objectively present the facts as discovered during the investigation.

4.10 When investigative assignments and/or reports are not completed in compliance with PSD procedures and guidelines, the Contractor must be responsible for making corrections, providing clarifications, and conducting missing investigative assignments at no additional cost to the government.

7.0 Contract Type. The resultant contract type will be BOA.

8.0 Credentials. In accordance with the MOU between OPM and ATF (delegating the authority to utilize contractors), all contractors tasked with performing duties associated with the Federal personnel security program will be issued official ATF credentials. Credentials should never be used for purposes other than conducting official investigations on behalf of ATF and must never be used for personal gain. Credentials must be safeguarded at all times. Credentials should never be out of a contractor’s possession and should never be photocopied. Lost or stolen credentials should be reported to the PSD and ATF’s Joint Support Operations Center immediately, as well as the local police department.

9.0 Personal Identity Verification Card

9.1 In accordance with Homeland Security Presidential Directive-12 (HSPD-12), each contractor will be issued a Personnel Identity Verification (PIV) card. The PIV card will be used as official DOJ identification media and in compliance with HSPD-12 logical systems access, utilized for access to an assigned ATF laptop.

9.2 A PIV card will be requested for each contractor once a BOA has been awarded. A PIV card issuance requires a two-step process; enrollment and activation. Certain ATF field office locations are equipped with Light Activation Stations (LAS) and are capable of issuing PIV cards, however, a contractor may be required to travel to a shared USAccess Credentialing Center if the local field office does not have an active LAS. Contractors will be reimbursed for the initial PIV card step-up. During the activation process, the contractor must set a Personal Identification Number (PIN) for the PIV card. It is the contractor’s responsibility to ensure he/she remembers the PIN. A PIN reset cannot be conducted electronically or over the phone; PINs can only be reset at a LAS. If at any time, a contractor must have the PIN reset, he/she will not be reimbursed for the time or travel associated with having the PIN reset.

9.3 PIV cards require a re-certification every three years and a full update (new card) every five years. Contractors must be responsible for having the PIV card re-certified and updated.

10.0 Background Investigation

10.1 Contractors must undergo and receive a favorably adjudicated Tier 5 background investigation (BI) to determine his/her suitability to access ATF information, information technology systems (IT) and/or unescorted access to facilities; some contractors may require a Top-Secret Clearance. The BI will be conducted by or under the auspices of the PSD and be performed under such standards as the PSD may establish. If a contractor has a current Tier 5 BI with another agency, the PSD will follow reciprocity procedures for security; however, a review to determine the contractor’s compliance with all ATF agency specific requirements will be conducted prior to authorizing access to ATF information, IT systems, and/or unescorted access to facilities.

Failure to complete the required personnel security forms; adhere to ATF’s conduct and integrity guidelines and/or be following the DOJ and ATF agency specific qualifications may result in immediate disqualification. If the BI cannot be favorably adjudicated and/or a TS clearance be granted, if applicable, this will constitute grounds for disqualification of the contractor. Should the contractor be disqualified, he/she will not be granted access to ATF information, IT systems and/or unescorted access to facilities.

10.2 The contractor may be authorized access to ATF information, IT systems and/or unescorted to facilities with an approved TE determination. If a TE is needed to service under-staffed coverage locations, the PSD will initiate a Request for TE only after advising and gaining the concurrence of the contractor.

10.3 Contractors who meet the BI requirements and are issued a BOA are hereby advised that they will be subject to Continuous Evaluation, 5-year reviews and/or any future or subsequent evaluation as mandated by OPM and ODNI. Should, at any time, the contractor has suitability or security issues/concerns that cannot be resolved or mitigated he/she will no longer be granted continued access to ATF information, IT systems, and/or unescorted access to any ATF facility and the BOA will be terminated.

11.0 Information Technology and Other Equipment Requirements

11.1 In order to receive, complete and report investigations each contractor will be provided an ATF laptop computer. Once a contractor receives his/her BOA, the first action must be to acquire an ATF assigned laptop. Contractors will be provided an order that will include his/her user identification. Contractors must then follow applicable guidance/instruction to set-up the laptop. Travel to an ATF field office may be required, if technical issues are encountered that cannot be resolved remotely; prior approval from the PSD is required.

11.2 The laptop will be fully imaged in accordance with the requirements established by ATF, Office of Science and Technology (OST) and the PSD. Laptops must only be used to process and maintain ATF information.

11.3 ATF will issue the following information technology property:

a) Laptop;

b) Docking station; and

c) Two power supplies.

11.6 Due to varying connection availabilities, ATF cannot guarantee a wireless connection. Contractors must have access to a broadband internet connection, such as cable or a Digital Subscriber Line.

11.7 The ATF laptop and the information it contains is the property of ATF and, at the conclusion of the BOA, or when so directed by the PSD, must be returned to ATF. Contractors, even when directed by the ATF helpdesk, must contact the PSD for instructions regarding property returns. All property assigned to contractors is considered accountable property for the PSD and must only be returned, replaced, or transferred when coordinated with PSD to ensure accurate property accountability. Contractors must be required to respond and provide all property information (i.e., serial number, ATF assigned PINs, etc.) when requested by the PSD to ensure compliance for any mandatory ATF inventory audit.

11.8 Contractors are permitted to connect personal printers, scanners and monitors to the laptop with assistance from the ATF helpdesk. Any questions or issues that arise regarding the laptop (i.e., technical issues, damaged property, stand-alone equipment set-up, etc.) must be directed to the ATF helpdesk, not the PSD. There may be times when a contractor must travel to an ATF field office to diagnose and/or resolve technical issues related to the ATF laptop. In these cases, the contractor must first notify the PSD and receive approval before traveling even if directed by the ATF helpdesk. PSD may provide reimbursement for a contractor’s time and travel expenses in accordance with the Points and Payment Schedule but reserves the right to deny compensation if the contractor fails to notify the PSD prior to traveling to the field office.

11.9 Contractors will be responsible for purchasing printers, scanners, facsimile machines and/or stand-alone monitors. ATF and the PSD are not responsible for the purchase, maintenance, or repair for these items and the contractors will not be reimbursed for any cost associated with them. Local telephone calls or cellular airtime charges will not be reimbursed.

12.0 Facilities. Contractors are expected to use his/her own private facilities for the administrative actions (i.e., reviewing case documents, scheduling appointments, etc.) associated with investigations and preparing the ROIs in connection with those investigations. ATF assumes no responsibility for the purchase or maintenance of a contractor’s personal facility, nor will ATF reimburse any contractor for his/her use of such facility.

13.0 Mandatory Training

13.1 Contractors must complete all three phases of PSD’s New Investigator training prior to being added to the active investigator roster. Contractors must also complete the “Non-Disclosure for Access to Unclassified Sensitive Information” and the annual “Information Security Awareness with Acknowledgment of the Rules of Behavior” training through the Bureau and/or Department approved training system. Compensation will be provided for the PSD New Investigator training (at the rates defined in the Points and Payment Schedule), however all other mandatory training courses are requirements of the BOA terms and the time associated with these courses will not be reimbursed. (Most training courses take less than an hour to complete). All mandatory training is provided free of charge through the Bureau and/or Department training system and will be accessible through the ATF laptop.

14.0 Contractor Certification. Each contractor must sign a Contractor Certification which declares that all reports prepared by the contractor and any supplemental material, whether submitted in hard copy or electronic format represents actual reported investigative work that was performed and conducted in compliance with requirements of the BOA.

15.0 System for Award Management and Dun and Bradstreet Registration

15.1 Contractors must register and receive a Dun and Bradstreet (D&B) number. Registration with D&B will allow each contractor to work as a small business within the contractor’s state/locality. All Federal contractors must be registered in the System for Award Management (SAM).

15.2 The contractor is responsible for making changes to his/her own information. Any changes to the contractor’s name, address, telephone number, company name or financial information must be made by the contractor in the SAM. The ATF financial system is directly connected to SAM. If a registration is not current or active, ATF will be unable to assign orders to a contractor or process payments for reimbursement of services. Proper and prompt updates and an active registration are extremely important.

16.0 Protection of Sensitive Unclassified Information

16.1 Each contractor must make every reasonable effort to protect data associated with a background investigation. Data, notes, copies of testimonies, copies of ROIs, etc., are the sole property of ATF and must be safeguarded against unlawful disclosure. The contractor must retain all notes and other investigative materials for 90 days after the report is approved. The contractor must destroy, by shredding, all notes and investigative material at that time. PSD may request a contractor submit case notes, within 90 days of an approved report, for quality control purposes.

16.2 All information obtained during the course of an investigation, even though it may be considered sensitive unclassified information, must be protected, and only divulged on a need-to-know basis and must not be disseminated to any parties outside of the PSD without prior approval and written consent. All work must be completed utilizing the ATF issued laptop and at no time may a contractor forward information from his/her ATF laptop to their personal email and information may not be transmitted from an outside source (e.g., copy machine) to his/her personal accounts. Sensitive information must not be transmitted via unsecured email or Internet or disclosed to unauthorized parties. All orders and associated tasks must be conducted and completed by the contractor directly and not re-assigned by the contractor to any other individual contractors, employees, or sub-contractors.

16.3 The contractor must make every effort to safe-guard information at all times. Documents, files, ATF laptop, when not in use by the contractor must be placed in a locked container. Contractors must complete their own data processing and report writing.

17.0 Payment Procedures/Reimbursement

17.1 ATF agrees to reimburse contractors for orders based on the Points and Payment Schedule. Reimbursement rates are subject to change at any time as determined by ATF and the PSD.

17.2 In addition to investigative points successfully completed, contractors will be reimbursed for reasonable and ordinary expenses incurred in the performance of their assignments, such as tolls, parking fees, and fees for obtaining court documents, etc. Reimbursement rates are detailed in the Points and Payment Schedule.

17.3 ATF will reimburse contractors for mileage when they use their personal automobile to perform assignments. Contractors will be reimbursed for mileage driven at the prevailing rate established by the General Services Administration (GSA) or as directed by ATF.

17.4 When travel beyond the contractor’s standard coverage area is necessary (TDY), and when specifically authorized in order to complete an assignment, ATF will provide reimbursement. All travel outside of the contractor’s coverage area must be pre-approved by the PSD in order to be compensated. ATF will provide reimbursement based on the government per diem rates and other approved expenses. The SI must review the GSA website for the current per diem rates for the travel locality. Travel arrangements are the responsibility of the contractor and under no circumstances, will monetary advances be made by ATF for anticipated or scheduled travel. Approved reimbursement expenses and rates are detailed in the Points and Payment Schedule. When an SI is scheduled to go on TDY or is travelling, but available for assignments, he/she must add update their “My TDY” dates of travel on his/her dashboard in AIME.

17.5 Contractors are hereby informed that if offered a BOA, the contractor is currently responsible for filing his/her own state and Federal taxes. ATF will provide a 1099-Misc tax form to qualified contractors. The ATF is not required to provide a 1099-Misc form to any vendor who is incorporated and/or does not receive a minimum of $600 during any calendar year.

17.6 ATF may use the services of a third-party contractor to provide administrative records and financial management services. This includes processing all requests for payments and making payments for ATF designated contracts such as those for conducting background investigations. Consequently, contractors are advised that the third party, rather than ATF, may provide actual payment for services rendered and accepted by ATF under any resulting contract. Contractors are further advised that the third party is required to make payments in the same timely manner as ATF. The third-party contractor also will provide means for each contractor to register, enroll, and review the status of account payments through an on-line system. Specific details of this arrangement will be provided to each contractor if a third-party source is utilized. Payment for other investigative services will be addressed on a case-by-case basis by the PSD.

18.0 Performance and Quality Control

18.1 The COR will monitor the performance of all contractors to ensure he/she completes tasks and meets timeliness goals in accordance with all rules, regulations, and mandates issued by the OPM, the Office of the Director of National Intelligence, DOJ, and ATF. Due to the continuous and evolving nature of the personnel security sector, a contractor’s responsibilities and duties are subject to changes by Federal law, regulation, and policy, which may include, but are not limited to, procedural changes related to the use of government equipment, security procedures and investigative principles and priorities. Therefore, ATF may modify the BOA and SOW without prior notice. High quality services and timely completion of tasks are imperative to the success of the PSD.

18.2 BOA’s must be evaluated annually. ATF will continuously monitor the performance of each contractor to determine the contractor’s continued eligibility to receive future orders, renewal of the BOA or, if necessary, termination of a BOA.

18.3 Complaints of inappropriate conduct, violations of any policies, procedures and/or regulations must be investigated and if substantiated, may result in a warning notice being issued or the BOA being terminated. If a contractor’s performance fails to meet the standards necessary for the position, quality control and assurance reviews must be conducted and if applicable, the contractor may be issued a warning notice and/or the BOA may be terminated.

18.4 ATF will routinely survey those persons who the contractor has contacted to determine if the contractor conducted the interview and represented the Bureau in a professional manner. Repeated instances of negative feedback from those persons surveyed will result in the BOA termination. The PSD will also conduct random check-ride assessments to directly evaluate a contractor’s performance during interviews. Formal feedback will be provided to the contactor in writing. Any noted improvements, if not rectified, may result in termination of the BOA.

18.5 Contractors suspected of submitting fraudulent invoices or work-related materials will be reported to the DOJ Office of Inspector General for investigation.

- 2 - Updated: 8/12/2021