HAIBP_-_Instructions_to_Offerors_-_Amd_A00004.pdf

U.S. Department of Homeland Security

Homeland Helium-3 Alternative Implementation

Backpack Program (HAIBP)

Solicitation Number 70RDND18R00000005

Amendment A00004

Office of Procurement Operations

Washington, District of Columbia

March 23April 25, 2018

This acquisition will be conducted under the auspices of the DHS Procurement Innovation Lab (PIL). The

PIL is a virtual lab that experiments with innovative techniques for increasing efficiencies in the procurement process and institutionalizing best practices. There is nothing you need to do differently for this requirement.

The PIL project team may reach out to successful and unsuccessful Offerors to assess the effectiveness of the procurement process and the innovative techniques applied. The anonymous feedback will be used to further refine DHS procurement practices. Additional information on the PIL may be found here--https://www.dhs.gov/pil.

EXECUTIVE SUMMARY

This Request for Proposal (RFP) is for the Department of Homeland Security (DHS) Domestic

Nuclear Detection Office’s (DNDO) non-Helium-3 solutions compatible with the DHS Special

Notice Regarding Future Use of the Helium-3 Gas for Neutron Detection for the expansion of the wide-area search and detection capabilities of DNDO’s current backpack solutions for radionuclide identification and data transfer.

1 Introduction

1.1 Purpose

The Department of Homeland Security (DHS) Domestic Nuclear Detection Office (DNDO) was established by National Security Presidential Directive (NSPD)-43/Homeland Security

Presidential Directive (HSPD)-14 to protect against Radiological/Nuclear (R/N) threats directed against the U.S. or its interests. Title V of the Security and Accountability for Every

Port Act of 2006 (SAFE Port Act; Public Law 109-347) codified NSPD-43/HSPD-14 and directs DNDO to serve as the primary entity of the United States (U. S.) Government to further develop, acquire, and support the deployment of an enhanced domestic system, and improve that system over time. It addresses systems used to detect and report on attempts to import, possess, store, transport, develop, or use an unauthorized nuclear explosive device, fissile material, or radiological material in the U. S. This includes improving R/N detection capabilities aligned with the Global Nuclear Detection Architecture (GNDA).

DNDO carries out the engineering, systems development, test and evaluation, assessments, production, procurement, and deployment of current and next-generation nuclear detection systems in support of its end-user community, including DHS Components: U.S. Customs and

Border Protection (CBP), U.S. Coast Guard (USCG), and the Transportation Security

Administration (TSA).

DNDO seeks novel solutions and technologies responding to the requirements identified by the

HAIBP. The HAIBP backpack or vest R/N detection systems must perform in an operationally effective and suitable manner according to the HAIBP requirements.

1.2 Background

The HAIBP is a DNDO program intended to replace current capabilities provided by the legacy Helium-3 backpack detection systems. This acquisition will leverage the commercial market and support a rapid modification to improve performance and suitability of the backpack or vest configured system, and expand the capability of the wearable detection system by including radionuclide identification and data transfer. Combining these capabilities into a single solution shortens the amount of time required for alarm adjudication and potentially reduces the number of detection systems required in the field. The selected solution(s) will be provided to the TSA and the Mobile Detection Deployment Program

(MDDP) for deployment. This effort will also intended to inform future procurement efforts to replace the backpack detection systems currently in use across the DHS components.

1.3 Mission, Scope & Performance Objectives

The scope of the HAIBP includes modification and production of a human wearable radiological/nuclear detection materiel solution to a subset of current DNDO stakeholders

(primarily TSA and DNDO’s MDDP by providing non-Helium-3 solutions compatible with the DHS Special Notice Regarding Future Use of the Helium-3 Gas for Neutron Detection

[1]. The HAIBP will expand the wide-area search and detection capabilities of DNDO’s current backpack solutions to include radionuclide identification and data transfer.

In general, the system shall:

Detect potential R/N sources.

Notify the operator of R/N sources detected in order for the operator to refer items for additional inspection.

Correctly identify present radionuclides.

Be wearable by an operator while minimizing operator mission performance degradation.

Minimize impact on commerce (low false alarm rate).

Representative list of operational scenarios for the system includes:

Small vessel boarding

Small cargo vessel boarding

Large vessel boarding

Boat to boat inspection

Boat to Dock/shore inspection

Intermodal container inspection

Land search under USCG authority

Industrial area search

Interagency operations

Loading dock search

Mass transit sweep

Transit chokepoint

Pedestrian chokepoint

Vehicle mounted sweep

Special event/Area sweep

Aircraft Scan

1.4 HELIUM-3 ALTERNATIVE IMPLEMENTATION

BACKPACK PROGRAM (HAIBP)

HAIBP, as required under this solicitation, will be structured into four (4) Phases as described below.

1.4.1 Phase 1 – Initial Article (IA) Delivery & Testing

DNDO will seek and award development contracts of up to three four (43) vendors who demonstrate viable plans to modify their existing systems to meet HAIBP requirements and innovation goals within the allotted timeline. To be considered for award, offerors will submit a Concept Paper that describes their proposed technical approach, a self-assessment of their commercial system’s current performance against

HAIBP requirements, supporting third party test data for the system’s components (if available), a past performance volume, and proposed cost and schedule. In addition to the Concept Paper, vendors responding to this RFP will be invited to give brief oral presentations. The Government will retain all materials provided during the oral presentations and will use those materials in its evaluation.

The immediate exercise of Contract Line Item Number (CLIN) 0001 upon contract award will initiate a nine-month development period, by the end of which the offerors will each provide:

An initial article (system prototype)

A Replay Tool and verification data files to support DNDO modeling and simulation, System specification, and

User and Maintenance Manuals and Training Materials.

Two design reviews/progress reviews will occur during the development period, where DNDO and DHS Component representatives will provide feedback on system design and functionality.

With these deliverables, DNDO will conduct testing to evaluate the prototypes’ performance against the Key Performance Parameters (KPPs) and other essential requirements, score the performance of the systems against the Algorithm

Improvement Program (AIP) benchmark set, and an initial Operational Suitability

Assessment. DNDO will also assess the Replay Tool for compliance against the requirements and accuracy. Based upon the test results, DNDO will exercise Phase 2

CLINs to up to three (3) vendors that deliver the top performing systems.

1.4.2 Phase 2 – Low-Rate Initial Production (LRIP) Delivery & Testing With the execution of Phase 2 CLINs, vendors will be granted two months to make minor adjustments and produce five (5) LRIP units for test against the requirements as stated in Section 3 of this RFP. An Updated Replay Tool, User manuals, maintenance manuals, Training materials, vendor self-assessment against the system specifications, and an estimated life cycle cost for the system if it was deployed, are also required. DNDO will then conduct the Production Unit Evaluation, which will include performance characterization testing, an Operational Suitability Assessment, scoring against the AIP benchmark set, and environmental testing to verify compliance with all HAIBP requirements to include any innovation goals as mutually agreed upon.

Based upon the test results, DNDO will exercise Phase 3 CLINs under up to three (3) contracts that deliver the top performing systems.

1.4.3 Phase 3 – Full-Rate Production (FRP)

CLIN 2001 will require the production of an estimated quantity of 40 HAIBP systems. One or more vendors may have Phase 3 options executed. The purchased systems will be deployed to the TSA and MDDP and used for an extended evaluation by CBP, USCG and possibly others.

1.4.4 Phase 4 – Deployment and Post Implementation Reviews

Phase 4 of this requirement will consist of a five-year deployment of all HAIBP systems delivered under Phase 3. During this time period, DNDO will conduct Post

Implementation Review (PIRs) to inform planning on a follow-on procurement.

1.4.5 Future Requirements – Phase 5

Phase 5 of the HAIBP requirement is not within the scope of this Solicitation. HAIBP

Phase 5 will be addressed in future solicitations and is included here, for informational purposes only, to describe the future intent for the overall program.

Phase 5 of the HAIBP program is intended to consist of the establishment of a single or multiple award indefinite-delivery indefinite-quantity (IDIQ) contract vehicles in order to allow for streamlined ordering for various DHS components requiring the HAIBP systems created under Phase 3 of the HAIBP program. Requirements for phase 5 may be adjusted to reflect lessons learned during Phase 4 as well as the evolving needs of the DHS users.

Table 1 – HAIBP Estimated Key Dates and Events

The following chart shows the important events and their estimated corresponding dates of the HAIBP Solicitation, 70RDND18R00000005

EVENT DATE

Vendor Questions Due: No later than April 02, 2018 at

3:00PM Eastern Time

Government Posts Responses to Vendor Questions to FBO

No later than April 04, 2018 at

3:00PM Eastern Time

Written Proposals Due: April 13, 2018 at 3:00PM Eastern

Time

Advisory Letters Issued: April 1724, 2018

Pricing Submissions Due April 2730, 2018

Oral Presentations Conducted: April 30, 2018 – May 04, 2018

Contract Award May 25, 2018

1.5 Period of Performance

The period of performance for the HAIBP requirement, sought under this solicitation, shall consist of one 9-month Base Period with one (1) 6-month Option Period and one

(1) 12-month Option Period. This total period of performance shall be broken into the following 3 Phases.

Phase 1, Initial Article – Nine (9) Months

Phase 2, Low-Rate Initial Production – Six (6) Months

Phase 3, Full-Rate Production – Twelve (12) Months

1.6 Place of Performance

The primary place of performance shall be the Contractor’s facilities where design and modification of awardees’ commercial solutions will occur in order to meet the HAIBP requirements.

1.7 Document Organization

Section 1 of this RFP contains general HAIBP program background information.

The objectives to be accomplished under this Solicitation are described in the following sections:

Section 2 lists the types of deliverables that DNDO expects to receive in fulfillment of

HAIBP requirement.

Section 3 lists guidelines and mandatory constraints and restrictions.

Section 4 contains lists of applicable documents.

Appendix A provides the required scalability thresholds for the HAIBP requirement, broken out by the required number of units in Phase 1, Phase 2, & Phase 3.

2 Deliverables

The Government expects to receive deliverable artifacts that address the scope of deliverable categories listed in this Section. The following deliverables shall be manufactured and delivered to the Government during the course of the HAIBP design, modification, and testing efforts. Each individual deliverable shall be complete, comprehensive, and, at a minimum, meet the KPPs set forth in Section 3 of this RFP. Table 2 lists the expected deliverables.

Table 2. HAIBP Deliverables

# Deliverable Due Notes

Supply Chain Risk

Management Plan

Draft to be submitted with Concept

Paper with updated versions to be submitted at the end of Phase 1 and

Phase 2

Describe processes in place to manage supply chain risk.

Version Description

Document

Initially at end of Phase 1, updates commensurate with any future software updates

Configuration change notification

Each time a change to form, fit or function is proposed (applies only after phase 1), prior to implementation

Notify what the change is, why it is proposed, and any associated testing results

Comprehensive 5-year warranty/protection plan

With initial proposal and any follow-on pricing updates.

Priced per unit but separate from unit price so we can see how much it costs. It should go beyond a typical warranty -more like a one-time fee to cover repairs. This should go beyond a typical warranty in that it covers any repairs.

Failure Reporting, Analysis and Corrective

Action System

(FRACAS) Report

Monthly after exercise of FRP

CLIN

For each system failure addressed by the vendor, give the serial number, part failed, describe the failure, its root cause, and the fix

6 Progress Report

Due 1 week prior to each Design

Review

PowerPoint showing status of development of Initial Article, issues/risks, questions for the

Government

7 Operator Manual

To be submitted at end of Initial

Article development in Phase 1, with updated versions to be submitted with each LRIP device and each FRP device during Phase

2 and Phase 3, respectively.

Maintainer Manual (If applicable)

To be submitted at end of Initial

Article development in Phase 1, To be submitted only if user maintenance is required.

with updated versions to be submitted with each LRIP device and each FRP device during Phase

2 and Phase 3, respectively.

Operator Training

Materials and Train-the

Trainer*

Training materials to be submitted at end of Initial Article development in Phase 1, with updated versions to be submitted with the first LRIP device and in advance of the first FRP device delivered during Phase 2 and Phase

3, respectively.

Train-the-trainer training to be provided once during LRIP prior to testing and once during

FRP with the option for the government to purchase additional training as needed.

Maintainer Training* (If applicable)

Documentation and training o be provided at end of Initial Article development in Phase 1, with updated versions to be submitted with each LRIP device and each

FRP device during Phase 2 and

Phase 3, respectively.

To be conducted only if user maintenance is required.

Initial Article

(prototype)

At end of Initial Article development in Phase 1

5 LRIP production representative samples

At end of LRIP production period in Phase 2

Replay Tool and verification data files

To be submitted at end of Initial

Article development in Phase 1, with updated versions to be submitted with first LRIP device and first FRP device during Phase

2 and Phase 3, respectively.

It's anticipated that this may go through several iterations throughout the initial article development period

14 System Specification

To be submitted at end of Initial

Article development in Phase 1, with updated versions to be submitted with first LRIP device and first FRP device during Phase

2 and Phase 3, respectively.

Offeror self-assessment against requirements

To be submitted at end of Initial

Article development in Phase 1, with updated versions to be submitted with first LRIP device and first FRP device during Phase

2 and Phase 3, respectively.

*The Offeror shall provide Train the Trainer and (if required) Maintainer training at approximately 5

CONUS locations to DNDO, CBP, USCG, TSA, and MDDP personnel. Notional locations include: San

Francisco, CA, Washington, DC (two locations) Atlantic City, NJ, & Houston, TX.

Approximate number of students per location is 15.

3 Mandatory Performance Objectives/ Key Performance

Parameters (KPPs) & Innovation Goals

3.1 Mandatory Performance Objectives/ Key Performance

Parameters (KPPs)

An Offeror’s proposed solution(s) shall comply with the following requirements:

1. The system shall be human-wearable and hands-free (i.e., not handheld).

2. The system shall not employ the use of Helium-3.

3. The system shall not store Personal Identification Information (PII).

4. The system shall comply with the KPPs listed in the HAIBP Requirements

Traceability Matrix [See Tab titled “Scorecard” in RFP Attachment 2 for KPPs in

RTM Requirements]

5. At the end of Phase 1, the system shall include a replay tool that meets the DNDO

Replay Tool Requirements [See RFP Attachment 1]

6. Any system under contract for Phase 3 shall qualify for Authority to Operate (ATO).

ATO for TSA is subject to TSA Information Assurance Requirements [See Appendix

C of RFP Attachment 2]

3.2 HAIBP Innovation Goals

In addition to the Mandatory Requirements and KPPs listed in Section 3.1 of this Solicitation, DNDO sets forth the following innovation goals shown in Table 3. An Offeror’s proposed solution may meet one or more of these items; however, these items are not required. The innovation goals indicated in Table 3 are preferred performance parameters, which exceed the current RTM requirements. The following table lists the goals in order of importance to the government.

Table 3. HAIBP Innovation Goals

# Description Threshold

1 The system provides data streaming capability.

The system shall be capable of automatically reporting system status, health, location and alarm results (for example, energy calibrated gamma ray spectra and neutron counts) at

1Hz. The system’s streaming and wifi/Bluetooth capability can be disabled at user command. Any vendor whose initial article contract includes this goal will be provided with an Interface Control

Document.

2 The system is lightweight. The system weighs less than 17lbs.

3 The system distributes weight ergonomically (for example, heavier side being closer to the wearer’s back and the weight as even as possible left to right for good balance).

The system's weight is distributed evenly for balance

4 The system minimizes interference with the operator's ease of movement (easy to wear, remove, and have adjustable openings around the arms).

The system is adjustable and easy to remove.

5 The system is inconspicuous as a law enforcement equipment to a casual observer to the maximum extent practical

(e.g., providing varying external appearance, including different colors and style of backpack, no visible wires, etc.)

(ANSI N42.53-2013: 5.2.1)

The system does not have visible wires or sensors that would suggest its detection mission.

6 The system is re-configurable to other form factors (e.g., portal, choke point, gateway)

The system has a modular hardware design which enables detector to be reconfigured to non-wearable configuration. Modules containing firmware or software need to be updateable and/or replaceable.

4 Compliance & Reference Documents

The following documents provide specifications, standards, guidelines with which compliance is required in order to meet the requirements of this solicitation, as well as necessary information for the Contractor in performing the work described in this document. The HAIBP system shall comply with the following:

1. U.S. Department of Homeland Security, Domestic Nuclear Detection Office, Special Notice

Regarding Future Use of Helium-3 (3He) Gas for Neutron Detection, dated May 2014.

2. U.S. Department of Homeland Security, Domestic Nuclear Detection Office, Requirements

Traceability Matrix (RTM), Human Portable Radiation detection Systems (HPRDS) Helium-3

Alternative Implementation Backpack Program (HAIBP), Document Number 600-HAIBP-

122520v1.00, dated November 6, 2017.

The following are publications referenced in the RTM:

i) American National Standards Institute/ Institute of Electrical and Electronics Engineers

(ANSI/IEEE). American National Standard Performance Criteria for Backpack-Based

Radiation-Detection (BRD) Systems Used for Homeland Security. ANSI N42.53-2013.

June 4, 2013.

ii) Department of Homeland Security, Domestic Nuclear Detection Office, Technical

Capability Standard for Backpack Based Radiation Detection Systems. August 2013.

iii) Transportation Security Administration, Information Assurance Requirements for TSA

Government Acquisitions, April 2016.

iv) Domestic Nuclear Detection Office, Replay Tool Requirements Specification, Version

2.0, dated January 2016.

3. FAR Part 2.1 Definitions.

https://www.acquisition.gov/far/html/Subpart%202_1.html#wp1145507 https://www.acquisition.gov/far/html/Subpart%202_1.html#wp1145507

Appendix A HAIBP Scalability Requirements

This appendix contains the scalability requirements as they pertain to the Phase 2

– LRIP and Phase 3 – FRP CLINs.

Table 5 shows the anticipated quantities of HAIBP systems that the government anticipates requiring under each Phase assuming a May 2018 award date.

Table 5. Scalability Requirements under Phase 2 & Phase 3

Description

Volume required in Phase 2 - LRIP

(in individual units)

Volume required in Phase 3 - FRP

(in individual units)

HAIBP Systems to be Delivered

Estimated: 40

Units

PART 3. SPECIAL CONTRACT REQUIREMENTS

3.1 Organizational Conflict of Interest Notice

(a) Offerors should be aware that they may be deemed ineligible to participate in this acquisition by reason of an organizational conflict of interest (OCI) (see FAR 9.5, Organizational and Consultant

Conflicts of Interest). Offerors should carefully examine and comply with HSAR 3052.209-72, Organizational Conflict of Interest, found in Section 4 of this Solicitation. An offeror’s eligibility or ineligibility to participate in the current acquisition is determined by the Contracting Officer.

(b) Offerors should be aware that the type of work required by this acquisition may give rise to an OCI that may restrict the Offeror’s ability to compete for follow-on work. These types of OCI do not generally lend themselves to successful mitigation (see FAR 9.5, Organizational and Consultant Conflicts of

Interest). Offerors should carefully examine and comply with HSAR 3052.209 73, Limitation of Future

Contracting, found in Section 4 of this Solicitation. An Offeror’s eligibility or ineligibility to participate in a future acquisition is determined by the Contracting Officer.

3.2 Travel

The Contractor may be required to travel in order to support this requirement. All travel required by the Government outside the local commuting area (National Capital Region) will be reimbursed to the

Contractor in accordance with the Federal Travel Regulations (no local travel will be reimbursed under this contract). All travel shall be requested in advance and be approved by the COR in writing prior to the travel dates. No travel is authorized unless sufficient funds for travel are available under the contract. Travel is reimbursable at cost. Payment of fees or other charges is not applicable to travel. Travel shall be in accordance with FAR 31.205-46.

3.3 Exercise of Option - Phase II

Phase II, Low-Rate Initial Production (LRIP) is the second of the three-phased HAIBP requirement sought under this Solicitation and will not be funded at the time of award. The exercise of all Phase II CLINs is dependent on the results of the Government’s Initial Article Testing and Evaluation. The Phase II LRIP and Travel CLINs are Optional CLINs and the Government will exercise these CLINs at its sole discretion.

3.4 Exercise of Option - Phase III

Phase III, Full-Rate Production (FRP) is the third of the three-phased HAIBP requirement sought under this

Solicitation and will not be funded at the time of award. The exercise of all Phase III CLINs is dependent on the results of the Government’s Production Unit Testing and Evaluation. The Phase III FRP and

Warranty CLIN are Optional CLINs and the Government will exercise these CLINs at its sole discretion.

3.5 Contractor Identification

Contractor employees shall identify themselves as contractors along with their company name at/in all meetings/functions/e-mails related to performance under the anticipated contract.

3.6 Integrated Master Schedule

The Contractor shall develop and submit a complete and comprehensive integrated master schedule

(IMS) that incorporates all projects, activities, and milestones necessary for the design and modification of its current commercial detection devices under the anticipated contract. Activities include, but are not limited to, major acquisition decision events, test events as defined in Section 3 of this RFP, training, etc.

The schedule shall conform to the best practices set forth in the GAO Schedule Assessment Guide

(GAO-16- 89G) and the HAIBP schedule set forth in Section 3 of this RFP. The Contractor shall submit this comprehensive schedule in advance of each design review and monthly schedule updates during

Phase 2 of contract execution to the Government in an electronic format mutually agreed upon with the

Government.

The initial IMS submission shall be required not later than twenty (20) business days following contract award. All anticipated changes to the schedule baseline shall be communicated to the Contracting

Officer’s Representative (COR) within three (3) business days. Following contract award, the Contractor shall attend weekly Integrated Project Team (IPT) meetings to identify schedule risks and all known and anticipated schedule variances, to include any potential impacts to the schedule baseline.

3.7 Invoicing Instructions

A. FAR 52.232-1 Payments. In addition to invoice preparation as required by the FAR, the

Contractor’s invoice shall include the following information:

1) Cover sheet identifying DHS;

2) Contract Number;

3) Modification Number, if any;

4) DUNS Number;

5) TINS Number; and

6) Month services provided or date deliverables completed

7) Contract Line Item Number (CLIN) for each billed item.

B. The Contractor shall submit an electronic copy to email address: [To be provided at award]

C. Simultaneously provide an electronic copy of the invoice to the following individuals at the addresses below:

Jennifer D’Addio, Contracting Officer

Jennifer.DAddio@hq.dhs.gov; 202-447-0879

Ryan Buck, Contracting Specialist

Ryan.Buck@hq.dhs.gov 202-447-5313

Todd Pardue, Contracting Officer Representative

Todd.Pardue@HQ.DHS.GOV; 202-254-7224

The Contractor shall submit invoices to the email address above. Additionally, the Contractor shall prepare and submit a sufficient and procurement regulatory compliant invoice and receiving report for technical certification of inspection/acceptance of services and approval for payment. The Contractor shall attach back up information to the invoices and receiving reports substantiating all costs for services performed. The receiving agency’s written or electronic acceptance by the COR and date of acceptance shall be included as part of the backup documentation.

Payment for Phases 2 and 3 shall be based on the delivery to the Government of product deliverables, and acceptance by the Government of such product deliverables, in accordance with contract schedule.

Deliverables rejected by the Government for non-performance or deficiencies shall be corrected by the

Contractor at no additional cost to the Government prior to payment for that deliverable. Final payment for each increment shall be withheld until a determination of acceptance can be made by the

Government based on a fully operational system meeting all mandatory HAIBP requirements, as tested and verified by a qualified independent party chosen by the Government.

PART 4. SOLICITATION PROVISIONS AND CONTRACT CLAUSES

4.1. PROVISIONS AND CLAUSES INCORPORATED BY REFERENCE

mailto:Jennifer.DAddio@hq.dhs.gov mailto:Ryan.Buck@hq.dhs.gov mailto:Todd.Pardue@HQ.DHS.GOV

FAR 52.203-18 Prohibition on Contracting with Entities that Require Certain Internal

Confidentiality Agreements or Statements – Representation (JAN 2017)

FAR 52.203-19 Prohibition on Requiring Certain Internal Confidentiality Agreements or

Statements (JAN 2017)

FAR 52.216-7 Allowable Cost and Payment (JUN 2013)

FAR 52.227-9 Refund of Royalties (APR 1984)

FAR 52.227-14 Rights in Data - General

FAR 52.232-1 Payments (APR 1984)

FAR 52.232-18 Availability of Funds (APR 1984)

FAR 52.232-39 Unenforceability of Unauthorized Obligations (JUN 2013)

FAR 52.239-1 Privacy or Security Safeguards (AUG 1996)

FAR 52.246-2 Inspection of Supplies – Fixed Price (AUG 1996)

HSAR 3052.219.70 Small Business Subcontracting Plan Reporting (JUN 2006)

HSAR 3052.242-72 Contracting Officer’s Technical Representative (DEC 2003)

4.2. PROVISIONS AND CLAUSES INCORPORATED BY FULL TEXT

52.212-3 -- Offeror Representations and Certifications -- Commercial Items (Jan 2017)

The offeror shall complete only paragraphs (b) of this provision if the Offeror has completed the annual representations and certification electronically via the System for Award Management (SAM) Web site located at http://www.sam.gov/portal. If the Offeror has not completed the annual representations and certifications electronically, the Offeror shall complete only paragraphs (c) through (u) of this provision.

(a) Definitions. As used in this provision--

“Administrative merits determination” means certain notices or findings of labor law violations issued by an enforcement agency following an investigation. An administrative merits determination may be final or be subject to appeal or further review. To determine whether a particular notice or finding is covered by this definition, it is necessary to consult section II.B. in the DOL Guidance.

“Arbitral award or decision” means an arbitrator or arbitral panel determination that a labor law violation occurred, or that enjoined or restrained a violation of labor law. It includes an award or decision that is not final or is subject to being confirmed, modified, or vacated by a court, and includes an award or decision resulting from private or confidential proceedings. To determine whether a particular award or decision is covered by this definition, it is necessary to consult section II.B. in the DOL Guidance.

“Civil judgment” means--

(1) In paragraph (h) of this provision: A judgment or finding of a civil offense by any court of competent jurisdiction.

(2) In paragraph (s) of this provision: Any judgment or order entered by any Federal or State court in which the court determined that a labor law violation occurred, or enjoined or restrained a violation of labor law. It includes a judgment or order that is not final or is subject to appeal. To determine whether a particular judgment or order is covered by this definition, it is necessary to consult section II.B. in the DOL Guidance.

“DOL Guidance” means the Department of Labor (DOL) Guidance entitled: “Guidance for Executive Order

13673, ‘Fair Pay and Safe Workplaces’ “. The DOL Guidance, dated August 25, 2016, can be obtained from www.dol.gov/fairpayandsafeworkplaces.

“Economically disadvantaged women-owned small business (EDWOSB) concern” means a small business concern that is at least 51 percent directly and unconditionally owned by, and the management and daily business operations of which are controlled by, one or more women who are citizens of the United States http://www.sam.gov/portal http://www.dol.gov/fairpayandsafeworkplaces and who are economically disadvantaged in accordance with 13 CFR part 127. It automatically qualifies as a women-owned small business eligible under the WOSB Program.

“Enforcement agency” means any agency granted authority to enforce the Federal labor laws. It includes the enforcement components of DOL (Wage and Hour Division, Office of Federal Contract Compliance

Programs, and Occupational Safety and Health Administration), the Equal Employment Opportunity

Commission, the Occupational Safety and Health Review Commission, and the National Labor Relations

Board. It also means a State agency designated to administer an OSHA-approved State Plan, but only to the extent that the State agency is acting in its capacity as administrator of such plan. It does not include other

Federal agencies which, in their capacity as contracting agencies, conduct investigations of potential labor law violations. The enforcement agencies associated with each labor law under E.O. 13673 are--

(1) Department of Labor Wage and Hour Division (WHD) for--

(i) The Fair Labor Standards Act;

(ii) The Migrant and Seasonal Agricultural Worker Protection Act;

(iii) 40 U.S.C. chapter 31, subchapter IV, formerly known as the Davis-Bacon Act;

(v) 41 U.S.C. chapter 67, formerly known as the Service Contract Act;

(vi) The Family and Medical Leave Act; and

(vii) E.O. 13658 of February 12, 2014 (Establishing a Minimum Wage for Contractors);

(2) Department of Labor Occupational Safety and Health Administration (OSHA) for--

(i) The Occupational Safety and Health Act of 1970; and

(ii) OSHA-approved State Plans;

(3) Department of Labor Office of Federal Contract Compliance Programs (OFCCP) for--

(i) Section 503 of the Rehabilitation Act of 1973;

(ii) The Vietnam Era Veterans' Readjustment Assistance Act of 1972 and the Vietnam Era

Veterans' Readjustment Assistance Act of 1974; and

(iii) E.O. 11246 of September 24, 1965 (Equal Employment Opportunity);

(4) National Labor Relations Board (NLRB) for the National Labor Relations Act; and

(5) Equal Employment Opportunity Commission (EEOC) for--

(i) Title VII of the Civil Rights Act of 1964;

(ii) The Americans with Disabilities Act of 1990;

(iii) The Age Discrimination in Employment Act of 1967; and

(iv) Section 6(d) of the Fair Labor Standards Act (Equal Pay Act).

“Forced or indentured child labor” means all work or service—

(6) Exacted from any person under the age of 18 under the menace of any penalty for its nonperformance and for which the worker does not offer himself voluntarily; or

(7) Performed by any person under the age of 18 pursuant to a contract the enforcement of which can be accomplished by process or penalties.

“Highest-level owner” means the entity that owns or controls an immediate owner of the offeror, or that owns or controls one or more entities that control an immediate owner of the offeror. No entity owns or exercises control of the highest level owner.

“Immediate owner” means an entity, other than the offeror, that has direct control of the offeror. Indicators of control include, but are not limited to, one or more of the following: Ownership or interlocking management, identity of interests among family members, shared facilities and equipment, and the common use of employees.

“Inverted domestic corporation,” means a foreign incorporated entity that meets the definition of an inverted domestic corporation under 6 U.S.C. 395(b), applied in accordance with the rules and definitions of

6 U.S.C. 395(c).

“Labor compliance agreement” means an agreement entered into between a contractor or subcontractor and an enforcement agency to address appropriate remedial measures, compliance assistance, steps to resolve issues to increase compliance with the labor laws, or other related matters.

“Labor laws” means the following labor laws and E.O.s:

(1) The Fair Labor Standards Act.

(2) The Occupational Safety and Health Act (OSHA) of 1970.

(3) The Migrant and Seasonal Agricultural Worker Protection Act.

(4) The National Labor Relations Act.

(5) 40 U.S.C. chapter 31, subchapter IV, formerly known as the Davis-Bacon Act.

(6) 41 U.S.C. chapter 67, formerly known as the Service Contract Act.

(7) E.O. 11246 of September 24, 1965 (Equal Employment Opportunity).

(8) Section 503 of the Rehabilitation Act of 1973.

(9) The Vietnam Era Veterans' Readjustment Assistance Act of 1972 and the Vietnam Era Veterans'

Readjustment Assistance Act of 1974.

(10) The Family and Medical Leave Act.

(11) Title VII of the Civil Rights Act of 1964.

(12) The Americans with Disabilities Act of 1990.

(13) The Age Discrimination in Employment Act of 1967.

(14) E.O. 13658 of February 12, 2014 (Establishing a Minimum Wage for Contractors).

(15) Equivalent State laws as defined in the DOL Guidance. (The only equivalent State laws implemented in the FAR are OSHA-approved State Plans, which can be found at www.osha.gov/dcsp/osp/approved_state_plans.html).

“Labor law decision” means an administrative merits determination, arbitral award or decision, or civil judgment, which resulted from a violation of one or more of the laws listed in the definition of “labor laws”.

“Manufactured end product” means any end product in product and service codes (PSCs) 1000-9999, except—

(1) PSC 5510, Lumber and Related Basic Wood Materials;

(2) Product or Service Group (PSG) 87, Agricultural Supplies;

(3) PSG 88, Live Animals;

(4) PSG 89, Subsistence;

(5) PSC 9410, Crude Grades of Plant Materials;

(6) PSC 9430, Miscellaneous Crude Animal Products, Inedible;

(7) PSC 9440, Miscellaneous Crude Agricultural and Forestry Products;

(8) PSC 9610, Ores;

(9) PSC 9620, Minerals, Natural and Synthetic; and

(10) PSC 9630, Additive Metal Materials.

“Place of manufacture” means the place where an end product is assembled out of components, or otherwise made or processed from raw materials into the finished product that is to be provided to the

Government. If a product is disassembled and reassembled, the place of reassembly is not the place of manufacture.

“Predecessor” means an entity that is replaced by a successor and includes any predecessors of the predecessor.

“Restricted business operations” means business operations in Sudan that include power production activities, mineral extraction activities, oil-related activities, or the production of military equipment, as those terms are defined in the Sudan Accountability and Divestment Act of 2007 (Pub. L. 110-174).

Restricted business operations do not include business operations that the person (as that term is defined in

Section 2 of the Sudan Accountability and Divestment Act of 2007) conducting the business can demonstrate—

(1) Are conducted under contract directly and exclusively with the regional government of southern

Sudan;

(2) Are conducted pursuant to specific authorization from the Office of Foreign Assets Control in the Department of the Treasury, or are expressly exempted under Federal law from the requirement to be conducted under such authorization;

(3) Consist of providing goods or services to marginalized populations of Sudan;

http://www.osha.gov/dcsp/osp/approved_state_plans.html

(4) Consist of providing goods or services to an internationally recognized peacekeeping force or humanitarian organization;

(5) Consist of providing goods or services that are used only to promote health or education; or

(6) Have been voluntarily suspended.

Sensitive technology—

(1) Means hardware, software, telecommunications equipment, or any other technology that is to be used specifically—

(i) To restrict the free flow of unbiased information in Iran; or

(ii) To disrupt, monitor, or otherwise restrict speech of the people of Iran; and

(2) Does not include information or informational materials the export of which the President does not have the authority to regulate or prohibit pursuant to section 203(b)(3) of the International

Emergency Economic Powers Act (50 U.S.C. 1702(b)(3)).

“Service-disabled veteran-owned small business concern”—

(1) Means a small business concern—

(i) Not less than 51 percent of which is owned by one or more service-disabled veterans or, in the case of any publicly owned business, not less than 51 percent of the stock of which is owned by one or more service-disabled veterans; and

(ii) The management and daily business operations of which are controlled by one or more service-disabled veterans or, in the case of a service-disabled veteran with permanent and severe disability, the spouse or permanent caregiver of such veteran.

(2) Service-disabled veteran means a veteran, as defined in 38 U.S.C. 101(2), with a disability that is service-connected, as defined in 38 U.S.C. 101(16).

“Small business concern” means a concern, including its affiliates that is independently owned and operated, not dominant in the field of operation in which it is bidding on Government contracts, and qualified as a small business under the criteria in 13 CFR Part 121 and size standards in this solicitation.

“Small disadvantaged business concern, consistent with 13 CFR 124.1002,” means a small business concern under the size standard applicable to the acquisition, that--

(1) Is at least 51 percent unconditionally and directly owned (as defined at 13 CFR 124.105) by--

(i) One or more socially disadvantaged (as defined at 13 CFR 124.103) and economically disadvantaged (as defined at 13 CFR 124.104) individuals who are citizens of the United

States; and

(ii) Each individual claiming economic disadvantage has a net worth not exceeding

$750,000 after taking into account the applicable exclusions set forth at 13 CFR

124.104(c)(2); and

(2) The management and daily business operations of which are controlled (as defined at 13.CFR

124.106) by individuals, who meet the criteria in paragraphs (1)(i) and (ii) of this definition.

“Subsidiary” means an entity in which more than 50 percent of the entity is owned—

(1) Directly by a parent corporation; or

(2) Through another subsidiary of a parent corporation.

“Successor” means an entity that has replaced a predecessor by acquiring the assets and carrying out the affairs of the predecessor under a new name (often through acquisition or merger). The term “successor” does not include new offices/divisions of the same company or a company that only changes its name. The extent of the responsibility of the successor for the liabilities of the predecessor may vary, depending on

State law and specific circumstances.

“Veteran-owned small business concern” means a small business concern—

(1) Not less than 51 percent of which is owned by one or more veterans(as defined at 38 U.S.C.

101(2)) or, in the case of any publicly owned business, not less than 51 percent of the stock of which is owned by one or more veterans; and

(2) The management and daily business operations of which are controlled by one or more veterans.

“Women-owned business concern” means a concern which is at least 51 percent owned by one or more women; or in the case of any publicly owned business, at least 51 percent of the its stock is owned by one or more women; and whose management and daily business operations are controlled by one or more women.

“Women-owned small business concern” means a small business concern --

(1) That is at least 51 percent owned by one or more women or, in the case of any publicly owned business, at least 51 percent of the stock of which is owned by one or more women; and

(2) Whose management and daily business operations are controlled by one or more women.

“Women-owned small business (WOSB) concern eligible under the WOSB Program (in accordance with 13

CFR part 127),” means a small business concern that is at least 51 percent directly and unconditionally owned by, and the management and daily business operations of which are controlled by, one or more women who are citizens of the United States.

Note to paragraph (a): By a court order issued on October 24, 2016, the following definitions in this paragraph (a) are enjoined indefinitely as of the date of the order: “Administrative merits determination”, “Arbitral award or decision”, paragraph (2) of “Civil judgment”, “DOL Guidance”, “Enforcement agency”, “Labor compliance agreement”, “Labor laws”, and “Labor law decision”. The enjoined definitions will become effective immediately if the court terminates the injunction. At that time, DoD, GSA, and NASA will publish a document in the Federal Register advising the public of the termination of the injunction.

(b)

(1) Annual Representations and Certifications. Any changes provided by the offeror in paragraph

(b)(2) of this provision do not automatically change the representations and certifications posted on the SAM website.

(2) The offeror has completed the annual representations and certifications electronically via the

SAM website accessed through https://www.acquisition.gov. After reviewing the SAM database information, the offeror verifies by submission of this offer that the representation and certifications currently posted electronically at FAR 52.212-3, Offeror Representations and Certifications—

Commercial Items, have been entered or updated in the last 12 months, are current, accurate, complete, and applicable to this solicitation (including the business size standard applicable to the https://www.acquisition.gov/

NAICS code referenced for this solicitation), as of the date of this offer and are incorporated in this offer by reference (see FAR 4.1201), except for paragraphs ____________. [Offeror to identify the applicable paragraphs at (c) through (u) of this provision that the offeror has completed for the purposes of this solicitation only, if any. These amended representation(s) and/or certification(s) are also incorporated in this offer and are current, accurate, and complete as of the date of this offer. Any changes provided by the offeror are applicable to this solicitation only, and do not result in an update to the representations and certifications posted electronically on SAM.]

(c) Offerors must complete the following representations when the resulting contract is to be performed in the United States or its outlying areas. Check all that apply.

(1) Small business concern. The offeror represents as part of its offer that it [_] is, [_] is not a small business concern.

(2) Veteran-owned small business concern. [Complete only if the offeror represented itself as a small business concern in paragraph (c)(1) of this provision.] The offeror represents as part of its offer that it [_] is, [_] is not a veteran-owned small business concern.

(3) Service-disabled veteran-owned small business concern. [Complete only if the offeror represented itself as a veteran-owned small business concern in paragraph (c)(2) of this provision.]

The offeror represents as part of its offer that it [_] is, [_] is not a service-disabled veteran-owned small business concern.

(4) Small disadvantaged business concern. [Complete only if the offeror represented itself as a small business concern in paragraph (c)(1) of this provision.] The offeror represents that it [_] is, [_] is not, a small disadvantaged business concern as defined in 13 CFR 124.1002.

(5) Women-owned small business concern. [Complete only if the offeror represented itself as a small business concern in paragraph (c)(1) of this provision.] The offeror represents that it [_] is, [_] is not a women-owned small business concern.

Note: Complete paragraphs (c)(8) and (c)(9) only if this solicitation is expected to exceed the simplified acquisition threshold.

(6) WOSB concern eligible under the WOSB Program. [Complete only if the offeror represented itself as a women-owned small business concern in paragraph (c)(5) of this provision.] The offeror represents that—

(i) It [_] is, [_] is not a WOSB concern eligible under the WOSB Program, has provided all the required documents to the WOSB Repository, and no change in circumstances or adverse decisions have been issued that affects its eligibility; and

(ii) It [_] is, [_] is not a joint venture that complies with the requirements of 13 CFR part

127, and the representation in paragraph (c)(6)(i) of this provision is accurate for each

WOSB concern eligible under the WOSB Program participating in the joint venture. [The offeror shall enter the name or names of the WOSB concern eligible under the WOSB

Program and other small businesses that are participating in the joint venture: _________.]

Each WOSB concern eligible under the WOSB Program participating in the joint venture shall submit a separate signed copy of the WOSB representation.

(7) Economically disadvantaged women-owned small business (EDWOSB) concern. [Complete only if the offeror represented itself as a WOSB concern eligible under the WOSB Program in

(c)(6) of this provision.] The offeror represents that—

(i) It [_] is, [_] is not an EDWOSB concern, has provided all the required documents to the

WOSB Repository, and no change in circumstances or adverse decisions have been issued that affects its eligibility; and

(ii) It [_] is, [_] is not a joint venture that complies with the requirements of 13 CFR part

127, and the representation in paragraph (c)(7)(i) of this provision is accurate for each

EDWOSB concern participating in the joint venture. [The offeror shall enter the name or names of the EDWOSB concern and other small businesses that are participating in the joint venture: _____________.] Each EDWOSB concern participating in the joint venture shall submit a separate signed copy of the EDWOSB representation.

(8) Women-owned business concern (other than small business concern). [Complete only if the offeror is a women-owned business concern and did not represent itself as a small business concern in paragraph (c)(1) of this provision.] The offeror represents that it [_] is, a women-owned business concern.

(9) Tie bid priority for labor surplus area concerns. If this is an invitation for bid, small business offerors may identify the labor surplus areas in which costs to be incurred on account of manufacturing or production (by offeror or first-tier subcontractors) amount to more than 50 percent of the contract price:

(10) HUBZone small business concern. [Complete only if the offeror represented itself as a small business concern in paragraph (c)(1) of this provision.] The offeror represents, as part of its offer, that--

(i) It [_] is, [_] is not a HUBZone small business concern listed, on the date of this representation, on the List of Qualified HUBZone Small Business Concerns maintained by the Small Business Administration, and no material changes in ownership and control, principal office, or HUBZone employee percentage have occurred since it was certified in accordance with 13 CFR part 126; and

(ii) It [_] is, [_] is not a HUBZone joint venture that complies with the requirements of 13

CFR part 126, and the representation in paragraph (c)(10)(i) of this provision is accurate for each HUBZone small business concern participating in the HUBZone joint venture. [The offeror shall enter the names of each of the HUBZone small business concerns participating in the HUBZone joint venture: __________.] Each HUBZone small business concern participating in the HUBZone joint venture shall submit a separate signed copy of the HUBZone…