Attachment 1-(Draft) Performance Based Statement of Work.docx

Performance Based Statement of Work Project Management Consultant for Modeling Compound Threats to Interdependent Infrastructure Systems on Military Installations Department of Operations Research Naval Postgraduate School

1.0 Background/Introduction:

The mission of the project is to produce a novel framework and applied case studies to identify U.S. Department of Defense (DoD) installation vulnerabilities and protection activities to compound threats. Overall project goals are to develop a method to identify worst-case disruptions to interdependent infrastructure systems on military installations, use associated models to support installation decision-making, and link the resilience of infrastructure services to DoD infrastructure investment. Planned research activities include developing a modeling architecture for interdependent infrastructure models, novel game theoretic methods to find worst-case disruptions to interdependent systems, a new approach to calculate mission dependency index, and case studies.

Successful completion of the approved Project Plan requires project management for project deliverables and Stakeholder Engagement (see Attachment). For the purposes of this work, Stakeholder Engagement is defined as outreach, data collection, modeling, and dissemination of results with military installation and civilian stakeholders across multiple critical infrastructure systems, including energy, transportation, water, and telecommunications systems.

The contractor’s support is required for the tasks listed as TRUE in the “Contractor Support Needed” column of the attached Project Plan (see Attachment). This project plan is approved by the project Sponsor;the Office of Secretary of Defense (OSD) Strategic Environmental Research and Development Program (SERDP). Tasks listed in the approved project plan are organized thematically by project activities and deliverables. Tasks 1.1 through 5.6 (excluding task 4.8) of the project plan are focused on research and NPS student theses. Tasks 6.1 through 7.5 of the project plan are focused on stakeholder engagement. Tasks 4.8 and 8.1 through 8.6 of the project plan are focused on project reporting and results dissemination. Please note the following in the approved project plan:

· The Attachment lists all tasks in the approved project, which have different task numbers than those listed in this Performance Based Statement of Work. Each task requiring contractor support also lists the associated task and deliverable from this Performance Based Statement of Work.

· The timeline provided in the Attachment can be only changed with Sponsor Approval. Timelines for individual tasks are provided in two ways. Timelines are either anticipated task start and end dates (e.g. for long-term research tasks) or a single date indicating anticipated task completion date (e.g., for travel-related tasks).

Contractor performance will be measured via the following two metrics:

· Timeliness by comparing completion dates to the timelines provided in the approved project plan; and

· Quality observed by the NPS research team.

2.0 Scope:

The contractor shall perform project management related to various infrastructure operator models, with focus on Stakeholder Engagement. Stakeholder Engagement tasks include organizing stakeholder meetings for data acquisition, model development, and result dissemination in accordance with the definition provided above. The contractor will schedule and run each meeting to ensure military and civilian stakeholders are included in research activities and meetings end with clear next steps. The contractor will also provide strategic advisory services, expert review of research products, and broad coordination to disseminate results.

3.0 Tasks:

The contractor shall perform the following task(s) as follows (measurable task outcomes in parentheses):

3.1 Organize and participate in site visits and kick-off meetings at military installations for case studies (at least one (1) site visit and meeting per year)

3.2 Brief key stakeholders at associated military program offices and headquarters (coordinating at least six (6) stakeholder calls or similar liaison activity per year)

3.3 Advise NPS and Project stakeholders on resilience as the project team completes research tasks (providing advisory support for each Activity in approved Project Plan as appropriate)

3.4 Review the completion of research products (reviewing each deliverable in approved Project Plan as appropriate, see Deliverables)

3.5 Coordinate with broader research community (coordinating meetings and presentations at research conferences at least one (1) time per year).

4.0 Deliverables:

Deliverables outlined in the approved project plan focus on advancing the Naval Postgraduate School (NPS) mission for graduate education and basic research. The contractor shall ensure the completion of the stakeholder meetings, master’s theses, research articles technical reports, and conference deliverables:

4.1 Review the completion of research products – ensure completion of NPS graduate research theses (at least one [1] per year) – Task 3.4

4.2 Review the completion of research products – research articles and technical reports (at least one [1] per year) – Task 3.4

4.3 Conference presentations (at least one (1) per year) – Task 3.5

4.4 Provide meeting notes, reports, and outbrief materials from site visits, stakeholder briefings, and advisory meetings – Tasks 3.1, 3.2, and 3.3

Performance Measurement - Quality Assurance Plan

per year

per year

If performance falls below the AQL defined above, the Contracting Officer’s Representative (COR) shall document the instance(s), coordinate with the Contracting Officer and advise the Contractor. The Contractor will be requested to review the documentation and provide a written response on how performance will be corrected in the future. Re-performance of any work for failure to perform in accordance with the specified AQL or task requirement shall be completed at the Contractor’s own expense and at no additional cost to the Government.

5.0 Minimum Technical Requirements:

The minimum technical qualifications are required by the contractor:

1. Education & Work Experience

· Bachelor’s degree or higher level of education

· 8+ years of project management experience with DoD, civilian, and academic partners

2. DoD-wide Outreach and Coordination

· Held military installation infrastructure resilience stakeholder meetings and table-top exercises with an emphasis on expertise in energy, water, transportation, and telecommunications systems

· Active network of installation mission owners, commanding officers, and infrastructure providers

· Knowledge of civilian-military affairs with respect to infrastructure resilience and critical services

· Knowledge of current resilience requirements of US military services.

· Knowledge of the Program Objective Memorandum (POM) cycle for funding military installation infrastructure.

3. Research

· Connection to the OSD SERDP and Environmental Science and Technology Certification Program (ESTCP) and associated research community.

· Demonstrated history of publication and report writing for military installation audiences.

Explanation of Minimum Technical Requirements:

Education & Work Experience: The approved project plan involves research that supports the DoD funding cycles and Program Objective Memorandums (POM). A normal DoD funding cycle is 3 years from planning to execution, and each POM created during a budget cycle is a 5-year plan (for reference, see: https://fas.org/sgp/crs/natsec/IF10429.pdf). A minimum of 8 years of experience is required to have participated in a DoD funding cycle and seen the full execution of its associated POM.

DoD Outreach and Coordination: The tasks and deliverables defined in this project work statement center on coordination and outreach with existing DoD entities and partners to support resilience analysis and research products. Strong experience and connections in areas of DoD infrastructure provision, analysis, table-top exercises, civilian-military affairs, resilience requirements, and funding are required to complete tasks and deliverables.

Additional Research Requirements: The approved project plan is funded by SERDP and ESTCP is a related OSD program that supports transition of SERDP projects into field tests and demonstrations. The contractor should be involved and aware of how SERDP operates and how to transfer project outputs to the ESTCP program to effectively support project execution.

6.0 Period of Performance:

Base Year: 01 July 2020 to 30 June 2021 Option Year One: 01 July 2021 to 30 June 2022 Option Year Two: 01 July 2022 to 30 June 2023

7.0 Place of Performance:

There is no required place of performance. The contractor may complete work from their local office; however, the contractor is required to attend site visits (Task 3.1) and conferences (Task 3.5, Deliverable 4.3) in person. Preferred place of performance is either Washington D.C. (to be near DoD stakeholders) or Hawaii (to be near civilian stakeholders).

8.0 Government Furnished Property:

The following will be provided to the contractor on an as-needed basis and with explicit permission from approving authorities:

8.1 Data, models, analyses, and visualizations required for Stakeholder Engagement

9.0 Work Week and Hours of Operation:

The Contractor shall provide services during normal working hours excluding federal holidays. Normal working hours are 0730-1630, Monday through Friday, unless requirements dictate otherwise. Exceptions can be permitted by the COR upon request and at the COR’s discretion.

Following is a list of holidays observed by the Government.

If any of the above holidays occur on a Saturday or a Sunday, then such holiday shall be observed by the Contractor in accordance with the practice as observed by the assigned Government employees at the using activity

10.0 Travel:

Travel is required. Travel will be in accordance with the Joint Travel Regulations (JTR) and will be reimbursed by the government on an as-incurred basis.

Travel listed above may be required multiple times per project year as appropriate with the approved project plan and completion of project deliverables.

11.0 Transition Activities:

It is essential to the Government that services required under this PWS are performed without interruption. At the conclusion of any performance period, including option periods or extensions, the services provided under this PWS may be awarded to another contractor. The contractor in place shall be required to assist in the transition activities.

12.0 Security Requirements:

Contractor personnel performing work are not required to hold security clearances. All research products are intended to be Unclassified with Distribution Statement A – Unlimited Release.

Contractors performing on this contract are required to familiarize themselves with, and participate in, the Naval Postgraduate School’s OPSEC program. Must be familiar with and comply with NPSINST 3432.1B, the NPS Critical Information List, DOD Directive 5205.02E and their applicable references. The contractor will be required to complete OPSEC and counter-intelligence training within 30 days of beginning the work or provide proof of OPSEC and counterintelligence training completed within the previous 12 months. The contractor may not publicly release any information about developmental work or curriculum at NPS without prior written approval from the Principal Investigator (PI).

13.0 Human Subject Research:

Contractor personnel performing work under this contract may not support, advise, or conduct research involving human subjects. If at any time during the period of performance of this contract the tasks involve human subject research, the Contractor shall immediately notify the Contracting Officer. The contract must be amended in accordance with DoDD 3216.02 and DFAR 252.235-7004 in the event human subject research is proposed.

14.0 Privacy Act Statement:

“Pursuant to Title 5 United States Code 552a(m)(l), the contractor and all employees of the contractor working under this contract are required to comply with the requirements of 5 U.S.C. 552a (“The Privacy Act of 1974”).”

15.0 Identification of Contractor Employees:

In accordance with DFAR 211.106, there shall be a clear distinction between Government employees and service contractor employees. Service contractor employees shall identify themselves as contractor personnel by introducing themselves or being introduced as contractor personnel. Contractor personnel will be required to obtain and wear badges or other visible identification for meetings with Government personnel to provide a clear distinction between service contractor employees and Government personnel. In addition, contractor personnel shall appropriately identify themselves as contractor employees in telephone conversations and in formal and informal written correspondence. They must also ensure that all documents or reports produced by contractors are suitably marked as contractor products or that contractor participation is appropriately disclosed.

16.0 Non-Personal Services Statement:

Contractor employees performing services under this order will be controlled, directed, and supervised at all times by management personnel of the contractor. Contractor management will insure that employees properly comply with the performance work standards outlined in the SOW. Contractor employees will perform their duties independent of, and without the supervision of, any Government official or other Defense Contractor. The tasks, duties, and responsibilities set forth in the task order may not be interpreted or implemented in any manner that results in any contractor employee creating or modifying Federal policy, obligating the appropriated funds of the United States Government, overseeing the work of Federal employees, or otherwise violating the prohibitions set forth in Parts 7.5 and 37.1 of the Federal Acquisition Regulation (FAR). The Government will control access to the facility and will perform the inspection and acceptance of the completed work.

17.0 SUPTXT 204-9400 Contractor Unclassified Access to Federally Controlled Facilities, Sensitive Information, Information Technology (IT) Systems or Protected Health Information (Jan 2017)

Homeland Security Presidential Directive (HSPD)-12, requires government agencies to develop and implement Federal security standards for Federal employees and contractors. The Deputy Secretary of Defense Directive-Type Memorandum (DTM) 08-006 – “DoD Implementation of Homeland Security Presidential Directive – 12 (HSPD-12)” dated November 26, 2008 (or its subsequent DoD instruction) directs implementation of HSPD-12. This clause is in accordance with HSPD-12 and its implementing directives.

APPLICABILITY

This clause applies to contractor employees requiring physical access to any area of a federally controlled base, facility or activity and/or requiring access to a DoN or DoD computer/network/system to perform certain unclassified sensitive duties. This clause also applies to contractor employees who access Privacy Act and Protected Health Information, provide support associated with fiduciary duties, or perform duties that have been identified by DON as National Security Position, as advised by the command security manager. It is the responsibility of the responsible security officer of the command/facility where the work is performed to ensure compliance.

Each contractor employee providing services at a Navy Command under this contract is required to obtain a Department of Defense Common Access Card (DoD CAC). Additionally, depending on the level of computer/network access, the contract employee will require a successful investigation as detailed below.

ACCESS TO FEDERAL FACILITIES

Per HSPD-12 and implementing guidance, all contractor employees 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 employees shall in-process with the Navy Command’s Security Manager upon arrival to the Command and shall out-process prior to their departure at the completion of the individual’s performance under the contract.

ACCESS TO DOD IT SYSTEMS

In accordance with SECNAV M-5510.30, contractor employees who require access to 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 information protected under the Privacy Act, to include Protected Health Information (PHI). All contractor employees 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 Assurance Manager.

Contractor employees 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 with Law and Credit (NACLC) 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 Technical Level 1, and must be trained and certified on the Operating System or Computing Environment 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 employee’s duties, such employees shall in-process with the Navy Command’s Security Manager and Information Assurance 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 Information Technology 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 employee with knowledge of the system/network access required or the COR shall sign the SAAR-N as the “supervisor.”

The SAAR-N shall be forwarded to the Command’s Security Manager at least 30 days prior to the individual’s start date. Failure to provide the required documentation at least 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 employees requiring access complete annual cybersecurity training, and maintain a current requisite background investigation. The Contractor’s Security Representative shall contact the Command Security Manager for guidance when reinvestigations are required.

INTERIM ACCESS

The Command's Security Manager 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 employee 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 employees and subcontractor employees. 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 employee to serve as the Contractor’s Security Representative. Within three 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 Command Security Manager.

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 employees 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 employees who access Privacy Act and Protected Health Information (PHI), provide support associated with fiduciary duties, or perform duties that have been identified as National Security Positions. At a minimum, each contractor employee 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 employee filling a non-critical sensitive or IT-II position is required to complete:

· SF-86 Questionnaire for National Security Positions (or equivalent 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 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 10 years) throughout the contract performance period. The Contractor’s Security Representative shall contact the Command Security Manager for guidance when reinvestigations are required.

Regardless of their duties or IT access requirements ALL contractor employees shall in-process with the Command’s Security Manager upon arrival to the command and shall out-process prior to their departure at the completion of the individual’s performance under the contract. Employees requiring IT access shall also check-in and check-out with the Navy Command’s Information Assurance Manager. Completion and approval of a System Authorization Access Request Navy (SAAR-N) form is required for all individuals accessing Navy Information Technology resources. The SAAR-N shall be forwarded to the Navy Command’s Security Manager at least 30 days prior to the individual’s start date. Failure to provide the required documentation at least 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 employee requiring access to IT systems or networks complete annual cybersecurity training, and maintain a current requisite background investigation. Contractor employees shall accurately complete the required investigative forms prior to submission to the Command Security Manager. The Command’s Security Manager will review the submitted documentation for completeness prior to submitting it to the Office of Personnel Management (OPM); Potential suitability or security issues identified may render the contractor employee 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 Command’s Security Manager 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 employee already possesses a current favorably adjudicated investigation, the contractor shall submit a Visit Authorization Request (VAR) via the Joint Personnel Adjudication System (JPAS) or a hard copy VAR directly from the contractor’s Security Representative. Although the contractor will take JPAS “Owning” role over the contractor employee, the Navy Command will take JPAS "Servicing" role over the contractor employee 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 employee designated on a VAR. The VAR requires annual renewal for the duration of the employee’s performance under the contract.

BACKGROUND INVESTIGATION REQUIREMENTS AND SECURITY APPROVAL PROCESS FOR CONTRACTORS ASSIGNED TO OR PERFORMING NON-SENSITIVE DUTIES Contractor employee 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 US citizen or a US permanent resident with a minimum of 3 years legal residency in the United States (as required by The Deputy Secretary of Defense DTM 08-006 or its subsequent DoD instruction) and

· Must have a favorably completed National Agency Check with Written Inquiries (NACI) or T1 investigation equivalent including a FBI fingerprint check prior to installation access.

To be considered for a favorable trustworthiness determination, the Contractor’s Security Representative must submit for all employees 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 employee has a current favorably completed National Agency Check with Written Inquiries (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 30 days prior to the individual’s start date may result in delaying the individual’s start date.

* Consult with your Command Security Manager and Information Assurance Manager for local policy when IT-III (non-sensitive) access is required for non-US citizens outside the United States.

18.0 Points of Contact:

NPS Contracting Officer Representative (COR): (Enter yeouryour name, title, and contact information)

NPS Technical POC: Daniel Eisenberg, Research Assistant Professor, daniel.eisenberg@nps.edu, (831) 656-2358

NPS POC for Acceptance of Deliverables: same as Technical POC

NPS Financial POC: Deborah Buettner (NPS Financial POC for Sponsor), Director, Research and Sponsored Programs Office, dbuettne@nps.edu, (831) 656-7893; Adrianne Luna (Financial POC for Accounting), Sponsored Programs Financial Analyst, arluna@nps.edu, (831) 656-3193

Office of Contracting and Logistics Management Revised 04 Aug 17