Attachment 2 Statement of Work.pdf

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Federal Emergency Management Agency Doctrine Support for the Office of Response and Recovery’s

Associate Administrator Indefinite Delivery Indefinite Quantity (IDIQ)

Statement of Work (SOW)

1. BACKGROUND

The primary mission of the Federal Emergency Management Agency (FEMA) is Helping people before, during and after disasters. The range of FEMA’s incident management and incident support responsibilities is broad, far-reaching, and often times complex and challenging. Consequently, FEMA has a need for independent, objective technical analyses on critical issues and actions facing the Agency today and into the future.

FEMA’s Office of Response and Recovery (ORR) provides guidance, leadership, and oversight to build, sustain, and improve the coordination and delivery of support to disaster survivors and State, local, tribal and territorial governments to save lives, reduce suffering, protect property, and recover from all hazards.

Additionally, ORR coordinates the Federal response and recovery capabilities needed to save and sustain lives, minimize suffering, and protect property in a timely and effective manner following natural disasters, acts of terrorism, or other emergencies. Operational activities include the coordination of all Federal emergency management response and recovery capabilities, and the integration of Federal, State, tribal and local disaster programs.

The ORR Doctrine Section: (1) establishes the framework, standards, and process guidelines for doctrine and guidance development that includes stakeholders in every FEMA Headquarters component, ORR directorate and the Regional Offices; (2) employs a hierarchical structure to define different levels of doctrine; (3) conducts comprehensive reviews and revisions of doctrinal and guidance documents, identifies voids, and coordinates the development of new documents; (4) coordinates with all Directorates to ensure that doctrine being developed is consistent across the organization and supports or does not conflict with existing doctrine or emerging concepts; and (5) provides analysis and evaluation, work group facilitation and document development support to all four ORR Directorates (Response, Recovery, Field Operations and Logistics) to help address emerging and legacy doctrine and guidance requirements.

In addition, the ORR Doctrine Section supports a comprehensive process to ensure continual improvement and maintenance of doctrinal materials that guide operations at the incident, regional, and national levels. Doctrine provides the foundation for the Agency’s planning and training programs.

Doctrine provides the baseline methods and processes, planning applies those methods and processes to specific scenarios, and training provides standardization and a common understanding of doctrine that ensures consistent application of doctrine in disaster operations.

2. AUTHORITIES AND FOUNDATIONAL DOCUMENTS

Each product shall be developed in accordance with the following documents:

• Robert T. Stafford Disaster Relief and Emergency Assistance Act (Public Law 93-288, as amended, 42 U.S.C. 5121-5207)

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• Title 44 of the Code of Federal Regulations (CFR), Emergency Management and Assistance

• Homeland Security Act (Public Law 107-296, as amended, 6 U.S.C. §§ 101 et seq.)

• Homeland Security Presidential Directive 5 (HSPD-5), 2003

• Post-Katrina Emergency Management Reform Act of 2006 (Public Law 109-295), October 4,

• Sandy Recovery Improvement Act (SRIA) 2013

• Presidential Policy Directive 8 (PPD-8), “National Preparedness,” March 30, 2011

• National Security Strategy, 2017

• National Preparedness Goal, September 2011

• National Preparedness System, November 2011

• National Response Framework (NRF), January 2016

• National Disaster Recovery Framework, September 2016

• National Incident Management System (NIMS), December 2017

• FEMA Administrator Strategic Plan 2018-2022

• Incident Management and Support Keystone, January 2011

3. SCOPE/TASKS

The purpose of this SOW is to obtain comprehensive doctrine support services for the ORR Doctrine Section acting on behalf of the ORR Associate Administrator.

In this context, doctrine support often includes bundles of individual tasks and activities such as: research and analysis, process facilitation, document development, graphics creation, and technical writing and editing. To that end, doctrinal deliverables and related tasks will be categorized in accordance with the following table:

Category Characteristics Estimated Level of Effort Projected # Required Annually

Capstone

A foundational FEMA document, at the strategic level, that expresses the identity and functions of the organization. It also defines FEMA’s principles, culture, mission, purpose, core values, and ethos.

Senior Consultant: 200 Consultant: 326 Analyst: 326 Technical Editor: 40 Writer: 808

Total: 1,700 hrs Time: 1 year

Keystone

Describes a mission that applies to multiple groups doing the same activities independently – bringing them under the same tenants, principles, and concepts.

Senior Consultant: 326 Consultant: 326 Analyst: 654 Technical Editor: 40 Writer: 654

Total: 2,000 hrs Time: 1 year

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Manual

Describes how to perform a mission covered by a keystone. Describes how to execute the tenants, principles, and concepts discussed in the keystones.

Senior Consultant: 200 Consultant: 326 Analyst: 326 Technical Editor: 40 Writer: 808

Total: 1,700 hrs Time: 8 months

Guide

A narrowly focused manual that provides more “how to” information.

Requires a manual above it;

however, not every manual requires a guide.

Senior Consultant: 200 Consultant: 326 Analyst: 326 Technical Editor: 40 Writer: 808

Total: 1,700 hrs Time: 8 months

Handbook/ Desk Reference

A portable reference guide of a compilation of procedures.

Requires a manual above it.

Senior Consultant: 100 Consultant: 200 Analyst: 200 Technical Editor: 40 Writer: 460

Total: 1,000 hrs Time: 6 months

Procedure

Identifies specific actions and methods for performing single functions. Includes things like lists, timelines, and tasks. Provides “how to” directions. Can be developed independently of other documents.

Senior Consultant: 40 Consultant: 100 Analyst: 120 Technical Editor: 40 Writer: 200

Total: 500 hrs Time: 6 months

Category 1 Revision

Revision involves significant changes to 50%-100% of the document resulting from:

• Significant change in doctrine, regulation or policy.

• New doctrine, regulation or policy.

• Internal changes that have significant impacts to incident management and support personnel

Senior Consultant: 326 Consultant: 326 Analyst: 654 Technical Editor: 40 Writer: 654

Total: 2,000 hrs Time: 1 year

Category 2 Revision

Revision involves changes to 10%- 50% of the document resulting from:

• Error or omission in existing doctrine.

Senior Consultant: 40 Consultant: 80 Analyst: 160 Technical Editor: 40 Writer: 200

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• Change in technology, practice or method.

• Two year cycle completed for doctrinal half-life

Total: 520 hrs Time: 6 months

Analytical Reports

Research and analysis reports based on emerging concepts that help to focus priorities and scope future doctrine products.

Each product will be developed with the understanding that it must explain the concepts clearly and concisely in order to facilitate decision-making and frame next steps.

Development timeline could be between 2 weeks to 60 days

• Up to 4 scoping meetings would be needed to shape thinking around the concept;

• Summary briefing slides could accompany final white paper deliverable to succinctly communicate results of analysis

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Facilitated Summit, Focus Groups, Workshops, and other collaborative platforms outside of standard Doctrine Working Groups

Potentially require one or more facilitators to lead simultaneous breakout sessions where 10-30 stakeholders come together to examine challenges, gather information and recommendations from key stakeholders, identify gaps and key issues, generate creative solutions, and shape recommendations and courses of action.

Short (2-4 weeks) timeline from initial tasking through event execution

• Event could include one to three sessions over one to three consecutive days;

• A facilitation plan, briefing deck, or handouts designed specifically for the event could be required

• Senior-level facilitators and note-takers could be needed to support concurrent break-out sessions throughout event

• A final deliverable such as a Key Summary could be required

I. Specific Tasks

a. Development of New Doctrinal Documents

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The Contractor shall provide technical support to:

i. Develop doctrinal documents in accordance with NRF, CFR 44, NIMS, NDRF, Stafford Act and other authoritative documents relevant to FEMA’s legal responsibilities. Documents must incorporate working group input.

ii. Develop draft doctrine text based on validated, value-added ideas from training exercise and working group results.

iii. Support the comment adjudication process by consolidating inputs from stakeholders into a single comment matrix and incorporate approved changes into documents.

iv. Conduct working groups to validate draft doctrine through facilitation, identification of issues and gaps within the draft and subject related documents for discussion, preliminary outline, draft invites and concepts of operation.

v. Ensure that documents developed meet the following specifications:

1. In accordance with applicable Government policies, including proper formatting in line with Government Printing Office (GPO) and DHS house style guidance.

2. Documents shall be based on FEMA, ORR validated research and analysis conducted by the Contractor.

3. Documents content shall incorporate working group results, validated concepts, proven joint capabilities, lessons learned, and established best practices.

vi. Review lessons learned, best practices, and insights. In addition to the routine research of lessons learned during doctrine assessment and development, the Contractor shall review and comment on specific draft and final “lessons learned,” “best practices,” and “insights” reports and/or documents as directed by the ORR Doctrine Section to determine their potential impact on doctrine.

b. Provide Recommendations for the Revision of Documents

i. The Contractor shall provide an analysis of documented best practices from exercises and training for use during development and provide written recommendations for the revision of doctrine and determine if there is a need for additional doctrine.

c. Technical Editing and Graphic Support

i. Provide technical editorial support to include editing, formatting, and graphic design.

ii. Collaborate with Federal staff to ensure documents communicate processes and information clearly, concisely and accurately.

iii. Provide technical assistance in the development of graphics, briefings, and other products supporting document development.

iv. Provide a rigorous quality process that incorporates technical editing, formatting, and peer review by the Contractor prior to documents being submitted.

4. DELIVERABLE & GENERAL DOCUMENT REQUIREMENTS:

A project execution plan will be required for all assignment and other specific deliverable descriptions and due dates will be detailed in each task order.

Unless otherwise specified, the Contractor must be able to provide written documents in electronic (i.e., source and pdf formats). Electronic copies provided must be compatible with Microsoft Project, Page 6/14

Word, Excel, Access, PowerPoint, or other (FEMA, ORR) Microsoft Office software applications.

The Contractor must be able to accept and send document files electronically.

For deliverables, the Contractor shall ensure that all reports are written in clear, concise English without typographical or grammatical errors. The Contractor shall meet all of the report writing guidelines in the United States Government Printing Office Style Manual and the Department of Homeland Security Guidelines.

Any and all electronic and information technology (EIT) procured through this effort must meet the applicable accessibility standards at 36 CFR 1194. 36 CFR 1194 implements Section 508 of the Rehabilitation Act of 1973, as amended, and is viewable at: http://www.section508.gov .

All information relating to the items to be delivered or services to be performed under this contract may not be disclosed by any means without prior approval of the CO. Dissemination of public disclosures includes but is not limited to: permitting access of such information by foreign national or by any other person, entity, and publication of technical or scientific papers, advertising, or any other proposed public release. The Contractor shall provide adequate physical protection to such information so as to preclude access by any person or entity not authorized such access by the Government.

5. GOVERNMENT-FURNISHED EQUIPMENT AND INFORMATION:

The government will provide doctrine documents not publicly available and one (1) government laptop. The possessor of the government laptop must be properly credentialed by DHS/FEMA in accordance with the Background Investigations and Security sections below.

6. CONTRACTOR-FURNISHED EQUIPMENT AND INFORMATION: The

Contractor shall provide personnel with workspace, equipment, computers, software, office supplies and related service necessary to perform assigned tasks for work performed at the Contractor and Government facilities.

7. MEETING FACILITIES: If a FEMA or other Government space cannot be located for working group meetings, alternative meeting space will be provided by the Contractor at no additional charge to the Government. Contractor facilities must be easily accessible by mass transit from the FEMA Headquarters and able accommodate up to 60 individuals.

8. PLACE OF PERFORMANCE: The primary place of performance will be at the

Contractor’s own facility. There will be instances where the Contractors are required to be at FEMA Headquarters (meetings, workshops, etc.). The Contractor will be required to attend frequent meetings and planning sessions for coordination and planning purposes at:

Federal Emergency Management Agency Headquarters Office of Response and Recovery

Doctrine and Policy Office 500 C Street SW

Washington DC 20472

9. CONTRACT TYPE/PERIOD OF PERFORMANCE: FEMA anticipates a single award base indefinite-delivery, indefinite quantity contract, with labor hour and/or firm-fixed price task orders issued against it, with a one-year base period and four one-year option periods.

http://www.section508.gov/ http://www.section508.gov/

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10. CONTRACTOR PERSONNEL:

10.1 Qualified Personnel and Labor Categories - It is the responsibility of the Contractor to propose qualified Contractor personnel to perform all requirements specified in the SOW. Qualified personnel should have significant experience in doctrine support services.

Historically the following labor categories have provided support to ORR under this requirement:

I. Senior Consultant Description: The Senior Consultant shall serve as a senior leader with experience in project and task management. The Senior Consultant ensures successful task completion within the scheduled timeframe in accordance with the established scope of work, to include both the technical and financial solutions. The Senior Consultant shall organize, direct, and coordinate the planning and production of all activities associated with assigned tasks. The Senior Consultant shall advise, direct and coordinate projects that require practical experience, theoretical understanding, and technical knowledge in emergency management and/or actual experience in FEMA operations and disaster assistance programs. The Senior Consultant shall be the single point of contact for the CO or COR, and if someone will act in their absence, the CO/COR should be made aware.

The Senior Consultant is further designated as Key by the Government. During any absence of the Senior Consultant, only one alternate shall have full authority to act for the Contractor on all matters relating to work performed under this contract. The Senior Consultant and all designated alternates shall be able to read, write, speak and understand English. Additionally, the Contractor shall not replace the Senior Consultant without prior approval from the Contracting Officer.

Historically the Experience & Education requirements for this labor category is: Minimum of 12 years of relevant experience with experience in writing emergency management documents and Bachelor’s Degree in relevant field.

II. Consultant Description: The Consultant is a team member contributing to consulting staff client assignments within specified guidelines. The Consultant shall perform tasks that require practical experience, theoretical understanding, and technical knowledge in emergency management and/or actual experience in FEMA operations and disaster assistance programs. The Consultant shall understand the overall purpose of task assignment, identify discussion topics, and develop agendas and concepts of operations for working groups and facilitate meetings. The Consultant is further designated as Key by the Government.

Historically the Experience & Education requirements for this labor category is: Minimum of five years of relevant experience and Bachelor’s Degree in relevant field

III. Analyst Description: The Analyst is a senior expert with extensive knowledge and experience in developing and applying analytic methodologies and principles. The Analyst leads the application of analytic techniques and helps define project objectives and strategic direction. The Analyst is responsible for providing leadership and vision to client and project teams around the methodology. The Analyst resolves complex problems, which require an in-depth knowledge of analytic methodologies and principles. The Analyst shall perform research and analysis that require practical experience, theoretical understanding, and technical knowledge in emergency

Page 8/14 management and/or actual experience in FEMA operations and disaster assistance programs. The Analyst is further designated as Key by the Government.

Historically the Experience & Education requirements for this labor category is: Minimum of five years of relevant experience and Bachelor’s Degree in relevant field

IV. Writer Description: The Writer works with consultants and analysts to research, write, edit, and proofread data for use in documents or sections of documents such as manuals, procedures, specifications, special reports, and any other customer deliverables and documents. The Writer shall interpret and write information for documents in an easily understandable language. The Writer shall write original drafting of management operations and business documentation requiring an understanding of the basic concepts, practices and vocabulary relevant to the subject matter. The Writer ensures documentation is accurate, complete, meets editorial and client specifications, and adheres to standards for quality, graphics, coverage, format, and style.

Historically the Experience & Education requirements for this labor category is: Bachelor’s Degree and at least four years of experience as a technical writer of specifications, standards, and technical manuals. One additional year of relevant experience can be substituted for each year of education shortfall. Knowledge of client style guidelines, protocols, and procedures are required.

V. Technical Editor Description: The Technical Editor shall provide technical editing to ensure that documents meet GPO standards. The Technical Editor shall review, rewrite, and edit a variety of documents including manuals, guides, and procedures. The Technical Editor shall review documents for errors in grammar, punctuation, syntax, and spelling. The Technical Editor shall check documents for style, readability, and ensure graphics accurately reflect the associated text.

Historically the Experience & Education requirements for this labor category is: Five years of relevant experience and Bachelor’s Degree in relevant field

10.2 . Contractor Employee Conduct and Identification:

i. Contractor’s employees shall comply with all applicable Government regulations, policies and procedures (e.g., fire, safety, sanitation, environmental protection, security, “off limits” areas, wearing of parts of DHS uniforms, and possession of weapons) when visiting or working at Government facilities. The Contractor shall ensure Contractor employees always present a professional appearance and that their conduct shall not reflect discredit on the United States or the Department of Homeland Security. Contractor employees understand and abide by Department of Homeland Security established rules, regulations and policies concerning safety and security.

ii. Contractor employees visiting Government facilities shall wear an identification badge that, at a minimum, displays the Contractor name, the employee’s photo, name, clearance-level and badge expiration date. Visiting Contractor employees shall comply with all Government escort rules and requirements. All Contractor employees shall identify themselves as Contractors when their status is not readily apparent and display all identification and visitor badges in plain view above the waist at all times.

iii. Contractor employees working on-site at Government facilities shall wear a Government issued identification badge. All Contractor employees shall identify themselves as Contractors

Page 9/14 when their status is not readily apparent (in meetings, when answering Government telephones, in e-mail messages, etc.) and display the Government issued badge in plain view above the waist at all times.

11. TRAVEL

a) Government-directed travel may be required under this contract, and this contract includes a funded Travel CLIN for this purpose.

b) For each instance of Government-directed travel under the Travel CLIN, the COR will provide advance notice of the trip, and the contractor will provide a not-to-exceed price quotation for the trip for the COR’s approval. The trip can occur only after the COR has agreed to the not-to-exceed price; provided, the Travel CLIN has sufficient available funds to cover the not-to-exceed price.

c) Payment to the contractor will be treated as an Other Direct Cost under the clause in this contract at FAR 52.212-4, Contract Terms and Conditions— Commercial Items, with its Alternate I. The order will provide fill-ins for paragraphs (i)(1)(ii)(D)(1) and (2) of that clause. If no fill-ins are provided, they will be understood to be “Government-directed Travel” and “None,” respectively.

d) The contractor’s invoice shall include evidence of actual costs incurred by the contractor. The guidelines of FAR 31.205-46 apply. Payment shall not exceed the not-to-exceed price established by paragraph (b) above.

e) The Government will fund the Travel CLIN based on its estimate of travel costs. The Government may unilaterally raise or lower the amount during performance of the Travel CLIN to reflect an up-to-date estimate.

12. SECTION 508 AND 504 COMPLIANCE

Accessibility Requirements (Section 508)

Section 508 of the Rehabilitation Act, as amended by the Workforce Investment Act of 1998 (P.L. 105-

220) requires that when Federal agencies develop, procure, maintain, or use electronic and information technology (EIT), they must ensure that it is accessible to people with disabilities. Federal employees and members of the public who have disabilities must have equal access to and use of information and data that is comparable to that enjoyed by non-disabled Federal employees and members of the public.

All EIT deliverables within this work statement shall comply with the applicable technical and functional performance criteria of Section 508 unless exempt. Specifically, the following applicable EIT accessibility standards have been identified:

Section 508 Applicable EIT Accessibility Standards 36 CFR 1194.21 Software Applications and Operating Systems, applies to all EIT software applications and operating systems procured or developed under this work statement including but not limited to GOTS and COTS software. In addition, this standard is to be applied to Web-based applications when needed to fulfill the functional performance criteria. This standard also applies to some Web based applications as described within 36 CFR 1194.22.

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36 CFR 1194.22 Web-based Intranet and Internet Information and Applications, applies to all Web-based deliverables, including documentation and reports procured or developed under this work statement.

When any Web application uses a dynamic (non-static) interface, embeds custom user control(s), embeds video or multimedia, uses proprietary or technical approaches such as, but not limited to, Flash or Asynchronous Javascript and XML (AJAX) then 1194.21 Software standards also apply to fulfill functional performance criteria.

36 CFR 1194.31 Functional Performance Criteria, applies to all EIT deliverables regardless of delivery method. All EIT deliverable shall use technical standards, regardless of technology, to fulfill the functional performance criteria.

36 CFR 1194.41 Information Documentation and Support, applies to all documents, reports, as well as help and support services. To ensure that documents and reports fulfill the required 1194.31 Functional Performance Criteria, they shall comply with the technical standard associated with Web-based Intranet and Internet Information and Applications at a minimum. In addition, any help or support provided in this work statement that offer telephone support, such as, but not limited to, a help desk shall have the ability to transmit and receive messages using TTY.

Section 508 Applicable Exceptions Exceptions for this work statement have been determined by DHS and only the exceptions described herein may be applied. Any request for additional exceptions shall be sent to the COTR and determination will be made in accordance with DHS MD 4010.2. DHS has identified the following exceptions that may apply: 36 CFR 1194.3(b) Incidental to Contract, all EIT that is exclusively owned and used by the contractor to fulfill this work statement does not require compliance with Section 508. This exception does not apply to any EIT deliverable, service or item that will be used by any Federal employee(s) or member(s) of the public. This exception only applies to those contractors assigned to fulfill the obligations of this work statement and for the purposes of this requirement, are not considered members of the public.

Section 508 Compliance Requirements 36 CFR 1194.2(b) (COTS/GOTS products), When procuring a product, each agency shall procure products which comply with the provisions in this part when such products are available in the commercial marketplace or when such products are developed in response to a Government solicitation.

Agencies cannot claim a product as a whole is not commercially available because no product in the marketplace meets all the standards. If products are commercially available that meet some but not all of the standards, the agency must procure the product that best meets the standards. When applying this standard, all procurements of EIT shall have documentation of market research that identify a list of products or services that first meet the agency business needs, and from that list of products or services, an analysis that the selected product met more of the accessibility requirements than the non-selected products as required by FAR 39.2. Any selection of a product or service that meets less accessibility standards due to a significant difficulty or expense shall only be permitted under an undue burden claim and requires authorization from the DHS Office of Accessible Systems and Technology (OAST) in accordance with DHS MD 4010.2.

Section 504 Compliance Requirements The Contractor/Provider shall comply fully with Section 504 of the Rehabilitation Act of 1973, as amended, which prohibits discrimination against qualified individuals with disabilities. No otherwise qualified individual with a disability shall, solely by reason of his or her disability, be excluded from participation in, be denied the benefits of, or subjected to discrimination under any program or activity for which the Contractor/Provider is awarded a contract and/or receives federal financial assistance from the Federal Emergency Management Agency. This includes, but is not limited to, providing reasonable accommodations and modifications to ensure effective communication access, physical access, and program access to all participants, including persons with disabilities. The Contractor/Provider shall

Page 11/14 incorporate this language in any subcontracts related to the provision of the FEMA public-facing program or activity.

13. POST-AWARD CONFERENCE

The Contractor shall attend a Post-Award Conference with the Contracting Officer and the COR no later than five business days after the date of award. The purpose of the Post-Award Conference, which will be chaired by the Contracting Officer, is to discuss technical and contracting objectives of this contract.

The Post-Award Conference will be held at the Government’s facility, located at 500 C Street SW Washington DC 20024, or via teleconference.

14. BACKGROUND INVESTIGATIONS:

All Contractor personnel who require access to DHS or FEMA information systems, routine access to DHS or FEMA facilities, or access to sensitive information, including but not limited to Personally Identifiable Information (PII), shall be subject to a full background investigation commensurate with the level of the risk associated with the job function or work being performed. FEMA’s Personnel Security Division (PSD) will determine the risk designation for each contractor position by comparing the functions and duties of the position against those of a same or similar Federal position, applying the same standard for evaluating the associated potential for impact on the integrity and efficiency of Federal service.

Low Risk without Information System Access Contractor personnel occupying positions or performing functions with a low risk designation and who do not require access to DHS or FEMA information systems shall undergo a Tier 1 (T1) background investigation which is equivalent to the previously identified National Agency Check with Inquiries (NACI). Either of these investigations must be supported by a separate credit check and must receive a favorable adjudication thereof from FEMA PSD prior to holder performing work under this contract. A favorably adjudicated NACI & C will remain acceptable for the purpose of reciprocity where a T1 investigation is required for a period of five years from the date of completion and favorable adjudication provided that all other requirements for the application of reciprocity are met.

Low Risk with Information System Access Contractor personnel occupying positions or performing functions with a moderate risk designation shall undergo a Tier 2 Suitability (T2S) background investigation which is equivalent to the previously identified Moderate Risk Background Investigation (MBI), and must receive a favorable adjudication thereof from FEMA PSD prior to the holder performing work under this contract. A favorably adjudicated MBI will remain acceptable for the purpose of reciprocity where a T2S investigation is required for a period of five years from the date of completion and favorable adjudication provided that all other requirements for the application of reciprocity are met.

Moderate Risk Contractor personnel occupying positions or performing functions with a moderate risk designation shall undergo a Tier 2 Suitability (T2S) background investigation which is equivalent to the previously identified Moderate Risk Background Investigation (MBI), and must receive a favorable adjudication thereof from FEMA PSD prior to the holder performing work under this contract. A favorably adjudicated MBI will remain acceptable for the purpose of reciprocity where a T2S investigation is required for a

Page 12/14 period of five years from the date of completion and favorable adjudication provided that all other requirements for the application of reciprocity are met.

High Risk Contractor personnel occupying positions or performing functions with a high risk designation shall undergo a Tier 4 (T4) background investigation which is equivalent to the previously identified Background Investigation (BI), and must receive a favorable adjudication thereof from FEMA PSD prior to the holder performing work under this contract. A favorably adjudicated BI will remain acceptable for the purpose of reciprocity where a T4 investigation is required for a period of five years from the date of completion and favorable adjudication provided that all other requirements for the application of reciprocity are met.

Background Investigation Process Contractors performing on this contract must be United States Citizens. Contractor applicants must also be 18 years of age or older to allow for the conduct of certain security related queries.

To initiate the request to process Contractor personnel, the Contractor shall provide the FEMA Contracting Officer’s Representative (COR) with all required information and comply with all necessary instructions to complete Section II of the FEMA Form 121-3-1-6, “Contract Fitness/Security Screening Request.” The FEMA COR shall ensure that all other applicable sections of the FEMA Form 121-3-1-6 are complete prior to submitting the form to FEMA PSD for processing. The Contractor shall also provide the FEMA COR with completed OF 306, “Declaration for Federal Employment,” forms for all Contractor personnel.

Contractor personnel who already have a favorably adjudicated background investigation, may be eligible to perform work under this contract without further processing by FEMA PSD if:

• The investigation was completed within the last 2 years;

• It meets or exceeds the minimum requirement for the position they will occupy or functions they will perform on this contract;

• The Contractor personnel have not had a break in employment since the prior favorable adjudication; and,

• FEMA PSD has verified the investigation and confirmed that no new derogatory information has been disclosed which may require a reinvestigation.

FEMA PSD will notify the COR of the names of the contractor personnel eligible to work based on prior, favorable adjudication. The COR will, in turn, notify the Contractor of the names of the favorably adjudicated contractor personnel, at which time the favorably adjudicated contractor personnel will be eligible to begin work under this contract.

For those Contractor personnel who do not have an acceptable, prior, favorable adjudication or who otherwise require reinvestigation, FEMA PSD will issue an electronic notification via email to the Contractor personnel that contains the following documents, which are incorporated into this contract by reference, along with a link to the Office of Personnel Management’s Electronic Questionnaires for Investigation Processing (e-QIP) system and instructions for submitting the necessary information:

• Standard Form 85P, “Questionnaire for Public Trust Positions”

• Optional Form 306, “Declaration for Federal Employment”

• SF 87, “Fingerprint Card” (2 copies)

• DHS Form 11000-6, “Non-Disclosure Agreement”

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• DHS Form 11000-9, “Disclosure and Authorization Pertaining to Consumer Reports Pursuant to the Fair Credit Reporting Act”

Applicants born outside the United States will be required to provide proof of citizenship in the form of a Certificate of Naturalization (Form N550 or N570), an unexpired U.S. Passport, or State Department issued Consular Report of Birth Abroad (CRBA) (FS-240)

FEMA PSD will only accept complete packages consisting of all of the above document and Standard Form 85P, which must be completed electronically through the Office of Personnel Management’s e-QIP system. The Contractor is responsible for ensuring that all Contractor personnel timely and properly submit all required background information.

Residency requirements apply to the background investigation process. Persons subject to investigation and final adjudication for fitness or suitability must have lived within the United States for no less than 3 of the last five years as defined in the DHS Instruction 121-01-007-01, The Department of Homeland Security, Personnel Security, Suitability and Fitness Program (June 14, 2016). DHS has determined this to be the amount of time required to be the sufficient minimum investigative period for the purpose of performing a suitability or fitness adjudication. Both, OPM and OMB require a final adjudicative decision to support the issuance of the HSPD-12 compliant PIV Card that contractors are issued by FEMA Physical Security.

Once Contractor personnel have properly submitted the complete package of all required background information, FEMA’s Personnel Security Division, at its sole discretion, may grant Contractor personnel temporary eligibility to perform work under this contract prior to completion of the full background investigation if the Personnel Security Division’s initial review of the Contractor personnel’s background information reveals no issues of concern. In such cases, FEMA’s Personnel Security Division will provide notice of such temporary eligibility to the COR who will then notify the Prime Contractor, at which time the identified Contractor personnel will be temporarily eligible to begin work under this contract. Neither the Prime Contractor nor the Contractor personnel has any right to such a grant of temporary eligibility. The grant of such temporary eligibility shall not be considered as assurance that the contactor personnel will remain eligible to perform work under this contract upon completion of and final adjudication of the full background investigation.

Upon favorable adjudication of the full background investigation, FEMA’s Personnel Security Division will update the Contractor personnel’s security file and take no further action. In any instance where the final adjudication results in an unfavorable determination FEMA’s Personnel Security Division will notify the Contractor personnel directly, in writing, of the decision and will provide the COR with the name(s) of the Contractor personnel whose adjudication was unfavorable. The COR will then forward that information to the Contractor. Contractor personnel who receive an unfavorable adjudication shall be ineligible to perform work under this contract. Unfavorable adjudications are final and not subject to review or appeal.

Continued Eligibility and Reinvestigation Eligibility determinations based on a T1, T2S, or T4 (or the equivalent OPM investigation) are valid for five years from the date that the investigation was completed and closed. Contractor personnel required to undergo a background investigation to perform work under this contract shall be ineligible to perform work under this contract upon the expiration the background investigation unless and until the Contractor personnel have undergone a reinvestigation and FEMA’s Personnel Security Division has renewed their eligibility to perform work under this contract.

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Exclusion by Contracting Officer All work under this contract shall be performed in a skillful and workmanlike manner. The Contracting Officer may require, in writing, that the Contractor remove from the work any employee the Contracting Officer deems incompetent, careless, or otherwise objectionable.

FACILITY ACCESS

The Contractor shall comply with FEMA Directive 121-1 “FEMA Personal Identity Verification Guidance,” FEMA Directive 121-3 “Facility Access,” and FEMA Manual 121-3-1 “FEMA Credentialing Access Manual,” to arrange for Contractor personnel’s access to FEMA facilities, which includes, but is not limited to, arrangements to obtain any necessary identity badges for Contractor personnel.

Contractor personnel working within any FEMA facility who do not require access to DHS or FEMA IT systems and do not qualify for a PIV Card may be issued a Facility Access Card (FAC). FACs cannot exceed 180 days; all Contractors requiring access greater than 180 days will need to qualify for and receive a PIV card before being allowed facility access beyond 180 days.

Contractor personnel shall not receive a FAC until they have submitted a SF 87, “Fingerprint Card,” and an OF306, Declaration for Federal Employment, and receive approval from FEMA PSD. Contractor personnel using a FAC for access to FEMA facilities must be escorted in Critical Infrastructure areas (i.e., server rooms, weapons rooms, mechanical rooms, etc.) at all times.

FEMA may deny facility access to any Contractor personnel whom FEMA’s Office of the Chief Security Officer has determined to be a potential security threat.

SEPARATION FROM CONTRACT

The Contractor shall notify the FEMA COR of all terminations/resignations within five calendar days of occurrence. The Contractor must account for all forms of Government-provided identification issued to Contractor employees under a contract (i.e., the PIV cards or other similar badges) must return such identification to FEMA as soon as any of the following occurs:

• When no longer needed for contract performance.

• Upon completion of a Contractor employee’s employment.

• Upon contract completion or termination.

If an identification card or building pass is not available to be returned, the Contractor shall submit a report to the FEMA COR, referencing the pass or card number, name of the individual to whom it was issued, and the last known location and disposition of the pass or card.

The Contractor or Contractor personnel’s failure to return all DHS- or FEMA-issued identification cards and building passes upon expiration, upon the Contractor personnel’s removal from the contract, or upon demand by DHS or FEMA may subject the Contractor personnel and the Contractor to civil and criminal liability.

15. SECURITY: FOUO & TRAINING

All personnel require access to information up to the sensitive but unclassified, for official use only (FOUO) levels. Contractor must ensure Contractor employees receive a favorably adjudicated public trust

Page 15/14 suitability prior to entry on duty (EOD). All individuals will be U.S. citizens. The Contractor shall follow the standards established within DHS and FEMA policy.

Unauthorized Disclosure of Classified or Unclassified Information:

Contractors and Subcontractors who are working on this contract shall receive Unauthorized Disclosure of Classified or Unclassified Information training.

Access to the training can be obtained at:

https://securityawareness.usalearning.gov/unauthorizedrefresher/index.htm

OPSEC Training:

Contractors and Subcontractors who are working on this contract shall receive the OPSEC Awareness Brief.

Access to the briefing can be obtained at: https://securityawareness.usalearning.gov/opsec/index.htm

Insider Threat Training:

Contractors and Subcontractors who are working on this contract shall receive the Insider Threat Training at.

Insider Threat training for Contractors can be found at:

https://securityawareness.usalearning.gov/itawareness/index.htm

FOUO Information:

In accordance with DHS Management Directive 11042.1 contractors, consultants, and others to whom access is granted will abide by 11042.1; DHS policy regarding the identification and safeguarding of sensitive but unclassified information originated within DHS. It also applies to other sensitive but unclassified information received by DHS from other government and non-governmental activities.

The Contractor will:

1. Be aware of and comply with the safeguarding requirements for “For Official Use Only” (FOUO) information as outlined in this directive.

2. Participate in formal classroom or computer based training sessions presented to communicate the requirements for safeguarding FOUO and other sensitive but unclassified information.

3. Be aware that divulging information without proper authority could result in administrative or disciplinary action.

Contractors and Consultants shall execute a DHS Form 11000-6, Sensitive but Unclassified Information Non Disclosure Agreement (NDA), as a condition of access to such information. Other individuals not assigned to or contractually obligated to DHS, but to whom access to information will be granted, may be requested to execute an NDA as determined by the applicable program manager. Execution of the NDA shall be effective upon date of the DHS Policy and not applied retroactively.

Send the certificate of completion to the FEMA Contracting Officer Representative no later than 30 calendar days after awarded contract. New employees entering the contract must receive the briefing within ten (10) business days of joining the contract.

Certificate of training is required for all cleared Contractor employees who are working with classified or unclassified information. All certificates must be sent to the assigned FEMA Contracting Officer https://securityawareness.usalearning.gov/unauthorizedrefresher/index.htm https://securityawareness.usalearning.gov/unauthorizedrefresher/index.htm https://securityawareness.usalearning.gov/opsec/index.htm https://securityawareness.usalearning.gov/opsec/index.htm https://securityawareness.usalearning.gov/itawareness/index.htm https://securityawareness.usalearning.gov/itawareness/index.htm

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Representative, before the Contractor or Subcontractor is granted access to classified or unclassified information but no later than 30 calendar days after awarded contract. All cleared Contractor personnel are required to recertify Insider Threat training annually thereafter. New employees entering the contract must receive the briefing within ten (10) business days of joining the contract.