36C10D24Q0133_2.docx

SUBJECT*

ENTERPRISE RISK MANAGEMENT

GENERAL INFORMATION

SET-ASIDE

Veterans Benefits Administration Acquisition Directorate 1800 G Street NW Washington DC 20006

POINT OF CONTACT*

Contracting Officer Gregory Stevens gregory.stevens@va.gov 313-354-2194

PLACE OF PERFORMANCE

Veterans Benefits Administration

Office of Financial Management

1800 G Street NW

Washington DC

ADDITIONAL INFORMATION

AGENCY’S URL

URL DESCRIPTION

EMAIL DESCRIPTION

DESCRIPTION

THIS IS NOT A SOLICITATION. The Department of Veterans Affairs (VA) Veterans Benefits Administration (VBA) is issuing this Sources Sought Notice for Enterprise Risk Management services within the Office of Financial Management as described in the attached Performance Work Statement (which has been significantly revised since a previous Sources Sought Notice was issued in April 2024).

This notice is issued solely for information and planning purposes only. There is no obligation for the Government to acquire any products or services described in this notice. Responses to this notice are not quotes and cannot be accepted by the Government to form a binding contract. The information provided may be used by VBA in developing its acquisition strategy and informing, refining, and finalizing the attached Performance Work Statement. Interested parties are responsible for adequately marking proprietary, restricted or competition sensitive information contained in their response. Only electronic responses to this notice will be accepted. The Government will not pay for any time expended or information submitted in response to this notice. Eligibility in participating in a future acquisition does not depend upon a response to this notice.

The Government is seeking the following information to be provided by vendors when responding to this notice:

Modification to a Previous Notice Modification to a Previous Notice If interested, please submit your response via email to the Contracting Officer, Gregory Stevens, gregory.stevens@va.gov, by the due date and time listed above.

Modification to a Previous Notice

1. What is your company's experience in advancing enterprise risk processes, governance, and the integration of risk information with management functions and decision-making for a large Federal agency (20,000 plus employees) with multiple program and staff offices, in support of the oversight and risk management efforts as outlined in OMB Circular A-123?

2. Please tell us your company’s experience in conducting Enterprise Risk Assessments for a large (20,000 plus employees) Federal agency with multiple program offices and staff functions in support of oversight and risk management efforts as outlined in OMB Circular A-123?

3. Please complete the following table to provide an overview of your company’s experience performing the tasks outlined in the PWS and provide 3 examples of past performance delivering Enterprise Risk Management:

Example 1:

Contract Title:

Offeror:

Customer/Agency:

Contract Number(s):

Value of Contract:

Contract Type:

Period of Performance:

Place of Performance:

Number and Type of Personnel:

Client Point of Contact (Contracting Officer):

Client Point of Contact (Project Officer):

Relevance and Significant Accomplishments

Task 1 – Task 2 – Task 3 – Task 4 –

Example 2:

Contract Title:

Offeror:

Customer/Agency:

Contract Number(s):

Value of Contract:

Contract Type:

Period of Performance:

Place of Performance:

Number and Type of Personnel:

Client Point of Contact (Contracting Officer):

Client Point of Contact (Project Officer):

Relevance and Significant Accomplishments

Task 1 – Task 2 –

Example 3:

Contract Title:

Offeror:

Customer/Agency:

Contract Number(s):

Value of Contract:

Contract Type:

Period of Performance:

Place of Performance:

Number and Type of Personnel:

Client Point of Contact (Contracting Officer):

Client Point of Contact (Project Officer):

Relevance and Significant Accomplishments

Task 1 – Task 2 –

4. Describe the experience and education of the Enterprise Risk Management personnel that work at your company that you would utilize to fill the labor categories (ERM Director, ERM Senior Manager, ERM Manager, ERM Senior Consultant, and ERM Consultant) listed in the Government’s PWS.

Enterprise Risk Management RFI Questions

Page 1 of Note: For your reference, below please find the draft Performance Work Statement for this anticipated Enterprise Risk Management procurement.

PERFORMANCE WORK STATEMENT (PWS)

A. GENERAL INFORMATION

1. Contract Title: Continuation of Enterprise Risk Management Maturation

2. Background: The Office of Management and Budget (OMB) Circular No. A-123, Management’s Responsibility for Enterprise Risk Management (ERM) and Internal Control, requires agencies to integrate risk management and internal control functions. This Circular defines management’s responsibilities for ERM and internal control. The Circular provides updated implementation guidance to Federal managers to improve accountability and effectiveness of Federal programs as well as mission-support operations through implementation of ERM practices. The Circular emphasizes the need to integrate and coordinate risk management in existing business activities and as an integral part of managing an Agency. This Circular is issued under the authority of the Federal Managers' Financial Integrity Act (FMFIA) of 1982 as codified in 31 U.S.C. 3512, and the Government Performance Results Act (GPRA) Modernization Act, Public Law 111-352.

Veterans Benefits Administration (VBA) has an approved charter for its risk governance structure and is seeking to further develop and implement a robust, integrated risk management program that will inform decision making and resource allocation. In support of this goal, the VBA has a requirement for a Contractor to develop and provide products and services designed to meet the risk management goals of VBA’s Senior Analysts and Executives under the direction of VBA’s Chief Risk Officer (CRO) or their designee. Such support shall require a contract team with adaptable and significant expertise in ERM.

3. Scope of Work: Under this contract, the Contractor ERM Subject Matter Expert shall create, deliver, and facilitate training to VBA Senior Analysts and Executives for the implementation of industry best practices associated with establishing an ERM program. Training shall be conducted in a classroom setting, small groups or individually as appropriate for each learning objective. In-person training is most preferred, but contractor shall deliver virtual training if VBA determines it is impractical to deliver in person training to employees located outside the Washington, D.C. metropolitan area. Contractor shall provide classroom facilities for up to 70 people in coordination with the VBA CRO or their designee.

Instruction shall be phased to support VBA leadership and employees in assessing VBA’s current risk culture, designing and facilitating risk assessment workshops, developing risk appetite statements, analyzing risks, identifying risk metrics, risk reporting, communications and culture change, and integrating the principles of risk management to support decision making and resource allocation. Instruction shall emphasize practical application of theory, tools and techniques using real-world risks facing VBA and build upon the work done in VBA to date. Instruction will consist of three major areas:

· Encouraging Culture Change to Improve ERM Effectiveness

· Maturing the ERM Process

· Developing the Required Analytical Tools and Risk Assessment Capabilities

4. Performance Period: The period of performance (POP) for this contract is a (1) one-year base period plus four (4), one-year option years.

5. Recognized Holidays:

The Contractor is not required to perform services on Federal holidays. Any work to be performed at the Government site shall not take place on Federal holidays or weekends unless directed by the Contracting Officer (CO) or in support of National Guard and Reserve. There are eleven (11) Federal holidays set by law (United States Code (USC) Title 5 Section 6103) that VA follows:

Under current definitions, five are set by date:

New Year's Day January 1 Juneteenth Day June 19 Independence Day July 4 Veterans Day November 11 Christmas Day December 25

If any of the above falls on a Saturday, then Friday shall be observed as a holiday. Similarly, if one falls on a Sunday, then Monday shall be observed as a holiday.

The other six are set by a day of the week and month:

Martin Luther King's Birthday Third Monday in January Presidents’ Day Third Monday in February Memorial Day Last Monday in May Labor Day First Monday in September Columbus Day Second Monday in October Thanksgiving Fourth Thursday in November

6. Hours of Operation: The Contractor is responsible for conducting business that meets the needs of VBA. The Contractor shall be available 7:30 a.m.to 4:30 pm EST.

7. Type of Contract: Firm Fixed-Price (FFP)

8. Place of Performance (POP): Tasks associated with this contract shall be performed at VBA, 1800 G St, NW, Washington, D.C. 20006. There could be occasional travel, up to two (2) times each location during the POP, to VBA Districts located in St. Louis, MO, Nashville, TN, Lakewood, CO and Phoenix, AZ and one (1) VBA Executive Leadership Symposium at a location to be determined.

B. POST AWARD/KICKOFF CONFERENCE

The Contractor shall attend any post award/kickoff conference convened by the contracting activity or contract administration office in accordance with FAR Subpart 42.5. The Government intends to convene a Post Award/Kickoff Conference with the Contractor within five business days after contract award. The Contracting Officer Representative (COR) will notify the Contractor of the specific date, location and agenda.

C. GENERAL REQUIREMENTS

1. Non-Personal Services: The Government will neither supervise Contractor employees nor control the method by which the Contractor performs the required tasks. Under no circumstances shall the Government assign tasks to, or prepare work schedules for, individual Contractor employees. It shall be the responsibility of the Contractor to manage its employees and to guard against any actions that are of the nature of personal services or give the perception of personal services. If the Contractor feels any action constitutes, or is perceived to constitute personal services, it shall be the Contractor’s responsibility to notify the Contracting Officer immediately. These services shall not be used to perform work of a policy, decision making or management nature, i.e. inherently Government functions. All decisions relative to programs supported by the Contactor shall be the sole responsibility of the Government.

2. Contractor Travel: Prior to travel, the Contractor shall coordinate with and receive Government authorization from the COR for all travel. Reimbursement of travel costs will be in accordance with the Federal Travel Regulation and Federal Acquisition Regulation 31.205-46. The Contractor shall travel using the lower cost mode transportation commensurate with the mission requirements. When necessary to use air travel, the Contractor shall use the tourist class, economy class or similar lodging accommodations to the extent they are available and commensurate with the mission requirements. VA will not reimburse Contractor’s local travel. Local travel is defined as travel within fifty (50) miles of Washington, DC. All other travel will be reimbursed on a cost reimbursable basis; no profit or fee will be paid. All receipts will be submitted within 30 days from when travel occurred.

3. Contractor shall not release any pre-decisional or deliberative information generated in the course of the instructional activities

D. Specific Mandatory Tasks and Associated Deliverables:

Effective operationalization of a maturing ERM program is critical to sustaining momentum and broadening an ERM program’s value to an organization. An organization at a 'comprehensive' maturity level typically requires more proactive and targeted support informed by institutional and programmatic knowledge. Those efforts benefit from significant experience implementing ERM at large federal agencies and from key personnel that have the ERM specific capabilities to create risk management value.

Support Summary Support to VBA stakeholders should emphasize practical application of theory, tools, and techniques using real-world risks facing VBA and build upon the work done in VBA to date. ERM support partner engagement should focus on three major areas to mature the ERM program and supporting processes:

1. Encouraging Culture Change and Governance to Improve ERM Effectiveness: The Contractor’s Subject Matter Experts should support VBA leadership and employees in assessing VBA’s current risk governance and culture, understanding gaps and/or challenges, and implementing communications and culture change efforts to support required adjustments.

2. Developing Analytical Tools and Risk Management Capabilities: The Contractor should identify opportunities to leverage stakeholder insights to facilitate risk prioritization and response workshops to support stronger risk analysis, including identifying risk metrics and strengthening risk reporting processes.

3. Strengthening Integration with other Management Processes: The Contractor should document and operationalize VBA’s risk appetite framework, tying it to other management processes and integrating the principles of risk management to support enterprise decision making and resource allocation.

Recommended Support Tasks The Contractor should provide relevant subject matter expertise to VBA Senior Analysts and Executives for the implementation of industry best practices associated with maturing an ERM program. The Contractor should reinforce VBA staff interactions with Senior Executives by offering expertise on leading industry standards and best practices, developing appropriate guidance and training, and identifying recommendations for a mature ERM program. The ERM support partner should also leverage VA’s existing ERM capabilities to mature and support VBA’s ERM program.

Task 1. Governance and Stakeholder Engagement

Under this contract, the Contractor shall develop or refresh training content as necessary to support ERM governance implementation and stakeholder engagement. Topics may include Expanding Organizational Awareness; Strengthening ERM Governance; Integration with Lines of Business/Staff Offices and their Business Processes; Developing ERM Policies and Processes; Demonstrating the Value of ERM; Maturing the ERM Process. The Contractor shall provide executive coaching to VBA personnel as necessary. The Contractor shall also regularly assess ERM program maturity and update VBA’s ERM Implementation Roadmap, including developing a Risk Culture analysis report with actionable recommendations.

Deliverables:

1a. VBA Risk Governance meetings (e.g., ERC, Risk Liaison, CoP) materials 1b. Key stakeholder interviews and/or working sessions 1c. Refreshed Charter and/or Standard Operating Procedures 1d. Change Management Plan 1e. Ad Hoc Training Materials (e.g., Train-the-Trainer, ERM materials for related conferences/meeting) 1f. Communication Plan 1g. Awareness Campaigns (e.g., external presentations, magazine, newsletters, ERM Awareness Week) 1h. Executive Coaching to ERM Program Staff 1i. Program impact survey and analysis 1j. Updated Maturity Model and Implementation Roadmap

Task 2. Enterprise Risk Management Assessment

The Contractor shall coordinate and support VBA’s Enterprise Risk Assessment (ERA) processes, including maintaining an Enterprise Risk Registry, supporting key driver analysis, and facilitating risk assessment and prioritization workshops. The Contractor shall build on the existing VBA risk registry and create related analytical products and support management deliberation on risk prioritization; support development and deployment of risk response and scenario planning tools and techniques; and develop risk reporting processes and help Risk Owners identify and track risk exposure and impact metrics. The Contractor shall assess stakeholder feedback on existing processes and outlined opportunities to streamline and strengthen them. The Contractor shall update the VBA ERM Playbooks to reflect any process changes or new tool development, including content and related materials.

The Contractor shall also support maturing the ERA process through applying risk visualization tools. The partner should provide relevant experience developing and implementing tools (e.g., PowerApps, ServiceNow, Workiva) and provide guidance on selecting the appropriate tool(s). The Contractor shall VBA ERM program staff to engage with program stakeholders to identify needs, use cases, and impact of risk visualization.

Deliverables:

2a. ERM process lifecycle products (e.g., Enterprise Risk Registry, risk scoring analysis, Risk Profile, Risk Response Plans, Risk Monitoring Plans) 2b. Recommendations, process, and procedure documentation in support of maturing ERA capabilities 2c. Risk Deep Dive Working Sessions 2d. Develop and use Key Performance Indicators (KPIs) and Key Risk Indicators (KRIs) 2e. Assess and identify opportunities for risk visualization/use of tools (e.g., data analytics, predictive modeling, AI, automation) 2f. Updated ERM Playbook and aligned tools

Task 3. Integration with Management Processes

The Contractor shall develop recommendations, processes, and procedures to guide the integration of risk management into existing organizational management, specifically budget formulation and execution, strategy, and internal controls. The Contractor shall conduct executive risk interviews as needed to collect information and organizational insight on the evolving risk environment, support resource allocation, and other leadership decisions. The Contractor shall develop or update a plan to continue to integrate ERM with existing lines of business/staff offices processes, as well as conduct efforts to document and assess alignment of internal controls with enterprise risks. The Contractor shall support an approach to integration ERM with existing Office of the Inspector General (OIG) and Government Accountability Office (GAO) reporting functions.

The Contractor shall design a risk appetite framework aligned to VBA strategic priorities, which will support enterprise decision-making processes. The Contractor shall work in collaboration with Risk Owners and other key stakeholders to design and operationalize a framework that meets the needs of senior leaders. Risk appetite and tolerance should be used as a risk-informed tool for decision-making in other areas like resource allocation and controls testing.

Deliverables:

3a. Support ERM integration with VBA Long Range Plan and VA Strategic Plan 3b. Conduct analysis on risk alignment with budget formulation and execution 3c. Develop integration framework for ERM and OIG and/or GAO High Risk List items 3d. Strengthen ERM and internal controls integration (e.g., input to SOA) 3e. Outline risk appetite framework aligned to strategic priorities

Task 4. Program Management

The Contractor shall run an effective project management/project implementation effort, follow effective quality control processes, and regularly report and communicate with VBA project leadership.

Deliverables:

4a. Project Management Plan 4b. Annual Kickoff Meeting 4c. Weekly status report and meeting 4d. Monthly status report 4e. Quality Control Plan (QCP)

E. SCHEDULE FOR DELIVERABLES

If for any reason the scheduled time for a deliverable cannot be met, the contractor is required to explain why (include the original deliverable due date) in writing to the COR or the designee and CO, including a firm commitment of when the work shall be completed. This notice to the COR or the designee and CO shall cite the reasons for the delay, and the impact on the contract and provide a get-well date. The COR or the designee will then review the facts and issue a response in accordance with applicable regulations.

1. Governance and Stakeholder Engagement

Refreshed Charter and/or Standard Operating Procedures

Change Management Plan

Updated ERM Playbook and aligned tools

3. Integration with Management Processes

Support ERM integration with VBA Long Range Plan and VA Strategic Plan

4. Program Management

Weekly status report and meeting

F. TRANSITION

The Contractor shall ensure no breaks in service availability. The transition management requirements are designed to ensure that, at commencement of this contract, the Contractor conducts analysis, creates the strategy, and develops the plans, deliverables, and products needed to successfully transition the provision of services.

The Contractor shall:

1. Minimize transition impact to the ERM user community, to include Executive Risk Council, Risk Liaisons, and Community of practice members.

2. Maintain existing service quality and performance levels.

3. Ensure a transparent and seamless transition.

4. Maintain support and meet delivery milestones of ongoing projects.

5. Minimize operations and maintenance (O&M) cost overlaps.

6. Ensure that the IT security posture during transition is maintained at current levels without creating gaps and/or vulnerabilities.

7. Ensure no service disruption or degradation during transition.

The Contractor shall develop and implement the detailed transition strategies and processes needed to enable a transfer of products and services from the incumbent service provider to the service platform required under this PWS without disruption to ongoing contract support levels.

The Contractor shall develop and implement detailed transition strategies and processes needed to maintain continuity of operations and quality of service during the transition in period.

The Contractor shall implement and manage the activities necessary to transition service from the existing service provider(s) with no breaks in current service levels and no delays in support for new and ongoing projects.

For planning purposes, the overall transition period shall not exceed ninety (90) days. Transition of operational capabilities is to be completed within thirty (30) days.

The Contractor shall recruit, assign, and manage the staff and resources in a quick and efficient manner to meet the transition requirements, schedule, and milestones.

The Contractor shall perform the analyses needed to develop the plans for transitioning the contract services and appropriate GFE/GFI to their operational environment as required herein and to ensure that all required systems, data, information, domain knowledge, licenses, maintenance contracts, documentation, and other relevant items are identified and transitioned.

The Contractor shall ensure that all necessary personnel actions, training (including any required certifications), and domain knowledge transfer are accomplished.

The Contractor shall also consider non-personnel issues, such as materials and supplies, equipment, facilities, sub-contracts, leases, environmental issues, safety and security, etc.

The Contractor shall identify an implementation strategy and perform critical tasks needed to obtain employee security clearances in the most expeditious manner possible during the transition period; At the request of VA Office of Performance Analysis and Integrity (PA&I), the Contractor shall conduct an inventory of Government Furnished Equipment (GFE) and IT assets; establish management processes and controls; and other tasks the Contractor and/or the COR deem necessary to support the transition process.

G. REPORTING REQUIREMENTS

The contractor shall provide the Government Project Manager an end of project report. The report shall include a summary recommendations and scalable plan for implementation. These are due to the Government Project Manager within thirty (30) calendar days of the final day of the course. Report will be submitted electronically.

H. GOVERNMENT RESPONSIBILITIES

The Government shall provide the contractor with access to VBA facilities and personnel as required.

I. CONTRACTOR EXPERIENCE REQUIREMENTS – KEY PERSONNEL

Skilled experienced professional and/or technical personnel are essential for successful contractor accomplishment of the work to be performed under this contract. These are defined as key personnel. The contractor agrees that the key personnel shall not be removed, diverted, or replaced from work without approval of the CO and Government Project Manager (GPM).

Any personnel the Contractor offers as substitutes shall have the ability and qualifications equal to or better than the key personnel being replaced. Requests to substitute personnel shall be approved by the GPM and the CO. All requests for approval of substitutions in personnel shall be submitted to the GPM and the CO within 30 calendar days prior to making any change in key personnel. The request shall be written and provide a detailed explanation of the circumstances necessitating the proposed substitution. The Contractor shall submit a complete résumé for the proposed substitute, and any other information requested by the CO needed to approve or disapprove the proposed substitution. The CO will evaluate such requests and promptly notify the contractor of approval or disapproval thereof in writing.

Key Personnel are as follows:

ERM Director: The ERM Director leads the engagement team and provides expert advice, assistance, guidance, and counseling in the engagement’s support of the agency’s management, organizational, engineering and business improvement efforts. Skills/Experience: 15+ years of experience leading enterprise risk management programs or engagements. This should include executive experience leading ERM at large federal agencies and comparable experience (e.g., Federal Chief Risk Officer). The ERM Director should possess recognized subject matter knowledge in federal ERM implementation.

ERM Senior Project Manager: The Project Manager is defined as an individual with 5+ years of relevant ERM experience. Skills/Experience: The Project Manager should have a proven track record of managing one or more complex ERM projects for large Federal agencies. At a minimum, the Project Manager should be a Certified Risk Management Professional (RIMS-CRMP) or hold other relevant certifications (e.g., Project Management Professional).

ERM Project Manager: The Project Manager is defined as an individual with 3+ years of relevant ERM experience. Skills/Experience: The Project Manager should have a proven track record of assisting on one or more complex ERM projects for large Federal agencies. At a minimum, the Project Manager should be a Certified Risk Management Professional (RIMS-CRMP) or hold other relevant certifications (e.g., Project Management Professional).

ERM Senior Consultant: The ERM Consultant is defined as an individual with 2+ years of relevant ERM experience. Skills/Experience: Experience relevant to the PWS of successfully performing project tasks for a federal ERM program. At a minimum, the ERM Consultant should be a Certified Risk Management Professional (RIMS-CRMP).

ERM Consultant: The ERM Consultant is defined as an individual with 1+ years of relevant ERM experience. Skills/Experience: Experience relevant to the PWS of successfully performing project tasks for a federal ERM program. At a minimum, the ERM Consultant should be a Certified Risk Management Professional (RIMS-CRMP).

J. GOVERNMENT FURNISHED PROPERTY, SERVICES OR INFORMATION

1. Government Property, Services: The Government will not provide any equipment or services.

2. Information: The Government will provide access to the necessary procedures and policies. Copies of required materials may be provided to the Contractor in hard copy or soft copy. All materials will remain the property of the Government and will be returned to the COR upon request or at the end of the contract period.

K. CONTRACTOR FURNISHED ITEMS AND SERVICES

The Contractor shall furnish, all facilities, equipment and supplies required to perform the work under this contract that are not listed under Government Furnished Property and Services.

1. Contractor Responsibilities: The Contractor shall only conduct business with the designated Government COR and/or Project Manager. Names will be provided to the Contractor in writing and updated as necessary throughout the contract period.

U.S. Government records, copies of original results and reports, verified original data, corrected data and corrected supporting final reports which are maintained by the Contractor remain the property of the U.S. Government. These files/results must be surrendered to the COR.

2. Contractor Personnel: The Contractor shall provide a Project Manager who shall be responsible for the performance of work. An alternate shall also be designated to act in the absence of the Project Manager. These Contractor Project Manager(s) are considered Key Personnel by the Government. The Project Manager or alternate shall have full authority to act on all contact matters relating to daily operations of this contract. Accordingly, at a minimum, the Project Manager shall have the technical knowledge of the requirement and be in the position to receive assignment, guidance and direction from the COR, GPM and CO. The Project Manager or alternate shall be available between the hours of 7:30am to 4:30pm, Monday through Friday EST, except Federal Holidays or when the Government facility is closed for administrative reasons.

3. Identification of Contractor Employees: All Contractor/subcontractor personnel shall wear company picture identification badges as to distinguish themselves from Government employees. When conversing with Government personnel during business meetings, over the telephone or via electronic mail, Contractor/subcontractor personnel shall identify themselves as such to avoid situations arising where sensitive topics might be better discussed solely between Government employees. Contractors/subcontractors shall identify themselves on any attendance sheet or any coordination documents they may review. Electronic mail signature blocks shall identify their company affiliation. Where practicable, Contractor/subcontractors occupying collocated space with their Government program customer shall identify their work space area with their name and company affiliation, or as a minimum, “Contractor” after name.

6. Contractor Facility: Contractor must provide classroom facilities for up to 70 people in coordination with the VBA Chief Risk Officer (CRO) or the designee.

L. SECURITY REQUIREMENTS

Contractor Personnel Security

a. Any individual who requires access to the VA site(s), personally identifiable information (PII) and/or access to VA local area network (LAN) systems shall be the subject of a background investigation and must receive a favorable adjudication from the VA Security and Investigations Center (SIC). These requirements are applicable to all sub-contractor personnel requiring the same NACI Background Investigation.

b. The level of background security investigation will be in accordance with VA Directive 0710 dated June 4, 2010 and is available at http://www.va.gov/vapubs/viewPublication.asp?Pub_ID=487&FTyp.

Background Investigation: The Contractor employee level of background investigation required for this effort is: Low Risk (NACI)

Investigation Documents: Immediately after contract award, the COR will provide the Contractor with the following background investigation documents to be completed by the Contractor and returned to the COR to begin the background investigations process for all contract employees working on the contract who will have access to VA facilities, VA systems, or privacy data:

1. Background Investigation Request Worksheet;

2. Optional Form 306 – Declaration of Federal Employment;

3. Fingerprint Request Form;

4. VA Form 0710 – Authorization for Release of Information; and

5. Self-Certification of Continuous Service (if applicable) Submitting Completed Package: Upon receipt of documents listed above from the COR, the COR will submit the background investigation package to VBA’s Security Specialist for processing through SIC. Upon notification of favorable fingerprint results, the Contractor may begin work while the background investigation is ongoing. Thereafter, the Contractor shall receive an email notification from the SIC identifying the website link that includes detailed instructions regarding completion of the background clearance application process..

Reciprocation: Contractors who have current favorable background investigation previously conducted by OPM or Defense Security Service (DSS) may be accepted through reciprocation. When a previous clearance is currently held, it does not preclude the Contractor form submitting a complete Background Investigation Package as stated above to the COR immediately after contract award for all Contractor employees who will be working on the contract.

Pre Screen: The Contractor shall prescreen all personnel who require access to VA site(s) and/or access to VA LAN systems to ensure they maintain U.S. citizenship or Alien Registration that authorizes them to work in the U.S., and are able to read, write, speak and understand the English language.

Contractor Performance: Contract performance shall not commence before A. The VBA has confirmed favorable fingerprint results, or B. SIC confirms that it has received the Contractor’s investigative documents, The documents are complete, and that the investigation information has been released to OPM for scheduling of the background investigation, or C. VSC or the SIC has confirmed that the verified investigation will be reciprocated.

Copy of Certificate of Investigation (COI): The COR will notify and forward the Contractor a copy of the Certificate of Investigation when the background investigation has been favorably completed or a Certificate of Eligibility (Form 4236) if the investigation has been reciprocated. The Contractor, if notified, of an unfavorable adjudication by the Government, shall withdraw the employee from consideration from working under the contract. Failure to comply with the Contractor personnel security requirements may result in termination of the contract for default.

Responsibility: The Contractor shall be responsible for the actions of those contract and subcontract employees it provides to perform work for the VA. In the event damage arises from work performed by Contractor personnel the Contractor will be responsible for resources necessary to remedy the incident.

Vendor Selection: Should the Contractor use a vendor other than OPM or DSS to conduct investigation, the investigative company must be certified by OPM/DSS to conduct Contractor investigations. The Vendor Cage Code number must be provided to the VA SIC, which will verify the information and conclude whether access to the Government’s site(s) and/or VA LAN systems can be granted.

Investigative History: The investigative history for Contractor personnel working under this contract must be maintained in the databases of either OPM or the Defense Industrial Security Clearance Organization (DISCO).

Government Responsibilities:

• After the SIC has adjudicated the background investigation package from the Contractor, the SIC will send an e-mail notification to the Contractor and their POC identifying the website link that includes detailed instructions regarding completion of the background clearance application process and the level of background that was requested.

• Upon receipt of required investigative documents, SIC will review the investigative documents for completion and initiate the background investigation by forwarding the investigative documents to OPM to conduct the background investigation. If the investigative documents are not complete, the SIC will notify the vendor of deficiencies and include corrective instructions.

• VA will pay for investigations and reciprocals processed through the VA SIC and conducted by OPM in advance.

• The COR will notify and forward the Contractor a copy of the Certificate of Investigation when the background investigation has been favorably adjudicated or a Certificate of Eligibility (Form 4236) if the investigation has been reciprocated. The COR will also notify the Contractor of an unfavorable adjudication by the Government.

Confidentiality and Nondisclosure

It is agreed that:

1. The preliminary and final deliverables and all associated working papers, application source code, and other material deemed relevant by the VA which has been generated by the contractor in the performance of this task order are the exclusive property of the U.S. Government and shall be submitted to the COR at the conclusion of the task order.

2. The CO will be the sole authorized official to release verbally or in writing, any data, the draft deliverables, the final deliverables, or any other written or printed materials pertaining to this task order. No information shall be released by the contractor. Any request for information relating to this task order presented to the contractor shall be submitted to the CO for response.

3. Press releases, marketing material or any other printed or electronic documentation related to this project, shall not be publicized without the written approval of the CO.