DRAFT PWS - NHRC Financial and Administrative Support Services.pdf

Performance Work Statement (PWS) Project:

Financial And Administrative Support Services

GENERAL INFORMATION

1.0 Background and Purpose

The Naval Health Research Center (NHRC) develops and delivers operational biomedical research solutions that enhance the health, safety, readiness, and performance of our military forces. This acquisition will provide financial and administrative support services to support the Resource Management Directorate at NHRC.

Services provided under this Performance Work Statement (PWS) are commercial, severable, and strictly non-personal in nature. The contract type is Firm Fixed Price (FFP).

2.0 Scope

The Contractor shall provide non-personal financial and administrative support services to support NHRC in performing administrative, budgetary, organizational, operational surveys and studies, analyzing matters related to the mission of NHRC, and recommending administrative actions to solve problems.

CONTRACTOR REQUIREMENTS

3.0 Tasks/ Technical Requirements

3.1 Tasks

3.1.1 The Contractor shall provide financial and administrative support to the Resource Management Directorate at NHRC. The Contractor shall have a strong understanding of the financial structure and systems of the Bureau of Medicine (BUMED) enterprise. The Contractor shall review and make recommendations in support of the NHRC mission.

3.1.2 Ensure work performed is in compliance with applicable guidance and schedules, in preparation for further review by local and higher authorities.

3.1.3 Develop Management Support Spend Plan, Guidance for the Development of the Force (GDF) Spend Plan, and Special Programs Spend Plan. Monitor daily and update quarterly or as needed.

3.1.4 Daily maintain cost management systems, and other new enterprise resource planning and/or budget systems.

The Contractor shall daily analyze and validate accounting, budget, and financial system data that are designed to track, reconcile, and report on Agency-administered programs and / or appropriations. Provide recommendations on the short-term and long-term resource requirements as part of the normal budget cycle or in response to special circumstances or requirements (Estimated 12-15 systems).

3.1.5 Provide daily briefing regarding findings and recommendations to the Resource Management Director at

NHRC.

3.1.6 Prepare and analyze the daily Status of Funds (SOF) Report and provide the Government with observations and recommend courses of action necessary to resolve discrepancies.

3.1.7 Develop and track databases, spreadsheets, reports, and forms as needed by the Budget Officer and Financial Management Officer. (Estimated 10 documents Daily)

3.1.8 Develop and maintain training materials, templates, and standard operating procedures for various resource management functions. (Estimated 15 projects annually)

3.1.9 Provide training on resource management functions. (Estimated 12 annually)

3.1.10 Review and recommend corrections to the Government for outstanding reconciliation. (Estimated 36 outstanding reconciliations monthly)

3.1.11 Draft formal requests for additional funding and outgoing funding documents for Government review and approval. (Estimated no more than 250 documents annually)

3.1.12 Validate and recommend proper lines of accounting (LOA) to be assigned for procurement of supplies, services, or travel. (Estimated no more than 450 LOAs annually)

3.1.13 In support of audit readiness activities in accordance with the DoD Financial Improvements and Audit Readiness (FIAR) Plan, gather data and key supporting documents as requested, prepare audit packages for review by the Financial Management Officer and Director for Resource Management, and draft submission of responses to audit queries for Government action. (Estimated 12 CERMC audit files monthly, 4 DAR-Q quarterly, and no more than 15 BUMED Audit requests annually)

3.1.14 Research technical FIAR guidelines and recommend revisions to the command's FIAR plan. (Estimated at no more than 4 reviews annually)

3.1.15 Monitor, analyze, and report on monthly and ad-hoc Comptroller Performance Metrics to track, identify, and brief performance trends. (Estimated at 48 reviews annually)

3.1.16 Draft proposed allocation and execution plans of Navy and Defense Health Program (DHP) Research and Development (R&D) funds, DHP Operations and Maintenance (O&M) funds, and Defense Health Agency (DHA) funding received by NHRC. (Estimated no more than 200 phasing plans annually)

3.1.17 Review and analyze local and higher echelon financial policies, directives, and action requests. Provide recommendations for process improvement. (Estimated 2 policies, directives, and action requests annually)

3.1.18 At Government direction, respond to requests for budget data and information from internal and external customers of the command. (Estimated no more than 55 responses annually)

3.1.19 Gather and review all program manager input and consolidate into the command budget for Government review and approval. (Estimated 12 reviews monthly)

3.2 OPTIONAL Financial and Administrative Support to the Resource Management Directorate at NHRC

3.2.1 In support of a 25% increase to maintain cost management systems, and other new enterprise resource planning and/or budget systems. The Contractor shall daily analyze and validate accounting, budget, and financial system data that are designed to track, reconcile, and report on Agency-administered programs and / or appropriations. Provide recommendations on the short-term and long-term resource requirements as part of the normal budget cycle or in response to special circumstances or requirements. (Estimated 12-15 systems)

3.2.2 Develop and track databases, spreadsheets, reports, and forms as needed by the Budget Officer and Financial Management Officer. (Estimated 2 documents Daily, 1 Weekly, and 1 Monthly)

3.2.3 Develop and maintain training materials, templates, and standard operating procedures for various resource management functions. (Estimated 4 projects annually)

3.2.4 Support of audit readiness activities in accordance with the DoD Financial Improvements and Audit Readiness (FIAR) Plan, gather data and key supporting documents as requested, prepare audit packages for review by the Financial Management Officer and Director for Resource Management, and draft submission of responses to audit queries for Government action. (Estimated 3 CERMC audit files monthly, 1 DAR-Q quarterly, and no more than 4 BUMED Audit requests annually)

3.3 Technical Requirements

3.3.1 Training. The contractor shall ensure that employees complete initial and annual training as required by the Command or Activity. This includes but is not limited to orientation training for new personnel, refresher safety training, and job-specific safety training.

General safety topics that the contractor will complete include but are not limited to fire/life safety, general ergonomics awareness, risk management, hazard communication/global harmonization, and reproductive hazard awareness.

Job-specific safety training will be completed by applicable contract personnel as required by the Command or Activity, to include but not limited to weight-handling management, hearing conservation, respiratory protection, basic life safety, PPE use, hazardous material control, waste management, radiological safety, and biological safety.

New contract employees shall complete initial safety training within the timelines specified by DoD policy. All training records will be made available to the Command or Activity upon request.

The contractor shall ensure that all contract personnel assigned to this requirement have and maintain all training, certifications, credentialing / privileging (if applicable) and medical requirements, including, but not limited to vaccinations, medical exams, and other medical care at no additional cost to the government. The Government may provide vaccinations if they are available for no cost. ODCs will not be authorized to pay for such expenses. These types of training and certification will vary depending on the position. The contractor shall provide the government with verification of such requirements for each applicable contractor employee.

3.3.2. DoD / Government-required training. The contractor shall ensure contract personnel obtain and maintain all DoD / Government-required training throughout task order performance. Written confirmation of completed training shall be provided to the COR as requested.

3.3.3 Transition-In / Out. To minimize any decrease in productivity and to prevent negative impacts on services, the Contractor shall have personnel on board, during the (30) day transition-in / transition-out periods. During the phase-in period, the Contractor shall become familiar with performance requirements in order to commence full performance of services on contract start date.

4.0 Labor Qualifications:

4.1 Financial Analyst

- A minimum of a Bachelor’s Degree in Accounting or Finance

OR

- A minimum of 5 years of accounting or finance experience

4.2 Financial Technician

- A minimum of a Bachelor’s Degree in Accounting or Finance

OR

- A minimum of 2 years of accounting or finance experience

4.3 Senior Financial Analyst

- A minimum of a Bachelor’s Degree in Accounting or Finance

OR

- A minimum of 8 years of accounting or finance experience

5.0 Deliverables

DELIVERABLE / PWS

SECTION FREQUENCY SUBMIT TO

Deliverable 1 PWS Section 5.1

Monthly Invoice/ Monthly Status Report

Monthly COR

Deliverable 2 PWS Section 5.2

Report of Inventions & Subcontracts / DD 882

End of contract OCO and COR

Deliverable PWS Section 5.3

Non-Disclosure Agreement

Prior to any work being performed for each employee

COR

5.1 Monthly Invoice / Monthly Status Reports (Deliverable 1)

A monthly invoice with its accompanying monthly status report must be submitted to the COR for review and approval prior to submitting each invoice into the Wide Area Work Flow (WAWF). The COR approval shall be uploaded into WAWF as an attachment to the monthly invoice (cost voucher for CPFF). This process still applies for those contractors that have DCAA / DCMA-approved direct payment authorization. Refer to DFARS 252.232- 7006 for further details.

Each monthly status report shall contain the following:

• Status of tasks and milestones completed, including quantitative data by month and cumulatively for the period of performance

• List of Government Furnished Property (GFP) associated with contract and staff assigned to, if applicable

• Copy of COR approval for travel, if applicable

5.2 Report of Inventions & Subcontracts / DD 882 (Deliverable 2)

The contractor shall submit a DD882 listing any inventions as a result of performance under this requirement.

5.3 Non-Disclosure Agreement (Enclosure 2) (Deliverable 3)

The Contractor shall ensure that the Non-Disclosure / Non-Use Agreement (ND/UA) is signed by all staff assigned to or performing on this requirement before performing any work including all subcontractors and subject matter experts (SMEs). The ND/UA shall be cosigned by a corporate official (Contractor Task Manager or higher). The Contractor shall also ensure that all staff understand and adhere to the terms of the ND/UA, protecting the procurement of sensitive information of the Government and the proprietary information of other Contractors.

Assignment of staff who have not executed this statement or failure to adhere to this statement shall constitute default on the part of the Contractor.

6.0 Contract Information

6.1 Place of performance

Naval Health Research Center (NHRC) 140 Sylvester Rd., San Diego, CA 92106

6.2 Estimated Period of Performance (POP)

Commencing on: Ending on:

Base Year 09/19/2027 09/18/2028 Option Year 1 09/19/2028 09/18/2029 Option Year 2 09/19/2029 09/18/2030 Option Year 3 09/19/2030 09/18/2031 Option Year 4 09/19/2031 09/18/2032

6.3 Work Hours / Holidays

The contractor is responsible for conducting business during the Command's normal business hours. NHRC has an Alternative Work Schedule which applies nine-hour days between 0600-1800 and alternate Fridays off, with the exception of Federal holidays.

Federal Holidays:

New Year’s Day, Martin Luther King’s Birthday, President’s Day, Memorial Day, Juneteenth, Independence Day, Labor Day, Columbus Day, Veteran’s Day, Thanksgiving Day, and Christmas Day.

In the event that any of the above holidays occur on a Saturday or Sunday, then such holiday shall be observed as they are by the assigned Government employees at the Government facility.

6.3.1 Teleworking. In accordance with FAR 7.108 teleworking is permitted and is acceptable for some duties / tasks performed under this requirement. Teleworking schedules shall be approved by the NHRC Contracting Officer Representative (COR) prior to commencement of telework. Telework requires the contractor to have the infrastructure / equipment to perform the duties remotely, therefore, ODCs are not authorized for procuring telework items.

6.3.2 Furlough. Contractors shall not be reimbursed by the Government for services not received during a Government furlough. In the event of a Government furlough, contractor employees will be allowed to work during furlough provided there is adequate funding in place.

6.3.3 Post Closure. All contract employees shall not report to work on days the Government or installation is closed due to local determinations related to safety conditions, inclement weather conditions, national emergencies, and / or energy conservation. During these periods of closure, contractor employees working at non-Government facilities will be allowed to work during post closure providing there is adequate funding in place.

6.4 Contract Management

6.4.1 Government Management. A Contracting Officer Representative (COR) for this contract will be appointed by the NAVSUP Contracting Officer (OCO) and will serve as the primary POC for performance under this contract. A copy of COR designation / appointment letter will be furnished to the contractor at time of award, which will detail the duties, responsibilities, and limitations under this requirement. The COR primary duties include: monitoring all technical and performance aspects of the contract, reviews / approves invoices, inspections, receives / reviews deliverables, notifies both the Contracting Officer and Contractor of any deficiencies; coordinate availability of government furnished property, and maintain written and oral communications with the Contractor concerning technical aspects of the contract. The COR will not at any time supervise contract personnel. The COR does NOT have the authority to authorize any change to the contract including the PWS and terms and conditions nor obligate funds to the task order / contract.

6.4.2 Contract Management. The Contractor shall designate a single POC to serve as the contract’s authorized POC for the COR and OCO. The POC shall be responsible for supervision of all Contractor personnel, serves as a key resource for all contract personnel, and provide contract management functions. POC will work closely with the government to ensure there is an appropriate level of contract personnel to meet research project and mission goals.

The POC shall coordinate with the OCO and COR to resolve any issues that may arise, trends relating to the contract or changes / modifications. The POC shall be proactive in identifying and resolving issues and works with COR to address issues and works to ensure timely deliverables and meet mission goals. The POC shall ensure all Contractor personnel are aware that all such functions are to be performed by the POC and issues or problems related to these areas should not be discussed with Government personnel.

6.4.3 Contract Administration Plan (CAP) (Enclosure 1). The CAP is a requirement per NAVSUPINST 4205.3 which provides information related to overall contract management. This document is for informational purposes only.

6.5 Operations Security (OPSEC)

Per SECNAVINST 3070.2 series, all Department of Navy (DON) personnel (military and civilian), as well as supporting contractor employees shall maintain effective OPSEC. OPSEC is a process used to protect unclassified sensitive information from exploitation by an adversary. Photography and recording while on a government installation is not allowed except for official use and by permit only. Contractors shall not post government related images, data, or other government information to company websites, publications, or other media sources without first obtaining written permission from the government. Contract personnel shall not discuss government operations in public and shall remove government issued badges and identification when leaving the government installation, if performing on-site services as detailed in this contract during the Period of Performance (POP). All government issued identification shall be returned to the government upon completion of services. All personnel shall complete OPSEC training if required. Contractors must practice OPSEC and implement countermeasures to protect Critical Information (CI), sensitive, and classified information to include proper marking, handling, and storage. Contractors should also protect Protected Health Information (PHI) and Personal Identifiable Information (PII) if data handling is required as part of performance of this contract where such data systems are accessed for service or maintenance described herein to prevent unauthorized disclosure.

7.0 SUPTXT 232.9400(1-92) LIMITATION OF LIABILITY - INCREMENTAL FUNDING

**The Government intends to incrementally fund the task order. This clause will be updated at time of award.**

This contract is incrementally funded and the amount currently available for payment hereunder is limited to (amount currently available for payment) inclusive of fee. It is estimated that these funds will cover the cost of performance through (date). Subject to the provisions of the clause entitled "Limitation of Funds" FAR 52.232-22 of the General Provisions of this contract, no legal liability on the part of the Government for payment in excess of the amount currently available for payment shall arise unless additional funds are made available and are incorporated as a modification to this task order.

8.0 Government Furnished Property

8.1. At no time during the term of this contract shall the contractor remove GFP supplies or equipment from the NHRC facilities, unless COR approval is provided in advance. The contractor shall comply with FAR 45 entitled, “Responsibilities, and Liabilities for Government and FAR 52.245-1 entitled, “Government Property.”

8.2 Facilities. The Government will provide the necessary workspace for the contractor staff to provide the support outlined in the PWS to include desk space, telephones, computers, printers, scanners, and other items necessary to maintain an office environment.

8.3 Utilities. All utilities in the facility will be available for the contractor’s use in performance of tasks outlined in this PWS. The contractor shall be responsible for operating under conditions that preclude the waste of utilities.

8.4 Return of Government Furnished Items. If GFP is issued, the contractor may, at any time, return the items it no longer needs for the performance of this PWS; however, returned items will not be replaced by the Government, and the unavailability or lack of the items under these circumstances will not excuse nonperformance, or justify increase in cost to the Government. The contractor shall notify the Government in writing of its intent to return items.

8.5 Missing, Stolen, Lost, and Recovered Property. The contractor shall comply with FAR 45.104 “Responsibilities, and Liabilities for Government Property.” The contractor shall be held responsible for lost, missing, stolen, damaged, abused (excessive wear and tear), or destroyed items while in the contractor’s possession. Any damage to government furnished items due to negligence, failure to secure or contractor caused accidents shall be repaired, and temporary / replacement property acquired, at the cost to the contractor.

9.0 Travel and Other Direct Costs (ODCs)

9.1 Travel

The COR is the travel order approval authority as designated in writing by the OCO. All travel requirements (including number of contractors to travel, agenda, or dates) shall be approved by the COR in writing prior to incurring costs and is on a strictly cost reimbursable basis. Travel approval must be processed in accordance with NHRC command procedures, Joint Travel Regulations, and correlated with a corresponding line item in the invoice for payment. Costs for travel shall be billed in accordance with the regulatory implementation of Public Law 99-234 and FAR 31.205-46 Travel Costs, subject to local policy and procedures and subject to the limitation of funds specified in this contract.

Travel Arrangements. Arrangements for and costs of all travel, transportation, meals, lodging, and incidentals are the responsibility of the Contractor. The Contractor shall remain current on applicable training, regulations, policies, and procedures that may impact processes for travel and modify their processes accordingly.

Travel Claims Procedures, Approvals, and Reimbursements. All travel costs shall be billed within 30 days after travel is complete unless an approval for later billing is approved by COR or OCO. All travel cost reimbursement requests must detail all authorized expenses associated with the travel and all receipts including ticket stubs (booked airline, hotel receipts, etc.) shall be provided to substantiate claims for costs, if requested by the COR.

For the purpose of constructing the cost proposal, the annual estimated travel cost of $5,000.00 shall not include fee or contractor burdens unless applied in accordance with the offeror’s accounting system and Forward Pricing Rate Agreement(s) (if applicable).

9.2 Other direct costs (ODCs)

ODCs are expected in support of the financial support efforts at NHRC. Prior to incurring costs, the contractor shall receive written COR approval of all ODC expenses. ODC approval must be processed in accordance with NHRC command procedures. The annual estimated ODC amount of $3,000.00 shall not include fee or contractor burdens unless applied in accordance with the contractor’s accounting system and Forward Pricing Rate Agreement(s) (if applicable). ODCs may include, but are not limited to: office supplies, training registration fees, and conference fees.

10.0 Security Requirements:

10.1 Identification of Contractor Personnel

Contractors shall identify themselves as contractor personnel when conducting business verbally or in writing, introducing themselves, displaying distinguishing badges, conducting and / or participating in briefings, conferences, presentations, and meetings.

10.2 Key Control

The Contractor shall establish and implement methods of making sure all keys / key cards issued to the Contractor by the Government are not lost or misplaced and are not used by unauthorized persons. No key card issued to the Contractor by the Government shall be duplicated. The Contractor shall turn-in any issued keys by personnel who no longer require access to locked areas. The Contractor shall immediately report any occurrences of lost or duplicate keys to the COR. The Contractor shall prohibit the use of Government issued keys by any persons other than the Contractor’s personnel. The Contractor shall prohibit the opening of locked areas by Contractor personnel to permit entrance of persons other than Contractor personnel engaged in the performance of assigned work in those areas, or personnel authorized entrance.

10.3 Security

SUPTXT204-9400(3-19) CONTRACTOR UNCLASSIFIED ACCESS TO FEDERALLY CONTROLLED

FACILITIES, SENSITIVE INFORMATION, INFORMATION TECHNOLOGY SYSTEMS OR

PROTECTED HEALTH INFORMATION

The security text does not apply in cases where the contractor / vendor does not have access to Navy Marine Corps Intranet (NMCI) computers, is not issued a Common Access Card (CAC) and is involved in training or other short term duties of less than 30 days duration that allow for the use of a visitor request. In these cases, the government personnel must submit a Visitor Access Request (VAR) to the main gate or applicable processing entity for your facility and assume responsibility to escort those without CAC Credentials.

This clause does not apply to non-United States (U.S.) Nationals (foreign nationals) who are contactor personnel performing work overseas. The clause is applicable to the U.S. Nationals living in the U.S. or overseas who are performing work on a Navy contract.

The investigation of a non-U.S. national at a foreign location must be consistent with a National Agency Check with Written Inquiries (NACI), to the extent possible and include a fingerprint check against the Federal Bureau of Investigation (FBI) criminal history database, an FBI investigations file (name check) search and a name check against the terrorist screening database. Also, the above cited reference notes that Foreign Nationals may not be granted CAC credentials until completion of their investigation and not in the interim.

Per Department of Defense Memorandum (DoDM) 5200.2, Department of Defense (DoD) components must initiate and ensure completion of a background investigation before applying the credentialing standards to a non-U.S.

national at a foreign location. The background investigation must be favorably adjudicated before a CAC can be issued to a non-U.S. national at a foreign location. The type of background investigation may vary based on standing reciprocity treaties concerning identity assurance and information exchanges that exist between the U.S. and its allies or agency agreements with the host country.

10.4 CONTRACTOR UNCLASSIFIED ACCESS TO FEDERALLY CONTROLLED FACILITIES,

SENSITIVE INFORMATION, IT SYSTEMS OR PROTECTED HEALTH INFORMATION

Executive Order 13467, Reforming Processes Related to Suitability for Government Personnel, Fitness for Contractor Personnel and Eligibility for Access to Classified National Security Information, Homeland Security Presidential Directive (HSPD)-12, requires government agencies to develop and implement Federal security standards for Federal personnel and contractors. The 5 CFR 32 Part 157 in concert with DoD Manual 1000.13, Vol 1, implements the Federal Standards.

APPLICABILITY

This text applies to all DoD sponsored individuals who require CAC eligibility (or login and P / W if acceptable per contract) for: Physical access to DoD facilities or non-DoD facilities on behalf of DoD; Logical access to information systems (whether on site or remotely); or remote access to DoD networks that use only the CAC logon for user authentication, or access to sensitive and protected information. This applies to the Office of the Secretary of Defense (OSD), the Military Departments, the Office of the Chairman of the Joint Chiefs of Staff and the Joint Staff, the Combatant Commands, the Office of the Inspector General of the DoD, the Defense Agencies, the DoD Field Activities and all other organizational entities within the DoD (hereinafter referred to collectively as the "DoD Components").

Each contractor personnel providing services at a Navy command under this contract is required to obtain a DoD CAC. Additionally, depending on the level of computer / network access, the contract personnel will require a successful investigation as detailed below.

ACCESS TO FEDERAL FACILITIES

Per HSPD-12 and implementing guidance, all contractor personnel working at a federally controlled base, facility or activity under this clause will require a DoD CAC. When access to a base, facility or activity is required contractor personnel shall in-process with the Command's Security Manager (CSM) upon arrival to the command and shall out-process prior to their departure at the completion of the individual's performance under the contract.

START-UP PERIOD

All contractor resource onboarding documents must be submitted via the prime contractor. The prime contractor shall make all necessary preparations to assume full responsibility for productive performance as of the performance start date.

Definition of "productive":

a. Visit Authorization Request (VAR)

b. Contractor Information Sheet (CIS)

c. FD-258 Fingerprint Card

d. Completed Electronic Investigation (EQIP)

e. All contractor resource(s) must have an active Joint Personnel Adjudication System (JPAS) profile

f. Common Access Card (CAC)

Note (1): Invoicing by the contractor will begin as of the commencement of the performance period of services and no reimbursement will be paid by the government for efforts expended during the start-up period.

Note (2): Foreign Nationals are not allowed access to the functional / system side of Enterprise Resource Planning

(ERP).

ACCESS TO DOD INFORMATION TECHNOLOGY (IT) SYSTEM

In Accordance With (IAW) Secretary of the Navy (SECNAV) M-5510.30, contractor personnel who require access to Department of the Navy (DoN) or DoD networks are categorized as IT-I, IT-II, or IT-III. The IT-II level, defined in detail in SECNAV M-5510.30, includes positions which require access to sensitive information. Sensitive information includes information protected under the Privacy Act, to include PHI. All contractor personnel under this contract who require access to Privacy Act protected information are therefore categorized no lower than IT- II. IT Levels are determined by the requiring activity's Command Information System Security Manager (ISSM) / Information Assurance Manager (IAM).

Contractor personnel requiring privileged or IT-I level access, (when specified by the terms of the contract) require a Single Scope Background Investigation (SSBI) or T5 or T5R equivalent investigation, which is a higher level investigation than the National Agency Check (NAC) with Law and Credit (NACLC) / T3 / T3R described below.

Due to the privileged system access, an investigation suitable for High Risk national security positions is required.

Individuals who have access to system control, monitoring, or administration functions (e.g. system administrator, database administrator) require training and certification to Information Assurance (IA) Technical Level 1, and must be trained and certified on the Operating System (OS) or Computing Environment (CE) they are required to maintain.

Access to sensitive IT systems is contingent upon a favorably adjudicated background investigation. When access to IT systems is required for performance of the contractor personnel's duties, such personnel shall in-process with the Navy CSM and ISSM / IAM manager upon arrival to the Navy command and shall out-process prior to their departure at the completion of the individual's performance under the contract. Completion and approval of a System Authorization Access Request Navy (SAAR-N) form is required for all individuals accessing Navy IT resources. The decision to authorize access to a government IT system / network is inherently governmental. The contractor supervisor is not authorized to sign the SAAR-N; therefore, the government personnel with knowledge of the system / network access required or the Contracting Officers Representative (COR) shall sign the SAAR-N as the supervisor.

The SAAR-N shall be forwarded to the CSM at least thirty (30) days prior to the individual's start date. Failure to provide the required documentation at least thirty (30) days prior to the individual's start date may result in delaying the individual's start date.

When required to maintain access to required IT systems or networks, the contractor shall ensure that all personnel requiring access complete annual Cyber Awareness training, and maintain a current requisite background investigation. The contractor's security representative shall contact the CSM for guidance when reinvestigations are required.

INTERIM ACCESS

The CSM may authorize issuance of a DoD CAC and interim access to a DoN or DoD unclassified computer / network upon a favorable review of the investigative questionnaire and advance favorable fingerprint results. When the results of the investigation are received and a favorable determination is not made, the contractor personnel working on the contract under interim access will be denied access to the computer network and this denial will not relieve the contractor of his / her responsibility to perform.

DENIAL OR TERMINATION OF ACCESS

The potential consequences of any requirement under this clause including denial or termination of physical or system access in no way relieves the contractor from the requirement to execute performance under the contract within the timeframes specified in the contract. Contractors shall plan ahead in processing their personnel and subcontractor personnel. The contractor shall insert this clause in all subcontracts when the subcontractor is permitted to have unclassified access to a federally controlled facility, federally-controlled information system / network and / or to government information, meaning information not authorized for public release.

CONTRACTOR'S SECURITY REPRESENTATIVE

The contractor shall designate an personnel to serve as the contractor's security representative. Within three (3) work days after contract award, the contractor shall provide to the requiring activity's Security Manager and the Contracting Officer, in writing, the name, title, address and phone number for the contractor's security representative. The contractor's security representative shall be the primary point of contact on any security matter.

The contractor's security representative shall not be replaced or removed without prior notice to the Contracting Officer and CSM.

BACKGROUND INVESTIGATION REQUIREMENTS AND SECURITY APPROVAL PROCESS FOR

CONTRACTORS ASSIGNED TO NATIONAL SECURITY POSITIONS OR PERFORMING SENSITIVE

DUTIES

Navy security policy requires that all positions be given a sensitivity value based on level of risk factors to ensure appropriate protective measures are applied. Contractor personnel under this contract are recognized as Non-Critical Sensitive [ADP / IT-II] positions when the contract scope of work require physical access to a federally controlled base, facility or activity and / or requiring access to a DoD computer / network, to perform unclassified sensitive duties. This designation is also applied to contractor personnel who access Privacy Act and PHI, provide support associated with fiduciary duties, or perform duties that have been identified as National Security Positions. At a minimum, each contractor personnel must be a US citizen and have a favorably completed NACLC or T3 or T3R equivalent investigation to obtain a favorable determination for assignment to a non-critical sensitive or IT-II position. The investigation consists of a standard NAC and a FBI fingerprint check plus law enforcement checks and credit check. Each contractor personnel filling a non-critical sensitive or IT-II position is required to complete:

• SF-86 Questionnaire for National Security Positions (or equivalent Office of Personnel Management (OPM) investigative product)

• Two FD-258 Applicant Fingerprint Cards (or an electronic fingerprint submission

• Original Signed Release Statements

Failure to provide the required documentation at least thirty (30) days prior to the individual's start date shall result in delaying the individual's start date. Background investigations shall be reinitiated as required to ensure investigations remain current (not older than ten (10) years) throughout the contract performance period. The contractor's security representative shall contact the CSM for guidance when reinvestigations are required.

Regardless of their duties or IT access requirements ALL contractor personnel shall in-process with the CSM upon arrival to the command and shall out-process prior to their departure at the completion of the individual's performance under the contract. Personnel requiring IT access shall also check-in and check-out with the Navy command's ISSM / IAM. Completion and approval of a SAAR-N form is required for all individuals accessing Navy IT resources. The SAAR-N shall be forwarded to the Navy CSM at least thirty (30) days prior to the individual's start date. Failure to provide the required documentation at least thirty (30) days prior to the individual's start date shall result in delaying the individual's start date.

The contractor shall ensure that each contract personnel requiring access to IT systems or networks complete annual Cyber Awareness training, and maintain a current requisite background investigation. Contractor personnel shall accurately complete the required investigative forms prior to submission to the CSM. The CSM will review the submitted documentation for completeness prior to submitting it to the OPM; Potential suitability or security issues identified may render the contractor personnel ineligible for the assignment. An unfavorable determination is final (subject to SF-86 appeal procedures) and such a determination does not relieve the contractor from meeting any contractual obligation under the contract. The CSM will forward the required forms to OPM for processing. Once the investigation is complete, the results will be forwarded by OPM to the DoD Central Adjudication Facility (CAF) for a determination.

If the contractor personnel already possesses a current favorably adjudicated investigation, the contractor shall submit a VAR via the JPAS or a hard copy VAR directly from the contractor's security representative. Although the contractor will take JPAS owning role over the contractor personnel, the Navy command will take JPAS "Servicing" role over the contractor personnel during the hiring process and for the duration of assignment under that contract.

The contractor shall include the IT position category per SECNAV M-5510.30 for each personnel designated on a VAR. The VAR requires annual renewal for the duration of the personnel's performance under the contract.

BACKGROUND INVESTIGATION REQUIREMENTS AND SECURITY APPROVAL PROCESS FOR

CONTRACTORS ASSIGNED TO OR PERFORMING NON-SENSITIVE DUTIES

Contractor personnel whose work is unclassified and non-sensitive (e.g., performing certain duties such as lawn maintenance, vendor services, etc...) and who require physical access to publicly accessible areas to perform those duties shall meet the following minimum requirements:

• Must be either a U.S. citizen or a U.S. permanent resident with a minimum of 3 years of legal residency in the U.S. (as required by the Deputy Secretary of Defense DTM 08-006 or its subsequent DoD Instruction (INST)) and

• Must have a favorably completed NACI or T1 investigation equivalent including a FBI fingerprint check prior to installation access.

To be considered for a favorable trustworthiness determination, the CSR must submit for all personnel each of the following:

• SF-85 Questionnaire for Non-Sensitive Positions

• Two FD-258 Applicant Fingerprint Cards (or an electronic fingerprint submission)

• Original Signed Release Statements

The contractor shall ensure each individual personnel has a current favorably completed NACI or T1 equivalent investigation, or ensure successful FBI fingerprint results have been gained and investigation has been processed with OPM.

Failure to provide the required documentation at least thirty (30) days prior to the individual's start date may result in delaying the individual's start date.

* Consult with your CSM and ISSM / IAM for local policy when IT-III (non-sensitive) access is required for non- U.S. citizens outside the U.S..*

**Alternative language which may be included as appropriate:

Contractor and all Contractor personnel with access to or responsibility for network and cyber security of this contract shall comply with DoD Directive 8500.1E IA, DoDI 8510.01 Risk Management Framework (RMF) for DoD IT, DoD Directive 5400.11 DoD Privacy Program, DoD 5200.2-R Personnel Security Program and HSPD 12.

At minimum, all contractor personnel must possess / maintain a favorable Tier 3 investigation; formerly a NAC with Local Agency Check and Credit Check (NACLC). This requirement is critical in order to access the data base systems within NAVSUP. It is Contracting Companies; responsibility to ensure that 100% of the contractors have the Tier 3 investigation / IT Level II. In addition, interim approval of clearances is not authorized.

Contractor personnel with access to or responsibility for nonpublic government data under this contract must comply with HSPD-12 Personal Identity Verification (PIV) issuance requirements, known as the CAC for NAVSUP.

11.0 Performance Requirement Measures

11.1 Quality Assurance Surveillance Plan (QASP)

This Quality Assurance Surveillance Plan (QASP) serves as the principal basis for assessing overall performance quality by the contractor for severable services under the Performance Work Statement (PWS). This document will be used by the Government to assess the effectiveness of the contractor’s performance, including on a risk rated basis. This QASP provides the methodology by which the contractor's performance will be monitored to determine compliance with established performance objectives and to establish performance benchmarks that ensure a quantifiable basis for measuring effectiveness. The plan is designed so that surveillance is limited to that which is necessary to verify the contractor is performing satisfactorily and relates directly to performance objectives of the performance objectives delineated in the PWS.

NOTE: The QASP is a living document and may be updated by the Government as necessary.

PWS TASK /

DELIVERABLE

PERFORMANCE INDICATOR/

ACCEPTABLE LEVEL OF

PERFORMANCE (ALP)

METHOD OF

SURVEILLANCE /

FREQUENCY

ACCEPTABLE

QUALITY LEVEL

Contractor Management PWS Reference: N/A

Contractor is accessible, enforces performance standards, assigns contractor schedules, reviews performance quality, communication policies, purposes, and goals to subordinates Contract management is timely and effective services received in accordance with the requirements contained in the PWS

Review of documentation on a quarterly basis

95%

Government Furnished Property (GFP)

PWS Reference 8.0

Contractor effectively manages GFP, including documentation within annual report(s).

Contractor is proactive in communicating with the Government when GFP needs to be updated.

Review of documentation upon submission and random inspection

95%

Timeliness and accuracy of deliverables

PWS Reference: 5.0

Contractor submits deliverables in a timely manner with none or few minor edits/ changes required.

Corrections are followed up in a timely manner and are accurate.

Review of documentation on a quarterly basis

Task Order Management

PWS Reference: N/A

Contractor reduces risk to the Government by providing accurate, timely, and effective communication, proactive to resolve issues, reduces cost, effectively manages task order to ensure mission success

Overall Technical & Quality of Performance

PWS Reference: N/A

Contractor’s technical performance meets all contract requirements.

Problems that are encountered are minor in nature, and are as follows:

• does not cause a delay in schedule;

• does not cause costs to increase;

95 %

• involves minimal effort to fix; and

• does not affect overall contractor performance

All matters shall be resolved in a satisfactory and timely manner.

11.2 Contractor Performance Assessment Reporting System (CPARS)

CPARS is used to assess a contractor's performance and provide a record, both positive and negative, on a given contract during a specific period of time. The CPARS Automated Information System (AIS) collection tool and other CPARS information can be accessed at https://www.cpars.gov. CPARS collects contractor performance information and passes it to the Federal Past Performance Information Retrieval System (PPIRS) where it can be retrieved by Federal Government Agencies including the DoD Services. The CPARS process is designed with a series of checks and balances to facilitate the objective and consistent evaluation of contractor performance. Both government and contractor program management perspectives are captured on the CPARS form and together make a complete CPARS. The Contractor shall assign and provide to the COR and OCO the name, title, email address and phone number of the designated contractor CPARS representative within their firm who will be responsible for CPARS information and reviewing the Government's proposed assessment for the period of performance. A User ID and Password for the CPARS will be provided to the designated contractor CPARS representative for this purpose of accessing the CPARS. The contractor CPARS representative has the authority to: 1) receive the Government evaluation; 2) review / comment / return the evaluation to the Government within 30 calendar days after the Government's evaluation is completed; and 3) concur or non-concur to each CPARS evaluation.

Enclosure 1

CONTRACT ADMINISTRATION PLAN (CAP)

1. Definitions.

1.1 Alternate Contracting Officer’s Representative (ACOR). In the absence of the Contracting Officer’s Representative (COR), the Government official appointed in writing by the Contracting Officer who functions as the technical representative of the Contracting Officer for a specific contract, for a specified period of time.

1.2 Bureau of Medicine and Surgery (BUMED). The Department of the Navy command responsible for all Navy medicine healthcare and research initiatives.

1.3 Commanding Officer. The senior Officer that has ultimate responsibility for the operation of the research activity.

1.4 Contracting Officer. The Government official at the Navy Supply Systems Command with the actual authority to enter into, administer, and/or terminate contracts and make related determinations and findings on the behalf of the Government.

1.5 Contracting Officer’s Representative (COR). The Government official appointed in writing by the Contracting Officer who functions as the technical representative of the Contracting Officer under the contract. For Indefinite Delivery and Indefinite Quantity contracts, CORs will be appointed for each task order in addition to an overall contract COR.

1.6 Contractor. The organization identified as the contractor/offeror on the SF33 and its employees who are providing services under the contract.

1.7. Defense Contract Audit Agency (DCAA). The Government office responsible for performing all necessary contract audits for the Department of Defense. DCAA also provides accounting and financial advisory services regarding contracts and subcontracts.

1.8 Director. The Government official responsible for managing the operation of a distinct organizational division, office, or unit. The Director is subordinate to the Commanding Officer of the research activity.

1.9 Military Treatment Facility (MTF). A Department of Defense (DoD) hospital or medical or health center where services may be required to be performed under this contract. The abbreviation, “MTF” includes all Branch Medical or Health Clinics, Medical Administrative Units, Branch Medical or Health Annexes and other subordinate clinical activities.

1.10 Navy Supply Systems Command (NAVSUP). The Department of the Navy command responsible for providing contract support for BUMED.

1.11 Principal Investigator (PI). The Government official responsible for managing a research effort or project from a scientific or technical standpoint. The PI is responsible for the conduct of the research work.

1.12 Research Activity. The Government center, laboratory, or organization responsible for carrying out the research initiatives of BUMED. An MTF is considered a Research Activity under the Clinical Investigation Program (CIP).

1.13 Technical Assistant (TA). The research activity representative who may be appointed by the Commanding Officer (or designated representative) to provide technical or administrative assistance to the COR. TAs may be assigned to assist and support the COR but will not be given the authority to provide any technical direction or clarification directly to the Contractor.

2. Responsibilities.

2.1 NAVSUP will:

2.1.1 Perform all required pre-award actions including providing information or answering questions that arise during the solicitation period and as a result of Freedom of Information Act (FOIA) inquiries.

2.1.2 Review the Contract Administration Plan (CAP).

2.1.3 Verify that the individual(s) nominated to act as COR and/or ACOR have had the required training and the necessary experience. If the Contracting Officer determines that a nominee does not meet experience and training requirements, the Contracting Officer will request that the research activity nominate another individual.

2.1.4 Review the CAP prior to incorporation into the solicitation. This review will ensure that all contract administration functions are assigned, suit the specific circumstances of the contract and give due consideration to the type of contract, the place of performance, period of performance, and inspection and acceptance criteria stated in the solicitation/contract.

2.1.5 Include the COR duties contained in this Master CAP in the resultant solicitation/contract. Additional duties will be separately delineated within the contract, as appropriate.

2.1.6 Designate the paying office in the contract.

2.1.7 Appoint the COR and ACOR. COR and ACOR appointments will be completed through the DoD Procurement Integrated Enterprise Environment (PIEE) Joint Appointment Module (JAM) at: https://piee.eb.mil/piee-landing/.

2.1.8 Perform all contract administration duties of a Contracting Officer. Regular meetings between the Contracting Officer, the COR or the research activity Commanding Officer (or representative) will be held to discuss the status of and the performance under individual contracts. The format and frequency of these meetings will depend upon the size and complexity of the contract.

https://piee.eb.mil/piee-landing/

NOTE: All parties are specifically reminded that only the Contracting Officer has the authority to modify the…