Attachment 1 - DRAFT Security Support Services PWS.pdf

DRAFT

PWS DRAFT 1

Performance Work Statement Department of Energy Office of Science Security Support Services

1.0 OVERVIEW AND OBJECTIVES

The Department of Energy (DOE) Office of Science (SC) requires a single contractor to provide security support services for the Office of Safety and Security (OSS), the SC Consolidated Service Center (CSC), and the Oak Ridge Office of Environmental Management (OREM). The work location is in Oak Ridge, Tennessee. The mission of the support service contractor is to provide an array of site-wide security support functions that support Safeguards and Security (S&S) responsibilities in a secure environment protecting critical national security assets.

S&S support services must be both effective and efficient. An effective system is robust, resilient, adaptive, and consistent with the changing mission needs. An effective system also must support multiple S&S programs with responsibilities for the protection of multiple facilities and sites with operations ranging from supporting open collaborative science research to protection of classified matter and Category I- IV Special Nuclear Material (SNM). An efficient system operates at reasonable cost and imposes minimal burdens on the organizations carrying out primary missions at the facilities. Therefore, the objectives of this contract are to provide skilled and trained personnel to perform an array of support services to assist the OSS in the execution of the S&S mission.

2.0 BACKGROUND

The mission of the OSS is to provide valued technical support that ensures SC fulfills its mission in a safe and secure manner. OSS provides support, advice and counsel in support of the SC complex, and their contractors regarding all aspects of S&S program planning and management.

The mission involves the protection of people, technology, information, SNM, and other critical assets, as well as violence in the workplace, intelligence, and related matters of special sensitivity. The organization administers the S&S programs and supports SC site offices including industrial security, physical security, information security, materials control and accountability, personnel security, classification, export controls, and foreign national access. OSS administers all aspects of the personal identity verification and credentialing program under Homeland Security Presidential Directive-12 (HSPD-12), including the Personal Identity Verification (PIV) initiative for non-federal issuers and the PIV Interoperable (PIV-I) card, with the exception of those aspects that relate to cyber.

The work described in this statement of work shall be provided in support of S&S operations. The Contractor shall provide technical services to implement and/or administer DOE S&S programs for the functions identified in this Performance Work Statement (PWS). These programs include but are not limited to Personnel Security, Industrial Security, Information Security, and Program Support.

The Contractor shall fully integrate and perform the requirements contained in this PWS at multiple locations in a manner that assures maintenance of a seamless operational structure. This requires full integration of functions, roles, and responsibilities where more than one contractor is involved in fulfilling the requirements of the overall security program. The Contractor is responsible for coordination, collaboration, and teamwork with the other site contractors, tenant organizations, and site users.

3.0 REQUIREMENTS

PWS DRAFT 2

The Contractor shall provide fully qualified personnel to perform technical security support services. All work performed must satisfy the requirements of applicable DOE directives with oversight provided by DOE. Additionally, the Contractor shall comply with all applicable federal, state, and local laws, regulations, guidance, and policies. The Contractor shall ensure systems and processes are designed and implemented to streamline how business is performed and increase productivity to maximize mission accomplishment.

The staffing under the PWS will be dependent upon operational requirements. The Government therefore reserves the right to modify the technical work requirements as needed due to changing security requirements or methods of accomplishing security functions.

The services listed below shall be Government furnished:

• On-site Office/Workspace

• Building maintenance and utilities for government occupied space (DOE owned or leased space only)

• Access Authorization (badges, clearances, re-investigations, etc.)

• Computer network and applications service Cyber Security The Contractor must ensure the Worker Safety and Health Program addresses all federally mandated items and functional areas. The Contractor shall be accountable for the safe and effective accomplishment of all work performed including work performed by its subcontractors.

The following requirements encompass a range of security services. Performance shall be in accordance with this PWS and applicable federal regulations and directives.

3.1 Program Management

The Contractor shall provide fully qualified, experienced, competent, trained management and full-time supervision for their personnel. All personnel shall be able to obtain and maintain the appropriate access authorization level for the work being performed.

Supervisory staff shall be given authority and responsibility to implement applicable DOE requirements. The overall Program Manager position is identified as Key Personnel. This individual must have relevant education, training and experience commensurate with the respective scope of work. The Contractor will submit resumes for the proposed personnel to DOE for evaluation and approval. Changes to Key Personnel must be coordinated with DOE.

3.1.1 Administration

3.1.1.1 Provide coordinated and integrated executive direction and program management, supervision, and staffing to efficiently and effectively execute the requirements of this contract in accordance with applicable directives, regulations, risk management principles, and best business practices.

3.1.1.2 Provide coordinated communications with the federal staff, M&O and/or site prime contractor, and other on-site contractors with regard to support being provided.

3.1.1.3 Maintain high standards of competency, conduct, and integrity of all personnel.

3.1.1.4 Provide annual budget information in accordance with the Program

PWS DRAFT 3

Planning, Budgeting, and Evaluation processes.

3.1.1.5 Provide professional development and training for management and support staff in keeping with DOE requirements and best business practices.

3.1.1.6 Integrate safety into management and work practices at all levels within the organization to ensure contract requirements are accomplished while protecting the public, workers, and the environment.

3.1.2 Quality Control

The contractor shall develop and maintain an effective, comprehensive quality control program to ensure services are performed in accordance with this PWS. The contractor shall develop and implement a Quality Control Plan (QCP) that describes the actions (measurements, inspections, quality checks or monitoring of process parameters) to ensure processes conform to requirements. The QCP does not replace detailed standard operating procedures. The contractor’s quality control program must be continually available for review and evaluation by DOE. After acceptance of the QCP, the contractor must receive approval from the Contracting Officer of any proposed change to the quality control program.

4.0 OFFICE OF SAFETY AND SECURITY (OSS) SUPPORT

4.1 Protection Program management

OSS provides comprehensive support to 13 SC sites by meticulously managing fiscal and analytical aspects of their security programs. This includes drafting critical budget documentation for external stakeholders like OMB and Congress, providing detailed budget formulation data based on activity-based costing, and contributing to the overall S&S Planning, Programming, Budgeting, and Evaluation Plan. Furthermore, OSS manages the Integrated Priority List (IPL) program by participating in peer reviews, evaluating metrics, and tracking funding data, ensuring strategic prioritization and funding of security projects.

OSS monitors security metrics by maintaining quarterly reporting templates, analyzing results, providing feedback to the field and presenting summary reports to leadership.

Finally, OSS represents SC on DOE and intra-agency working groups on policy development, supporting the implementation of HSPD-12 UPIV, and providing expert technical review for DOE Directives, Site Security Plans, and Security Risk Assessments.

4.1.1 Security Budgeting

4.1.1.1 Support the drafting background papers and presentations for OMB and Congressional budget meetings.

4.1.1.2 Assist in compiling budget data from M&O laboratory proposals for SC use with OSS spreadsheets, presentations, and draft documents (charts and tables).

4.1.1.3 Highlighting proposed budget data exceeding specified threshold values for federal review.

4.1.1.4 Reviewing budget data submissions and validating mathematical accuracy for federal review.

4.1.1.5 Assist in compiling numerical and operational data into IPL spreadsheets for

PWS DRAFT 4

formulated scores.

4.1.1.6 Assisting with the development of Approved Funding Program (AFP) documents and materials.

4.1.1.7 Drafting email and written communications for S&S budget discussions with SC OSS, Site Office, and Laboratory personnel.

4.1.1.8 Supporting OSS budget conversations with SC Site Offices and

Laboratories.

4.1.1.9 Developing budget proposal data into spreadsheets for activity-based costing model.

4.1.1.10 Participate in budget discussions with OSS, SC Site Offices, SC

Laboratories, CSC, and SC Budget Staff.

4.1.2 Security Metrics

4.1.2.1 Maintain the quarterly template metrics.

4.1.2.2 Assess the results of the 13 quarterly reports leveraging Power BI or similar tool and present the results to OSS management.

4.1.2.3 Draft quarterly summary reports and develop a summary of the metrics to support DDO briefings.

4.1.3 Security Analytics

4.1.3.1 Represents SC on intra-agency working groups charged with developing policies, plans, guidance, procedures, etc.

4.1.3.2 Support SC implementation of the HSPD-12 UPIV initiative and provide OSS with technical and budgetary considerations.

4.1.3.3 Participate in the DDO S&S Survey Program to provide expertise as a subject matter expert in support of the SC and DOE enterprise.

4.1.3.4 Support OSS as a Subject Matter Expert for DOE Directives, Site Security Plans, Security Risk Assessments, and other technical reports submitted to OSS for technical review and input.

4.1.3.5 Analyze SC Laboratory security plans and make recommendations for accuracy, completeness, and compliance with federal and DOE regulations.

4.1.3.6 Analyze SC Site Office quarterly security reports to assist in the writing and review of the SC Bi-Annual Security Roll-Up report.

4.1.3.7 Assist in the writing and review of SC Security Survey Reports.

4.1.3.8 Perform research and statistical analysis of federal and department security policy issues to assist in the writing and review of SC issue papers and other policy documents.

4.1.3.9 Participate in the analysis of SC laboratory security risk assessment reports and make recommendations for accuracy, completeness, and compliance

PWS DRAFT 5

with federal and DOE regulations.

4.1.3.10 Support SC participation on DOE integrated project teams to recommend

SC suggested comments on DOE directives.

4.2 Classification and Information Security Support

The SC Program Classification Officer (CO) is responsible for the classification programs for multiple program activities and other Federal agencies and has responsibility for the SC classification program as well as classification/declassification of all historic energy programs executed in Oak Ridge under the purview of the Department of Energy.

SC staff including both federal and contractor, generate classified material and must maintain a classification program that ensures the identification of classified information through the application of classification standards. The Controlled Unclassified Information (CUI) program includes Unclassified Controlled Nuclear Information (UCNI), Export Controlled Information (ECI), Personally Identifiable Information (PII), and Official Use Only (OUO) information which all have specific sets of requirements. The Information Security program includes the requirements for protection and control of classified information, the Operations Security (OPSEC) program, the Technical Surveillance Countermeasures (TSCM) program, the Incidents of Security Concern (IOSC) program, COMSEC, and TEMPEST.

Classified Records collections exist at the Records Management Library, that have not been inventoried. Classified records in the National Security Information category fall within the requirements of E. O. 14526, requiring a mandatory 25-year derivative declassification review. A conservative estimate of 5000 man-hours for reviews (based the most recent classified inventory) and over 300 boxes of classified documents, that have not been categorized, for which an estimate cannot be generated. These reviews are mandated by E.O.

13526 and DOE Order 243.1C.

4.2.1 General Duties

4.2.1.1 Assist with the management, implementation, and operation of the Classification program for identifying and protecting classified and sensitive unclassified information.

4.2.1.2 Perform duties of Derivative Classifier, Derivative Declassifier, and Unclassified Controlled Nuclear Information Reviewing Official.

4.2.1.3 Provide training for Derivative Classifiers and UCNI Reviewing Officials.

4.2.2 Classification Support

4.2.2.1 Review, classify, declassify, downgrade or upgrade documents and materials as specified in the current DOE O 475.2B.

4.2.2.2 Provide classification support to SC sites and facilities including both federal and contractor staff.

4.2.2.3 Perform document decision reviews of classification decisions made by derivative classifiers in accordance with the current DOE O 475.2B.

4.2.2.3.1 Classification Decision Reviews (CDRs) are conducted annually for each possessing SC Site Office, the CSC, OREM, The Office

PWS DRAFT 6

of Scientific and Technical Information (OSTI), and SC HQ, eight total per year.

4.2.2.3.2 Possessing laboratories complete a CDR and submit that report to the Program Classification Officer for review, concurrence and submittal to EH-50.

4.2.2.4 Support training for derivative classifiers, as needed for local Science contractors and staff. Classes are conducted quarterly.

4.2.2.5 Participate in or lead self-assessments of SC branches, national laboratories, OSTI, CSC, OREM, and OREM contractors, including preparation of the evaluation report.

4.2.2.5.1 Each assessment is conducted in accordance with EH-51 requirements and consists of 17 evaluation elements, with either seven or eight assessments scheduled each year.

4.2.2.6 Research, review, prepare, and/or evaluate classification challenges, new and revised classification guidance, bulletins, and policies.

4.2.2.7 Provide public release review and approval for documents containing technical information intended for publication or release to the public.

4.2.2.8 Ensure the requirements of E.O.13526 Section 3.3 are met for the records.

4.2.2.8.1 Verifies Office of Classification (OC) and Field Classification

Offices (FCO) conduct declassification reviews, and the records receive a Kyl-Lott review and NA 14130 form which is provided for records prior to transfer.

4.2.2.8.2 Inform OC and FCO of classified permanent records overdue for declassification review within 30 days of discovery.

4.2.2.8.3 Notifies OC and FCO of newly created permanent classified records collections within 30 days of discovery.

4.2.2.8.4 Review and revise applied record schedules as necessary to ensure adequate identification of record types requiring designation as classified permanent records subject to declassification review in accordance with E.O. 13526, Section 3.3.

4.2.2.8.5 Work with the DRO to obtain National Archives and Records Administration (NARA) approval of revised schedules. Based on the record schedules, annually inform OC and FCO of the planned creation of classified permanent collections that will require review by OC or FCO over the next five years.

4.2.3 CUI Support

4.2.3.1 Support production or utilization facilities to identify UCNI issues.

4.2.3.2 Perform CUI document decision reviews of decisions made by Reviewing

Officials in accordance with the current DOE O 475.2 and DOE O 471.1

PWS DRAFT 7

directives.

4.2.3.3 Support training for Reviewing Officials.

4.2.3.4 Conduct CUI document reviews.

4.2.3.5 Participate in self-assessments of SC, including both federal and contractor staff, including preparation of the evaluation report.

4.2.4 Information Security Support

4.2.4.1 Support implementation of methods to deter, detect, respond to, and mitigate unauthorized access to classified information.

4.2.4.2 Support SC federal and contractors CMPC and IOSC programs, as requested.

4.2.5 Support the SC OPSEC programs.

4.2.5.1 Provide subject matter expert (SME) review of OPSEC-related documentation.

4.2.5.2 Participate in OPSEC Working Groups and OPSEC assessment activities as requested.

4.2.6 Support the SC S&S Awareness program.

4.2.6.1 Develop and conduct Initial, Comprehensive, Termination, and other security-related briefings.

4.2.6.2 Assist with the development and execution of the Annual Security Refresher Briefing, SC All Hands presentations, and other outreach activity.

4.2.6.3 Participate in the design and development of S&S awareness products (e.g., posters, security bulletins, etc.) to educate individuals of their S&S responsibilities.

4.2.7 Classified Document Control

4.2.7.1 Receive, store, reproduce, transmit, and retire/destroy classified matter.

4.2.7.2 Ensure all serviced accounts have required equipment prior to installation and upgrade.

4.3 Personnel Security Support

The Personnel Security Program is administered by the SC Cognizant Personnel Security Office (CPSO) and manages approximately 11,000 access authorizations. Work is performed at both Oak Ridge and Lemont duty stations. The CPSO provides support to SC HQ, Site Offices and their related M&O contractors and subcontractors, as well as other DOE Program Offices. The CPSO applies Federal laws, statutes, regulations and national level policies for the purpose of submitting investigation requests and fingerprint results for DOE federal employees, contractors, and subcontractor personnel who require access authorizations, occupy public trust positions or sensitive unclassified positions, or uncleared Homeland Presidential Directive-12 (HSPD-12) Personal Identity Verification (PIV) badges, and Foreign Nationals who require a LSSO badge. The CPSO is responsible for timely processing of investigation requests and adjudication of completed background investigations

PWS DRAFT 8

in accordance with requirements outlined in the Intelligence Reform and Terrorism Prevention Act of 2004 (IRTPA). The CPSO also executes the HSPD-12 Program, Badging Operations, the Human Reliability Program (HRP), Classified Visits and Assignments, the Unclassified Foreign National Access Program (FNAP), and official and unofficial foreign travel.

The Contractor shall ensure all personnel with access to DOE security systems containing records and information concerning badges, security clearance and access control authentication data are cleared at the same level as the highest security clearance in the system. The Contractor shall ensure all personnel have a favorably adjudicated Tier 5 background investigation (or equivalent).

4.3.1 Personnel vetting Support

The Contractor shall provide qualified and skilled personnel, supervision, equipment, supplies, services, materials, and training necessary to deliver the required support services to perform work for the DOE Personnel Vetting Program operated in accordance with 10 Code of Federal Regulations (CFR) Part 710, Subpart A, Criteria and Procedures for Determining Eligibility for Access to Classified Matter or Special Nuclear Material, DOE Order (O) 472.2A, Personnel Security; DOE O 470.4B, Safeguards and Security Program; DOE Order 206.2 Chg. 2, Identity, Access and Credential Management; Intelligence Reform and Prevention of Terrorism Act of 2004, Trusted Workforce 2.0 policies, standards and implementation guidance, and Office of Director of National Intelligence (ODNI) Security Executive Directives.

As a minimum, the Contractor shall ensure all personnel involved in the personnel security process receive training and are familiar with overarching national and DOE personnel vetting regulations especially those related to specific assigned tasks, as well as local standard operating procedures prior to requesting physical and logical access to personnel security databases; physical or electronic personnel security and HSPD-12 files, shared folders, records and correspondence, etc. As part of training, as a minimum, the Contractor shall ensure personnel with no or limited personnel vetting program experience have a basic understanding of the policies and procedures related to their responsibilities. Key Official such as managers, deputy managers, Facility Security Officers, Human Resources managers and others who will be less directly involved in the personnel vetting process complete training PER 099DE, Personnel Security Awareness Briefing for Key Officials through the DOE National Training Center (NTC). As a minimum, the Contractor shall ensure personnel performing as Security Processors have a basic understanding of the DOE Personnel Vetting Program to perform their duties effectively by completing NTC courses including PSC 100 DE - Personnel Security Overview, or its successor; PSC 110 Clearance Action Tracking System Overview; and PSC-200 Processing Fundamentals.

The Contractor shall ensure personnel performing as Adjudicative Support staff (Screeners/Adjudicators) have completed required Personnel Vetting courses commensurate with their positions, complete Personnel Vetting gap training, and required Personnel Vetting Refresher training. As a minimum, the Contractor shall ensure Adjudicative Support staff complete NTC training: PSC 100DE or its

PWS DRAFT 9

successor; PSC 110 and PSC 300 - Adjudication Fundamentals. PSC 300 must be completed within one year from the date of the appointment to adjudicative duties.

Adjudicative Support staff are prohibited from making eligibility recommendations until they have completed all required NTC training or other nationally approved training and/or have received adequate initial on the job training as determined by the

CPSO.

The Contractor shall conduct and supervise on the job training for personnel assigned as Processors and Adjudication Support staff. The Contractor shall document training and provide to DOE upon request.

4.3.2 Management of National Security Cases

4.3.2.1 Process personnel vetting requests for national security case actions, clearances and other actions in accordance with Trusted Workforce 2.0, IRTPA, and other national level and DOE timeframes.

4.3.2.2 Provide and perform all necessary services to receive, review and process national security cases through the Case Action Tracking System (CATS) electronic Clearance Action Request (eCAR) portal.

4.3.2.3 Receive and initiate national security cases in the eCAR portal for federal employees, direct support contractors (HQ and Field) other SC Sites and DOE Program Offices.

4.3.2.4 Use the Defense Counterintelligence and Security Agency (DCSA) National Background Investigation Services (NBIS) e-Application System (eAPP) to initiate and process national security background applications and manage them through the investigation's process.

4.3.2.5 Perform data entry in authorized database systems to ensure an audit trail of national security cases can identify actions requested, actions pending and completed.

4.3.2.6 Ensure pending national security investigations are cancelled upon request as required by DOE O 472.2.A, or successor, except when the interest will default to another CPSO. In those cases, coordinate with the gaining CPSO to transfer cognizance of the PSF and pending investigation to the gaining

CPSO.

4.3.2.7 Use authorized database systems to assess the quality of national security eAPP packages received for processing and track rejections to identify trends and gaps. Produce and provide monthly metrics to DOE.

4.3.2.8 Use authorized database systems to ensure all requested investigations are scheduled and received. Provide metrics to DOE monthly.

4.3.2.9 Use authorized database systems to develop and maintain a system to identify and track national security cases due/overdue for periodic reinvestigation, in compliance with Trusted Workforce 2.0, other national and DOE requirements.

4.3.2.10 Develop and maintain a system to issue notifications of completed national

PWS DRAFT 10

security actions to SC Sites/Facilities and DOE Program Offices.

4.3.2.11 Use authorized database systems to develop and produce monthly metrics to identify issues with national security investigation requests released to DCSA, identify quality issues identified by DCSA including cases returned and DCSA requests for additional information. Provide to DOE monthly.

4.3.2.12 Develop and issue notification of completed national security vetting actions to SC Sites/Program Offices/Facilities and DOE Program Offices.

4.3.2.13 Develop Desk Guides for Processing Staff.

4.3.2.14 Adhere to Local standard operating procedures. Review and recommend changes to CPSO at least annually or as requested.

4.3.2.15 Perform data entry in authorized database systems to ensure an audit trail of clearance actions, to identify specific clearance activities and timeliness of clearance requests and to track PSF location.

4.3.2.16 Ensure cancellation or continuance of pending investigations, as required.

4.3.2.17 Issue weekly reports to sites/facilities to identify clearance actions.

4.3.2.18 Maintain a reinvestigation system to track and identify overdue periodic reinvestigation in compliance with national and DOE requirements.

4.3.2.19 Provide and perform all necessary services to review for completeness and processing of security-related documents.

4.3.2.20 Develop metrics to assess the quality of e-APP packages and other clearance requests submitted by the sites to identify trends and gaps.

4.3.2.21 Implement new Trusted Workforce 2.0 initiatives, other national level and

DOE requirements.

4.3.2.22 Maintain, update, and adhere to local standard operating procedures.

4.3.3 Adjudication

4.3.3.1 Perform all necessary services to conduct preliminary reviews of National

Security cases to present to DOE for final adjudicative decision. Screen and adjudicate assigned work in accordance with national level and DOE regulations and time frames to include but not limited to identifying investigations that do not meet Federal Investigative Standards, drafting, dispatching and tracking Letters of Interrogatory, requesting a counterintelligence review, requesting a psychological evaluation, requesting additional coverage through a Reimbursable Suitability Investigation, and recommending administrative termination for non-compliance.

4.3.3.2 Perform all necessary services to complete preliminary adjudicative reviews of Continuous Evaluation alerts, Information Reports or any additional investigative product assigned by the CPSO in accordance with national level and DOE regulations and time frames to present to DOE with recommendations for additional adjudicative actions deemed necessary.

PWS DRAFT 11

Complete approved additional adjudicative actions to include drafting, dispatching and tracking Letters of Interrogatory, requesting a counterintelligence review, requesting a psychological evaluation, requesting additional coverage through a Reimbursable Suitability Investigation, and recommending administrative termination for non-compliance.

4.3.3.3 Analyze responses from applicants or incumbents and make final recommendations based on suitability and security criteria consistent with the national security adjudicative guidelines or personnel vetting factors.

4.3.3.4 Develop administrative memoranda, Statements of Security Concerns, and other correspondence in support of a recommendation for Administrative Review.

4.3.3.5 Adhere to local standard operating procedures. Review and recommend changes upon request.

4.3.3.6 Perform all necessary services to screen and adjudicate background investigations in accordance with national level and DOE timeframes to include, but not limited to: requesting a psychological evaluation, identifying investigations that do not meet Federal Investigative Standards, requesting additional coverage through a Reimbursable Suitability Investigation, and recommending administrative termination for non-compliance.

4.3.3.7 Adhere to local standard operating procedures.

4.3.4 Personnel vetting – Non-Sensitive Public Trust Cases (Including HSPD-12)

4.3.4.1 Process NSPT requests and other actions in accordance with Trusted Workforce 2.0 requirements, IRTPA, other national level and DOE time frames.

4.3.4.2 Provide and perform all necessary services to receive, review for completeness and processing of NSPT documents for federal employees, direct support contractors (HQ and Field), other SC Site and Program Offices.

4.3.4.3 Initiate and process NSPT investigations through the Defense Counterintelligence and Security Agency (DCSA), National Background Investigations Services (NBIS) e-Application system and manage them through the investigations’ process.

4.3.4.4 Perform data entry in authorized database systems to ensure an audit trail of NSPT actions, to identify specific NSPT requests and activities.

4.3.4.5 Develop and maintain a system to track, identify and correct processing errors of NSPT cases; assess monthly IRTPA performance related to NSPT processing submissions, timeliness and quality as reported by DCSA including additional requests for information (RFI) and Unacceptable cases.

PWS DRAFT 12

Provide metrics to DOE monthly.

4.3.4.6 Develop and maintain a system to assess quality of eAPP packages for

NSPT cases received from SC HQ, SC Sites and DOE Program Offices and track rejections to identify trends and gaps. Provide metrics to DOE monthly.

4.3.4.7 Cancel pending NSPT investigation upon request as required, except when the interest will default to another CPSO. In that case coordinate with the gaining CPSO to transfer cognizance of the pending investigation.

4.3.4.8 Develop and maintain a system to track all requested NSPT investigations have been scheduled, completed and received.

4.3.4.9 Implement new Trusted Workforce 2.0 initiatives, other national level and DOE requirements.

4.3.4.10 Adhere to local standard operating procedures. Review and recommend changes annually or upon request.

4.3.4.11 Perform all necessary services to conduct preliminary adjudicative reviews of NSPT and low risk public trust cases to present to the government for final adjudicative decision.

4.3.4.12 Perform all necessary services to conduct preliminary adjudicative reviews of Continuous Evaluation alerts, Information Reports or any additional investigative product assigned from the CPSO in accordance with national level and DOE regulations and time frames to present to DOE. This includes but is not limited to: identifying investigative products that do not meet Federal Investigative Standards, drafting, dispatching and tracking Letters of Interrogatory, requesting a Counterintelligence review, requesting a psychological evaluation, requesting additional coverage through a Reimbursable Suitability Investigation, and recommending discontinuing for non-compliance.

4.3.4.13 Analyze responses from NSPT applicants or incumbents and make final recommendations to present to DOE consistent with the OPM Credentialing Standards other personnel vetting factors and DOE O 472.2A, Appendix G or successor.

4.3.4.14 Develop administrative memoranda in support of the Unfavorable PIV Determination process and PIV Appeals process.

4.3.4.15 Review HSPD-12 packages to ensure information is complete and consistent with procedures/policies in accordance with national level and DOE timeframes.

4.3.4.16 Facilitate the processing of HSPD-12 requests for federal employees in accordance with national level and DOE timeframes.

4.3.4.17 Issue weekly reports to sites/facilities to identify PIV actions including, but not limited to preliminary PIV approvals, final PIV approvals and PIV

PWS DRAFT 13

denials.

4.3.5 Vault/Records Management

4.3.5.1 Perform all necessary services to maintain control and accountability for the active and terminated PSFs (classified and unclassified) and HSPD-12 files, in accordance with DOE policies, Orders, and NARA guidelines.

4.3.5.2 Develop and implement procedures to digitize physical PSFs into the approved DOE records system.

4.3.5.3 Develop and implement procedures to digitize HSPD-12 files into the approved DOE system.

4.3.5.4 Develop and implement requirements to destroy PSF and HSPD-12 files after quality reviews of the digitized files have ensured accuracy and completeness.

4.3.5.5 Develop and implement requirements to archive terminated PSFs for five

(5) years after the security clearance is terminated.

4.3.5.6 Develop and implement requirements to destroy terminated and archived PSFs past the 5-year retention date.

4.3.5.7 Develop and implement record management procedures and records to track digitization of PSFs and HSPD-12 files, retirement of PSFs and destruction of PSFs and HSPD-12 files.

4.3.5.8 Develop and maintain updated Desk Guides to outline each processing function.

4.3.5.9 Review and recommend changes to local operating procedures as updated by the CPSO. Recommend changes to records management procedures to facilitate personnel security operations, as needed.

4.3.5.10 Perform all necessary services to maintain control and accountability for the active and terminated PSFs (classified and unclassified) in accordance with DOE policies, Orders, and guidelines.

4.3.5.11 Facilitate the implementation of DOE Records Inventory and Disposition Schedules.

4.3.5.12 Recommend changes to records management procedures to facilitate personnel security operations, as necessary.

4.3.5.13 Disposition of terminated security files (cubic feet conversation)

4.3.5.14 PIV File management/disposition

4.3.6 Administrative Review Program

4.3.6.1 Prepare all Administrative Review (AR) correspondence as requested by the

CPSO.

4.3.6.2 Schedule and coordinate AR hearings in consultation with the DOE Office of Hearings and Appeals (OHA) h Administrative Judge and the DOE

PWS DRAFT 14

Attorney appointed as the Hearing Counsel.

4.3.6.3 Schedule expert witnesses (i.e. the DOE consultant psychologist, etc.) to testify in AR hearings, as requested though a Work Order.

4.3.6.4 Schedule a court reporter to provide transcription support for AR hearings.

4.3.6.5 Prepare AR Hearing Exhibit Books with all documents requested by the appointed DOE Attorney and/or the Administrative Judge. Provide the AR Hearing Exhibit Books to the DOE Attorney within 30 days of the scheduled hearing or as requested.

4.3.6.6 Receive and review completed hearing transcripts for accuracy and completeness and provide to the government.

4.3.7 Other Services

4.3.7.1 Maintain and protect personnel security documents in accordance with CUI guidelines.

4.3.7.2 Provide reports in support of surveys, reconciliations, and clearance validation efforts, upon request (or as required).

4.3.7.3 Prepare all correspondence in accordance with DOE correspondence standards.

4.3.7.4 Support Freedom of Information Act (FOIA) requests IAW DOE specified timeline.

4.3.7.5 Develop and maintain a training program to ensure personnel are adequately trained.

4.3.8 Human Reliability Program (HRP) Administration

4.3.8.1 The Contractor shall provide support in processing HRP packages submitted to request new HRP access or annual HRP recertification to ensure packages are complete and consistent for submission to the Certifying Official(s), in accordance with 10 Code of Federal Regulations (CFR) Part 712, Human Reliability Program.

4.3.8.2 Enter data into authorized database systems for accountability.

4.3.9 Badge Fabrication and Administration

The Contractor shall provide badging support to the federal staff and site M&O and/or prime contractors and other contractors in accordance with current DOE O 470.4, Safeguards and Security Program, DOE O 206.2 Change 2, Identity, Credential, and Access Management (ICAM), and DOE O 473.3, Protection Program Operations, Chapter IX DOE Security Badge, and Local Site Specific Badge Program. The Contractor shall fabricate badges with Government furnished equipment to Government furnished specifications.

4.3.9.1 Manage badging functions, including document preparation; fingerprinting;

badge preparation; enrollment in the site badge reader system; issuance of

PWS DRAFT 15

badges; and citizenship verification for all individuals authorized access.

4.3.9.2 Conduct the appropriate security briefing and verify that a Standard Form

312, Classified Information Nondisclosure Agreement, has been properly completed and signed.

4.3.9.3 Update badging database depicting imaging/enrollment records and all other relevant data. Document when clearances are terminated and badges are retrieved. Notify site M&O and/or prime contractors and other contractors as necessary when access authorizations are terminated.

4.3.9.4 Maintain records of badge request forms and an inventory for all issued badges.

4.3.9.5 Notify site M&O and/or prime contractors and other contractors of lost/stolen badges.

4.3.9.6 Ensure accountability of DOE badge materials to protect against loss, theft or unauthorized use.

4.3.9.7 Support site M&O and/or prime contractors and other contractors as necessary in the preparation and establishment of Local Site Specific Only (LSSO) procedures and processes.

4.3.9.8 Support HSPD-12 and LSSO Program Managers in the development of formal programs, policies and procedures.

4.3.9.9 Develop Desk Guides for Badging Staff assigned to the DOE Badge Office and based upon the work location.

4.3.9.10 Provide HSPD-12 enrollment and activation support to other government agencies.

4.3.9.11 Based upon the work location, follow the Site Security Plan and standard operating procedures.

4.3.9.12 Support self-assessments and assist in developing metric and reports as requested.

4.3.9.13 Maintain a comprehensive and integrated electronic database with the capability to retrieve data and generate periodic reports depicting the issuance of security badges.

4.3.10 Workplace Substance Abuse Programs

4.3.10.1 Provide administrative and coordination services for the drug and alcohol testing program in accordance with 10 CFR Part 707, Workplace Substance Abuse Programs, (WSAP) for personnel assigned to the Protective Force and the technical services contractor.

4.3.10.2 Provide DOE with drug and alcohol testing results.

4.3.11 Classified Visits & Assignments

4.3.11.1 Assist in the review of information, processing, coordination, and approval

PWS DRAFT 16

of classified visits.

4.3.11.2 Transmit correspondence related to processing of classified visits.

4.3.11.3 Maintain DOE Form 473.6, Request for Visitor Access Approval, and other documentation in accordance with DOE records management requirements.

4.3.11.4 Assist in the processing, coordination, liaison, and approval of foreign visits and assignments packages.

4.3.11.5 Enter visitor information data into the appropriate database(s).

4.3.11.6 Prepare and transmit correspondence related to processing of visit and assignments.

4.3.11.7 Develop and maintain a standard operating procedure.

4.3.12 Psychological Services

Contractor shall have the capability to provide psychological evaluation services through psychiatrists and/or licensed clinical psychologists, and court reporting services at all times to ensure the integrity of the personnel vetting and Administrative Review processes. The number of evaluations performed cannot be predicted; however, historical data has shown fluctuating needs. For FY24 the CPSO averaged 20 psychological evaluations and 16 Administrative Review hearings annually. As such, the contractor is required to have the capability of meeting the ever-changing demands of this service.

4.3.12.1 Psychological Evaluation Support

4.3.12.1.1 Conduct evaluations to determine national security eligibility pursuant to 10 CFR Part 710 for initial clearance applicants and current clearance holders and/or to determine credentialing eligibility for initial UPIV applicants or current UPIV holders pursuant to DOE O 472.2A, Appendix G, Personal Identity Verification.

4.3.12.1.2 Conduct file reviews of individuals referred to by DOE, as requested.

4.3.12.1.3 Administer a drug screen and/or alcohol test when applicable.

4.3.12.1.4 Submit a final report to the CPSO within 10 days of the evaluation. This report must summarize the information obtained during the evaluation to include a diagnosis and a statement as to whether the individual has a defect in judgment or reliability.

4.3.12.1.5 Provide expert witness testimony during the Administrative Review hearings process.

4.3.12.1.6 Consult with DOE Hearing Counsel as needed for consultation and preparation of expert witness testimony.

4.3.12.2 Court Reporting

4.3.12.2.1 Provide court reporting capabilities in support of the

PWS DRAFT 17

Administrative Review process.

4.3.12.2.2 Provide a final transcript to the CPSO within 10 days of the administrative review hearing.

4.3.13 Credit Reports

4.3.13.1.1 Obtain individual credit bureau reports (Equifax, Experian and Trans Union) when requested by DOE.

4.4 FOREIGN OWNERSHIP, CONTROL, OR INFLUENCE (FOCI)/ FACILITY

CLEARANCE (FCL) PROGRAM

4.4.1 FOCI Program

The FOCI Program ensures that U.S. companies subject to a Facility Clearance (FCL) determination, and with foreign investment, adequately safeguard classified information and prevent unauthorized access to critical technologies and classified matter. This is consistent with national security and export control objectives, by mitigating the risk that foreign interests could undermine U.S. security. The contractor is responsible for all aspects of SC FOCI program management other than approving FOCI determinations.

4.4.1.1 Policy Evaluation and Guidance: Evaluate and interpret relevant DOE directives and national industrial security policies, including those associated with Atomic Energy Act information (e.g., Restricted Data, Formerly Restricted Data, Special Nuclear Material, Other Accountable Nuclear Material), for their direct impact and application to the FOCI program.

4.4.1.2 FOCI Submission and Assessment: Conduct comprehensive reviews of FOCI submissions from facilities, including detailed assessments and recommendations concerning Key Management Personnel (KMP), and Facility Security Officers (FSOs) to ensure alignment with FCL eligibility and national security interests. This also includes evaluating Standard Form (SF) 328, Certificate Pertaining to Foreign Interest, and associated corporate structure, financial, and legal documentation.

4.4.1.3 FOCI Mitigation Strategy Development and Implementation: Formulate, recommend, and oversee the implementation of appropriate FOCI mitigation strategies for entities identified as possessing FOCI that exceeds established risk thresholds. This must be conducted in strict accordance with regulatory guidelines and DOE policy to prevent unauthorized access or adverse impacts on contract performance.

4.4.1.4 FOCI Documentation and Data Management: Accurately complete and maintain FOCI data sheets and all required FOCI information for all relevant entities within the DOE e-FOCI system, ensuring completeness and currency.

4.4.1.5 Contractor and Stakeholder Engagement: Provide clear and accurate information and guidance to contractor companies regarding FOCI requirements, processes, and any mandated reporting or mitigation

PWS DRAFT 18

activities. This includes communication with prime contractors and subcontractors at all tiers, educational institutions, public utilities, and public/private organizations.

4.4.1.6 Security Database Verification: Verify the accuracy and completeness of FOCI data entered into the Safeguards and Security Information Management System (SSIMS), e-FOCI, or other equivalent designated security databases.

4.4.1.7 FOCI Records Maintenance: Establish and maintain comprehensive, organized, and auditable FOCI case files and related documentation, adhering to applicable records retention schedules.

4.4.1.8 Final FOCI Determination Coordination: Facilitate and coordinate the process for obtaining final FOCI determinations by federal authorities, ensuring all necessary reviews and approvals are secured.

4.4.1.9 Procedural Review and Enhancement: Provide timely recommendations to the FOCI Program Manager for the ongoing revision and improvement of local implementing procedures and guidance, based on policy changes, lessons learned, and identified best practices within the FOCI program.

4.4.2 FCL Program Management

The FCL Program, also known as Entity Eligibility Determination (EED), ensures that DOE, DOE contractor, and other Federal government agency (OGA) facilities engaged in DOE activities are eligible for access to, and meet the requirements to possess and secure, classified information or matter, Special Nuclear Material (SNM), Other Accountable Nuclear Material (OANM), other hazardous material posing a potential sabotage threat, and/or other DOE security assets. This program supports national security objectives by establishing and maintaining FCLs.

4.4.2.1 Policy Evaluation and Guidance: Evaluate and interpret relevant DOE directives and national industrial security policies, including those associated with Atomic Energy Act information (e.g., Restricted Data, Formerly Restricted Data, Special Nuclear Material, Other Accountable Nuclear Material), for their direct impact and application to the FCL program.

4.4.2.2 Facility Registration and Eligibility Support: Assist facilities with the preparation and submission of registration information necessary for FCL processing, including data required for initial and ongoing eligibility determinations. Coordinate with OGAs to establish FCL reciprocity and process reciprocity requests received by SC.

4.4.2.3 Stakeholder Coordination and Resolution: Interact with DOE and contractor personnel, including Cognizant Security Officers (CSOs) and Industrial Security Service Providers (ISSPs), to resolve discrepancies, address omissions, and clarify information related to FCLs and associated security activities.

4.4.2.4 Contract Security Classification Specification (CSCS) Processing and

PWS DRAFT 19

Quality Assurance: Process incoming DOE F 470.1 (CSCS) forms and conduct thorough quality assurance reviews to ensure accuracy, completeness, and compliance with classification guidance and contractual requirements.

4.4.2.5 CSCS Submission Coordination: Coordinate the timely submission of DOE F 470.1 forms from procurement request originators, prime contractors, and subcontractors, ensuring all required security clauses are incorporated.

4.4.2.6 FCL Form Correspondence Management: Prepare and dispatch official correspondence pertaining to FCL forms, including but not limited to approvals, denials, suspensions, and terminations.

4.4.2.7 Facility Data and Approval Record (FDAR) Management: Process, update, and maintain DOE F 470.2 (FDARs) to accurately reflect approvals, changes, and terminations of FCL security information and other facility data in SSIMS.

4.4.2.8 FCL Information Notification: Transmit official notifications and updates regarding FCL information to relevant internal and external stakeholders, as required by DOE policies and national standards.

4.4.2.9 FCL Record Keeping: Maintain comprehensive and organized files for both active and terminated FCLs, ensuring files are retained in accordance with NARA records retention schedules.

4.4.2.10 FCL and Registration Verification: Verify FCL and security activity registration information upon request from authorized personnel or entities.

4.4.2.11 CSCS Log Maintenance: Maintain a detailed log of all CSCS forms for tracking and audit purposes.

4.4.2.12 SSIMS Database Management: Administer and maintain the SSIMS database to ensure accurate and current registration of FCLs, security activities, and related security data to include CSCS forms.

4.4.2.13 Procedural Recommendations for Program Improvement: Provide recommendations to the FCL Program Manager for the continuous revision and improvement of local implementing procedures and guidance, drawing upon operational experience and policy updates.

4.5 Safeguards and Security Survey Program

The OSS conducts S&S surveys of SC and EM for compliance with Departmental and national level policies, requirements and standards for the protection of security assets and interests. The contractor shall deliver timely, high quality, cost-effective services in support of the SC survey program. The contractor shall provide trained, qualified and appropriately cleared personnel to ensure that the survey program meets all survey and self-assessment activities as outlined in DOE O 470.4C (or successor) and SC Management System (SCMS) implementing procedures. The contractor shall be expected to work with other contractors.

Travel may be required for on-site assessments and other activities at a variety of facilities.

4.5.1 Evaluate and interpret relevant DOE S&S and oversight directives and national

PWS DRAFT 20

industrial security policies, including those associated with Atomic Energy Act information (e.g., Restricted Data, Formerly Restricted Data, Special Nuclear Material, Other Accountable Nuclear Material), for their direct impact and application to the SC Survey program.

4.5.2 Maintain and…