CPOC_Case_Processing_TO_PWS_-_DRAFT.pdf

PERFORMANCE WORK STATEMENT (PWS)

Case Processing Operations Center (CPOC)

Case Processing Task Order (TO)

Part 1

General Information

The National Background Investigations Bureau (NBIB) requires Contractor-provided Case Processing services, which are considered necessary to deliver, in part, the NBIB mission. This Task Order (TO) will be issued against the IPRA Multiple Award Indefinite Delivery-Indefinite Quantity (IDIQ) contract. The following sections of this TO Performance Work Statement (PWS), as supplemented by attachments, cover in significant detail the services required from the Contractor.

1. GENERAL: This is a non-personal services contract to provide Case Processing services related to

Federal background investigations. The Government shall not exercise direct supervision or control over the contract service providers performing the services herein. Such contract service providers shall be accountable solely to the Contractor who, in turn, is responsible to the Government.

1.1. Description of Services/Introduction: The Contractor shall provide all personnel, equipment, supplies, facilities, transportation, tools, materials, supervision, and other items and services necessary to perform the requisite Case Processing services related to Federal background investigations, as defined in this TO PWS, except for those items specified as government furnished property and services in Part 3. The contractor shall perform to the standards within this TO PWS.

1.2. Background: The NBIB’s mission is to deliver efficient and effective background investigations to safeguard the integrity and trustworthiness of the Federal workforce. Currently, the NBIB provides the majority of the Government’s background investigations. This requirement is for mission critical Case Processing services to support the operations of the NBIB.

1.3. Objectives: The overall objective of this requirement is to provide Case Processing services to support the operations of the NBIB. The specific services required to carry out this objective are listed below.

1.4. Scope: This TO PWS establishes the requirements for Contractor-provided Case Processing services, which are directly related to Federal background investigation processing operations. The types of Contractor-provided Case Processing services include, but are not necessarily limited to, the following general tasks: 1) Application Ingestion, 2) Case Maintenance, 3) Item Level Processing, and 4) Program Management.

1.5. General Information

1.5.1. Quality Control: (See Base IDIQ PWS 1.5.1)

1.5.2. Quality Assurance: (See Base IDIQ PWS 1.5.2)

1.5.3. On-Site Working Conditions, Holidays and other Closures:

1.5.3.1. (See Base IDIQ PWS 1.5.3.1)

1.5.3.2. (See Base IDIQ PWS 1.5.3.2)

1.5.4. Hours of Operation: (See Base IDIQ PWS 1.5.4)

1.5.5. Place of Performance: The work to be performed under this contract will be performed at Boyers, PA, and St. Louis, MO or at an alternate approved location, as appropriate for the related effort.

1.5.6. Type of Contract: The government intends to award a Firm Fixed Unit Price (FFUP) TO under this Multiple Award IDIQ contract.

1.5.7. Security Requirements: (See Base IDIQ PWS 1.5.7)

1.5.7.1. Physical Security: (See Base IDIQ PWS 1.5.7.1)

1.5.7.2. Keys and Key Card Control: (See Base IDIQ PWS 1.5.7.2)

1.5.8. Special Qualifications: All Contractor personnel performing services under this effort shall receive a favorably adjudicated background investigation at the Tier 3 or Tier 5 level.

1.5.9. Training: Reference Part 5 for required TO training. (See also Base IDIQ PWS 1.5.9)

1.5.10. Post Award Orientation/Progress Meetings: The Contractor agrees to attend any post award orientation convened by the contracting activity or contract administration office in accordance with Federal Acquisition Regulation Subpart 42.5. The Contracting Officer (CO), COR, and other Government personnel, as appropriate; may meet as necessary, but not less than monthly, with the Contractor to review the Contractor's performance. At these meetings the CO/COR will apprise the Contractor of how it views the Contractor's performance, as well as the results of related inspection reports, and the Contractor will apprise the Government of problems, if any, being experienced.

Appropriate action shall be taken to resolve outstanding issues. These meetings will be held at a mutually agreeable location and shall be at no additional cost to the government. If a mutually agreeable location is unavailable, the CO will designate the location of the meeting.

1.5.11. Contracting Officer Representative (COR): The TO COR will be identified by separate letter.

The COR monitors all technical aspects of the TO and assists in TO administration. The COR is authorized to perform the following functions: assure that the Contractor performs the technical requirements of the TO; perform inspections necessary in connection with contract performance;

maintain written and oral communications with the Contractor concerning technical aspects of the contract; issue written interpretations of technical requirements, including Government drawings, designs, specifications; monitor Contractor's performance and notifies both the CO and Contractor of any deficiencies; coordinate availability of government furnished property, and provide site entry of Contractor personnel. A letter of designation issued to the COR, a copy of which is sent to the Contractor, states the responsibilities and limitations of the COR, especially with regard to changes in cost or price, estimates or changes in delivery dates. The COR is not authorized to change any of the terms and conditions of the contract or TO.

1.5.12. Key Personnel: (See Base IDIQ PWS 1.5.12)

1.5.12.1. The Contractor will notify NBIB, through the submission of a Change of Key Personnel Report to the COR, before removing, replacing, or diverting any of its Key Personnel. The Change of Key Personnel report will include justification (including proposed substitutions with resumes) with sufficient detail to permit evaluation of the impact on the Contract and TO. The CO, however, may ratify in writing the change, and such ratification shall constitute the consent of the COR. The list of key personnel incorporated into the Contract award may, with the consent of both parties to the awarded contract and TO, be amended from time to time during the course of the performance to add or delete personnel, as appropriate.

1.5.12.2. (See Base IDIQ PWS 1.5.12.2)

1.5.13. Contractor Manpower Reporting: (See Base IDIQ PWS 1.5.13)

1.5.14. Identification of Contractor Employees: (See Base IDIQ PWS 1.5.14)

1.5.15. Contractor Travel: (See Base IDIQ PWS 1.5.15)

1.5.16. Organizational Conflict of Interest: (See Base IDIQ PWS 1.5.16; all statements as “contract” apply to the TO)

1.5.16.1. (See Base IDIQ PWS 1.5.16.1; all statements as “contract” apply to the TO)

1.5.16.2. (See Base IDIQ PWS 1.5.16.2; all statements as “contract” apply to the TO)

1.6. Period of Performance (POP): The TO POP shall include a five year ordering period. Each Contract Line Item Number (CLIN) will have a defined POP.

PART 2

DEFINITIONS & ACRONYMS

2. DEFINITIONS AND ACRONYMS: (See Base IDIQ PWS Part 2)

PART 3

GOVERNMENT FURNISHED PROPERTY, EQUIPMENT, AND SERVICES

3. GOVERNMENT FURNISHED ITEMS AND SERVICES:

3.1. Services: (See Base IDIQ PWS 3.1)

3.2. Facilities: An inventory list is included as Technical Exhibit 3 – Workspace Inventory List. (See also

Base IDIQ PWS 3.2)

3.3. Utilities: (See Base IDIQ PWS 3.3)

3.4. Equipment: An inventory list is included as Technical Exhibit 3 – Workspace Inventory List. (See also Base IDIQ PWS 3.4)

3.5. Materials: (See Base IDIQ PWS 3.5)

3.6. Reporting GFE Issues: (See Base IDIQ PWS 3.6)

3.7. Equipment Maintenance: (See Base IDIQ PWS 3.7)

PART 4

CONTRACTOR FURNISHED ITEMS AND SERVICES

4. CONTRACTOR FURNISHED ITEMS AND RESPONSIBILITIES: (See Base IDIQ PWS Part 4)

PART 5

SPECIFIC TASKS

5. Case Processing Requirement Tasks:

5.1 Basic Services: The Contractor shall provide CPOC services directly related to Case Processing services to support the operations of the NBIB, which include, but are not necessarily limited to, the following objectives: 1) Application Ingestion (see Section 5.2), 2) Case Maintenance (see Section 5.3), 3) Item Level Processing (see Section 5.4), and 4) Program Management (see Section 5.5).

5.2 Application Ingestion: The Contractor shall provide Application Ingestion services, in accordance with the applicable Processes and Procedures document(s) (reference Base IDIQ PWS) to include those listed below:

5.2.1 The Contractor shall validate and process applicants’ application prior to case scheduling to ensure application is complete in accordance with the “Requesting NBIB Personnel Investigations” (INV15) and Federal Investigative Standards (FIS).

5.2.2 The Contractor shall take action on the applicants’ application in accordance with INV15 and FIS.

5.2.3 The Contractor shall validate that the case is scheduled in accordance with INV15 and

FIS.

5.2.4 The Contractor shall make appropriate remediating action as necessary to schedule cases in accordance with INV15 and FIS.

5.3 Case Maintenance: The Contractor shall provide Case Maintenance services, in accordance with the applicable Processes and Procedures document(s) (reference Base IDIQ PWS) to include those listed below:

5.3.1 The Contractor shall “image” (digitally archive case material from hardcopy receipt) and file all necessary case material to ensure hard copy and electronic files are complete.

5.3.2 The Contractor shall monitor cases throughout investigative process and take appropriate action for case delivery in accordance with the applicable Process and Procedures document(s) (reference Base IDIQ PWS)..

5.4 Item Level Processing: The Contractor shall provide Item Level Processing, to include the tasks listed below, in accordance with the applicable Processes and Procedures document(s) (reference Base

IDIQ PWS):

5.4.1 The Contractor shall ensure that all assigned items comply with the FIS.

5.4.2 The Contractor shall search, process, update and otherwise take action on items as required to comply with the FIS.

5.5 Program Management: The Contractor shall provide Program Management Services, to include services related to maintenance of Processes and Procedures documents, Workload Capacity, Training, and development of Deliverables, as follows:

5.5.1 Processes and Procedures

5.5.1.1 The Contractor shall maintain Processes and Procedures documents which describe step by step procedures followed in performing the functions included in this TO.

5.5.1.1.1 The Contractor shall update the Processes and Procedures documents with changes directed by the Government, in accordance with Technical Exhibit 2 – Deliverables Schedule.

5.5.1.1.2 The Contractor shall recommend innovations to the Processes and Procedures documents. The Government will review the recommendations and provide approval, concerns, or rejection. The Contractor shall update the Processes and Procedures documents with approved changes, in accordance with Technical Exhibit 2 – Deliverables Schedule.

5.5.2 Workload Capacity

5.5.2.1 The workload may fluctuate during the life of this TO The Contractor shall make proactive and responsive adjustments to changes in workloads, ensuring timeliness and quality performance standards are met.

5.5.3 Training

5.5.3.1 The Contractor shall complete training, as required, to include Information Technology, Security, and other Government mandated training. Government mandated training for this TO includes:

5.5.3.1.1 Vehicle Training

5.5.3.1.2 Emergency Response Training

5.5.3.2 The Contractor shall ensure all contractor personnel are adequately trained to perform the functions set forth in this TO requirement. The Contractor shall provide Training Plan and Material, in accordance with Technical Exhibit 2 – Deliverables Schedule, item 3.

5.5.4 Program Management Review (PMR)

5.5.4.1 The Contractor shall present a Program Management Review (PMR) to the Government quarterly, or otherwise as directed. These meetings will be held at a mutually agreeable location and shall be at no additional cost to the Government. If a mutually agreeable location is unavailable, the CO will designate the location of the meeting. All aspects of this contract including progress, cost, schedule, complaints and disposition of complaints, special projects, training, current issues of mutual interest, quality assurance, future plans, and any other issues/concerns will be presented and discussed at these reviews. Some reports may be requested independent of the PMR cycle to address management issues.

5.5.4.2 The Contractor shall submit PMR performance reports not less than quarterly. The Contractor shall provide their PMR agenda items, presentation, and attendees (pre- PMR information) no later than 15 business days prior to the PMR.

5.5.5 Deliverables

5.5.5.1 The Contractor shall provide the following deliverables in accordance with Technical Exhibit 2 – Deliverables Schedule:

5.5.5.1.1 Processes and Procedures

5.5.5.1.2 Staffing Plan

5.5.5.1.3 Training Plan and Material

5.5.5.1.4 Quality Control Plan

5.5.5.1.5 Management and Workload Reports

5.5.5.1.6 Program Management Review Performance Reports

PART 6

APPLICABLE PUBLICATIONS

6. APPLICABLE PUBLICATIONS (See Base IDIQ PWS Part 6)

PART 7

ATTACHMENT/TECHNICAL EXHIBIT LISTING

7. Attachment/Technical Exhibit List:

7.1. Technical Exhibit 1 – Performance Requirements Summary

7.2. Technical Exhibit 2 – Deliverables Schedule

7.3 Technical Exhibit 3 - Workspace Inventory List

7.4 Technical Exhibit 4 – NBIB Iron Mountain Workspace

TECHNICAL EXHIBIT 1

Performance Requirements Summary

Performance Requirements will be measured by business days or calendar days. Business days are defined as Monday through Saturday, excluding Sundays and Federal Holidays, unless otherwise noted. Calendar days are Sunday through Saturday, unless otherwise noted. Federal Holidays are listed in the Base IDIQ PWS Part 1.5.3.1.

Performance Objective

Standard Performance Threshold

Method of Surveillance

PRS #1 – Not Applicable PRS # 2 – Not Applicable

PRS # 3 – Not Applicable

PRS # 4 – Not Applicable

PRS #5 – Not Applicable

PRS #6

The Contractor shall validate and process applicants’ application prior to case scheduling to ensure application is complete in accordance with the INV15 and FIS.

(PRS is required for Business Days)

*PWS 5.2.1

The Contractor validated and processed applicant’s’ applications while ensuring application was complete in accordance with INV15 and FIS. Initial and Restricted Investigations were completed within one

(1) business day and Reinvestigations were completed within three (3) business days of system notification of case being ‘uploaded’ (or received) to NBIB.

Quality: Not to exceed 3% deviation from the standard

Timeliness: Not to exceed 3% deviation from the standard

Random Inspection and/or Management Report

PRS #7

The Contractor shall take action on application in accordance with INV15 and FIS.

(PRS is required for Business/Calendar Days)

*PWS 5.2.2

The Contractor took action on application in accordance with INV15 and FIS within one (1) business day of issue identification.

In circumstances where no response was received within fourteen calendar days, the Contractor returned the investigation as Unacceptable.

Quality: Not to exceed 3% deviation from the standard

Timeliness: Not to exceed 3% deviation from the standard

Random Inspection, Validated Customer Complaint, and/or Management Report

PRS #8

The Contractor shall validate the case scheduled in accordance with INV15 and FIS and take appropriate remediating action.

(PRS is required for Business Days) *PWS 5.2.3 and 5.2.4

The Contractor validated the case scheduled in accordance with INV15 and FIS. Validation was completed within three (3) business days of case scheduling.

Quality: Not to exceed 3% deviation from the standard

Timeliness: Not to exceed 3% deviation from the standard

Random Inspection, Validated Customer Complaint, and/or Management Report

PRS #9

The Contractor shall image and file all necessary case material to ensure hard copy and electronic files are complete.

(PRS is required for Business Days)

*PWS 5.3.1

The Contractor imaged and filed all necessary case material ensuring hard copy and electronic files were complete.

Imaging and filing was completed within one (1) day of receipt.

Quality: Not to exceed 1% deviation from the standard

Timeliness: Not to exceed 1% deviation from the standard

Random Inspection, Validated Customer Complaint, and/or Management Report

PRS #10

The Contractor shall monitor cases throughout investigative process and take appropriate action to enable case delivery in accordance with the Processes and Procedures documents.

(PRS is required for Business Days)

*PWS 5.3.2

The Contractor monitored cases throughout the investigative process and took appropriate action in accordance with the Processes and Procedures documents to enable timely case delivery.

Quality: Not to exceed 2% deviation from the standard

Timeliness: Not to delay case delivery by more than one (1) business day.

Periodic Surveillance, Timeliness of Case Delivery

PRS #11

The Contractor shall search, process, update, and complete all items assigned to ensure compliance in accordance with FIS.

(PRS is required for Business Days)

*PWS 5.4

The Contractor searched, processed, updated, and completed all items assigned and ensured compliance in accordance with FIS. Searches were completed within three (3) business days. Processed, updated, and completed items within one

(1) business day.

Quality: Not to exceed 3% deviation from the standard

Timeliness: Not to exceed 3% deviation from the standard

Random Inspection, Validated Customer Complaint, and/or Management Report

TECHNICAL EXHIBIT 2

DELIVERABLES SCHEDULE

# Deliverable Frequency Delivery Method Medium/Format Submit To 1 Processes and Procedure

Documents

(PWS 5.4.5.1.1)

Within 5 Business Days after Government direction or approval.

Digital copy saved in a pre-determined location on the Network.

MS Office Compatible

Email submission to the COR when the digital format has been delivered to the pre-determined location

2 Staffing Plan

(PWS 5.4.5.1.2)

Within 30 days of Contract Award, quarterly, and within 5 Business Days of Government requests thereafter

Digital copy saved in a pre-determined been delivered to the pre-determined location

3 Training Plan and Material

(PWS 5.4.5.1.3)

Within 30 days of Contract Award, quarterly, and within 5 Business Days of Government requests thereafter

Digital copy saved in a pre-determined been delivered to the pre-determined location

4 Quality Control Plan

(PWS 5.4.5.1.4)

Within 30 days of Contract Award and within 5 Business Days of Government requests thereafter

Digital copy saved in a pre-determined been delivered to the pre-determined location

5 Management Reports and Workload Reports

(PWS 5.4.5.1.5)

Management Reports – Weekly Workload Reports – Daily And within 1 Business Day of Government Request for either, thereafter.

Digital copy saved in a pre-determined been delivered to the pre-determined location

6 Program Management Review Performance Reports

(PWS 5.4.5.1.6)

Quarterly reports no later than 15 business days prior to the PMR, out-of-cycle requests within 5 Business Days.

Digital copy saved in a pre-determined been delivered to the pre-determined location