CPOC 2.0 PWS.pdf

Defense Counterintelligence and Security Agency Federal Investigative Records Enterprise

Case Processing Operations Center Performance Work Statement

1. INTRODUCTION

The Defense Counterintelligence and Security Agency (DCSA) requires Contractor-provided Case Processing Operations Center (CPOC) services, which are considered necessary to deliver, in part, the Personnel Security and Federal background investigation mission. The following sections of this Performance Work Statement (PWS), as supplemented by attachments and all applicable publications, cover in significant detail the services required from the Contractor.

This is a non-personal services contract to provide CPOC services related to personnel security and Federal background investigations. The Government will not exercise direct supervision or control over the contract service providers performing the services herein. Such contract service providers shall be accountable solely to the Contractor who, in turn is responsible to the Government.

1.1. Description of Services/Introduction: The Contractor shall provide all personnel, equipment, supplies, facilities, transportation, tools, materials, supervision, and other items and services necessary to perform the requisite CPOC services related to personnel security and Federal background investigations, as defined in this PWS, except for those items specified as Government Furnished Property Equipment and Services described in Section 3. The Contractor shall perform to the standards in this PWS.

1.2. Background: The personnel security and Federal investigative mission relies on the efficient and effective delivery of background investigations to safeguard the integrity and trustworthiness of the Federal and Contractor workforce. Currently, DCSA provides the majority of the Government’s background investigations. This requirement is for mission critical functions necessary for the processing of background investigations for the personnel security and background investigation mission needs.

1.3. Objectives: The overall objective of this requirement is to provide quality services in support of the background investigations for Federal Government applicants, employees, and Contractors performing sensitive work, as well as individuals being investigated due to Federal regulatory requirements. The specific functions required to carry out this objective are listed below.

1.4. Scope: This PWS establishes the requirements for Contractor provided CPOC services, which are directly related to personnel security and Federal background investigation processing. The types of Contractor-provided investigative services include the following:

o Telephone and Switchboard Services.

o Case Processing, to include: Application Ingestion, Case Maintenance, Item Level Processing, and

Post Closing.

• Expedited Work: Due to sometimes unforeseen urgency, the Contractor is responsible for fulfilling expedited item/case requests as required.

o Continuous Vetting o Program Management o Support for the transition to future system implementation, to include, but not limited to:

Training Support, User Acceptance Testing Support, and Program Management Support.

o Implement a flexible, cost-efficient business model with the capacity to adapt to iterative policy and process changes—such as those anticipated for Trusted Workforce 2.0 and the future IT system—with agility and urgency as dictated by Executive Agents;

o Accommodate limitations in the Government’s ability to predict future background investigation requests (e.g., case volume, type, timing, and complexity);

o Transition from the current background investigation case processing system to the future IT system (s), with the understanding that DCSA will likely use multiple systems at some point during the life of these contracts (there may be situations where multiple systems are used simultaneously);

o Obtain consistent, quality investigative products at both the enterprise case level and the item level in accordance with strict timeliness mandates, Federal Investigative Standards (FIS), Department of Defense (DoD) cybersecurity policies, and DCSA protocols and procedures;

o Balance current case types with future emerging background investigative requirements—such as a growing population covered by continuous vetting, which may require on-demand targeted investigations;

o Support the quality of investigations by ensuring the quality, integrity, and accuracy of the personnel completing background investigations; and o Support the quality of investigations by ensuring the quality, integrity, compliance, and accuracy of the processes used to complete background investigations.

The Contractor will complete personnel security and background investigation services in accordance with the FIS and Trusted Workforce 2.0. Personnel security and background investigation services will include, but are not limited to, conducting searches, receiving records from various repositories as well as inquiries for review and validation and schedule additional work as appropriate. Approaches for supporting investigation services will include collection of information as well as potentially emerging uses of collaboration and supporting technologies as provided for in the DCSA investigative policies and procedures.

This work also includes the functions that exist from scheduling an investigation through the delivery of completed investigations, support of continuous vetting through the receipt of new investigative forms and/or resolution of issues. Continuous vetting provides checks on an individual more frequently and aims to promote delivery of real-time information. Most but not all agencies have fully implemented Continuous Vetting (CV) procedures. Successful performance of these background investigation services for the Government is required without fail or risk to national security or other agency missions.

The personnel security and background investigation mission is evolving, and DCSA anticipates statutory, policy and technological changes during the life of this contract. These changes will have known and unknown impacts to current standards and operating procedures. Additional uncertainty exists given limitations in the Government’s ability to predict future volumes of background investigations. The Contractor must be able to sustain mission support, while adapting to a changing mission environment throughout the life of the contract.

DCSA requires the ability to order any product type and service daily based on customer agency scheduling. The projected volume of cases available for distribution is dependent upon the cases submitted by the customer agencies. Agency projections provide estimated workloads, but those may be influenced by a variety of factors such as budgetary constraints or agency priorities. As a result, the number and types of cases assigned to the contractors under the contract will fluctuate, at times with little warning.

Further, the Contractor will provide flexible approaches for supporting investigation services for the Federal Government by adapting to emerging uses of collaboration and supporting technologies. At some point during the life of this contract, the Government anticipates a transition from the current background investigations processing system to a future IT system. If this occurs, the Contractor will perform functions related to the transition and implementation of the new IT system to ensure continuity of operations and compliance with all related guidance. The types of functions anticipated include, but are not limited, to the following: training support, user acceptance testing support, and program management.

1.5. Period of Performance: The Indefinite Delivery Indefinite Quantity (IDIQ) contract will have a five-year base period with an optional six-month extension. Task Orders (TOs) awarded under this IDIQ may have up to a 12-month base period plus up to four 12-month options periods. Any TOs issued in the last year of the base ordering period may extend no more than 12 months beyond the base contract expiration date.

1.6. General Information:

1.6.1. Quality Control: The Contractor shall develop and maintain an effective quality control program to ensure services are performed in accordance with this PWS. The Contractor shall develop and implement procedures to identify, prevent, and ensure non-recurrence of defective services. The Contractor’s quality control program is the means by which the Contractor assures that their work complies with the requirement of the contract. The Contractor shall provide its initial Quality Control Plan (QCP) with its proposal submission, in accordance with Section L, and an updated QCP to the Contracting Officer (KO) and Contracting Officer’s Representative (COR) within thirty (30) days of Contract Effective Date (see Technical Exhibit H – Deliverables Schedule). The Contractor shall submit an updated QCP to the COR within five (5) Business Days of the Government’s request thereafter. The Contractor shall provide notice to the KO when changes are made to its QCP.

1.6.2. Quality Assurance: The Government will evaluate the Contractor’s performance under this contract in accordance with the Quality Assurance Surveillance Plan (QASP). This plan is primarily focused on what the Government must do to ensure that the Contractor has performed in accordance with the performance standards. It defines how the performance standards will be applied, the frequency of surveillance, and the minimum acceptable defect rate(s).

1.6.3. On-Site Working Conditions, Holidays and other Closures:

1.6.3.1. DCSA facilities are smoking restricted workplaces. Due to the nature of the work, facilities, and requirements, Contractor staff may only smoke outside in designated smoking areas.

1.6.3.2. The Government expects the Contractor will establish normal operating hours under this contract between 5:30 a.m. to 6:00 p.m. Eastern Time (ET) Monday through Saturday. The Contractor’s

Program Manager (PM) and the Government COR shall consult and coordinate on any alternate work schedules that may be arranged depending on the operational tempo/needs of the mission. The Contractor is responsible for providing their work schedules to the Government COR through the monthly status report. The Contractor is not permitted to remove GFE from the on-site location without coordinating approval in advance.

1.6.3.3. Government personnel observe the following days as holidays and the Government facilities will be closed and unavailable to Contractor personnel on the following days:

New Year’s Day January 1st* Martin Luther King’s Birthday Third Monday in January President’s Day Third Monday in February Memorial Day Last Monday in May Juneteenth National Independence Day June 19* Independence Day July 4th* Labor Day First Monday in September Columbus Day Second Monday in October Veterans Day November 11th* Thanksgiving Day Fourth Thursday in November Christmas Day December 25th*

*If the date falls on a Saturday, the Government holiday is the preceding Friday. If the date falls on a Sunday, the Government holiday is the following Monday.

1.6.3.4. In addition to the days designated as holidays, the Government observes the following days:

• Any other day designated by Federal Statute

• Any other day designated by Executive Order

• Any other day designated by the President’s Proclamation

1.6.3.5. It is understood and agreed between the Government and the Contractor that observance of such days by Government personnel shall not otherwise be a reason for an additional period of performance, or entitlement of compensation except as set forth within the contract. In the event the Contractor's personnel work during the holiday, they may be reimbursed by the Contractor; however, no form of holiday or other premium compensation will be reimbursed either as a direct or indirect cost, other than their normal compensation for the time worked.

1.6.3.6. If Government personnel are unavailable due to furlough or any other reason, the Contractor must contact the KO or the COR to receive direction. It is the Government's decision as to whether the contract price/cost will be affected. Generally, the following situations apply:

1.6.3.6.1. Contractor personnel who are able to continue contract performance (either on-site or at a site other than their normal workstation), must continue to work and the contract price shall not be reduced or increased.

1.6.3.6.2. Contractor personnel who are not able to continue contract performance (e.g., support functions) may be asked to cease their work effort. This may result in a reduction to the contract.

1.6.3.7. Contractor personnel attendance at Government social events, such as the annual picnic, holiday parties, etc., is at the Contractor’s discretion. Contractor personnel shall obtain the approval of their company’s supervisor prior to the event. Contractor personnel shall coordinate attendance with the COR and ensure no delay in performance or degradation in services will occur as a result of Contractor personnel attendance at any Government social event. The Government is not responsible for reimbursing any expenses to the Contractor for attending any Government social event. It is expected attendance will not impact the performance of this contract. The Contractor agrees to continue to provide sufficient personnel to perform tasks already in operation or scheduled, and must be guided by the instructions issued by the KO or COR.

1.6.4. Hours of Operation: The Contractor must maintain an adequate workforce for the uninterrupted performance of all tasks defined within this PWS. When hiring personnel, the Contractor shall keep in mind that the stability and continuity of the workforce are essential. The Contractor’s PM and the COR shall consult and coordinate on any proposed alternate work schedule that may be arranged depending on the operational tempo/needs of the mission. This must be done in writing and cannot be done after the fact. Please note, employees subject to the Fair Labor Standards Act (FLSA) will have to be paid at time and a half for overtime. The employees exempt from the FLSA will be paid at their normal hourly rate. If not approved by the Government, the Contractor authorizes and works overtime at the Company’s expense.

1.6.5. Telework: The term 'telework' or 'teleworking' refers to a work flexibility arrangement under which an employee performs the duties and responsibilities of such employee's position, and other authorized activities, from an approved worksite other than the location from which the employee would otherwise work. In practice, telework is a work arrangement that allows employees to have regularly scheduled days on which they telework and regularly scheduled days when they work in their agency worksite. This includes any arrangement where employee conducts work activities during any regular, paid hours, from an alternative location mutually agreeable to the employee and the agency (i.e., home). Telework is permitted for classified work under this contract. All telework employees will be tracked and identified on the staffing report quarterly. Contractors will follow their company’s telework policies if telework is permitted. All Contractor personnel teleworking on this contract will be responsible for safeguarding all GFE, information, and materials in accordance with the National Industrial Security Program Operating Manual (NISPOM) 32 CFR § 117, Requirements for the Protection of Personally Identifiable Information (PII) (see Technical Exhibit E), Background Investigation Operational Policy Memorandum 2-005: Controlled Unclassified Information (CUI) Marking Guidance for Documents Containing PII (see 7.1.1.21.), and DoD Instruction 5200.48 Controlled Unclassified Information. The Government will bear no costs to support telework for Contract Personnel and is not required to furnish Government Property as workspace is available at the Government Facility.

1.6.6. Remote Work: Remote work is defined as a flexible work arrangement in which an employee, under a written remote work agreement, is scheduled to perform work at an alternative worksite and is not expected to perform work at an agency worksite on a regular and recurring basis. A remote worker’s official worksite may be within or outside the local commuting area of an agency worksite. All remote work employees will be tracked and identified on the staffing report monthly. Contractors will follow their company’s remote work policies if remote work is permitted. All Contractor personnel performing remote work on this contract will be responsible for safeguarding all Government equipment, information, and materials in accordance with the NISPOM) 32 CFR § 117, Requirements for the Protection of PII (see Technical Exhibit E), Background Investigation Operational Policy Memorandum 2- 005: Controlled Unclassified Information Marking Guidance for Documents Containing PII (see 7.1.1.21.), and DoD Instruction 5200.48 Controlled Unclassified Information. The Government will bear no costs to support remote work for Contract Personnel and is not required to furnish Government Property as workspace is available at the Government Facility.

1.6.7. Place of Performance: The work under this contract will be performed at Boyers, Pennsylvania, St.

Louis, Missouri, or at an alternate approved location, as appropriate for the related effort.

1.6.8. Type of Contract:

This is a single-award Indefinite-Delivery/Indefinite-Quantity (IDIQ) contract which will allow the Government to issue firm fixed price (FFP) TOs. TOs will be for FFP services priced by job type. Positive or negative incentives may also apply to contract prices, as described under sections 6.5. and 6.6. of this document.

Changes to the mission environment will require the parties to negotiate prices for new work and/or renegotiate prices for existing work, as underlying levels of effort increase or decrease. If this occurs, both DCSA and the Contractor agree to negotiate in good faith using existing pricing, DCSA workload estimates, and Service Contract Labor Standards (SCLS) requirements as the initial basis for new pricing.

Proposed price changes that do not align with existing pricing, DCSA workload estimates, and/or SCLS requirements will require the requesting party to submit compelling rationale explaining the basis of its position. Moreover, any newly negotiated prices will need to be deemed fair and reasonable by the KO prior to incorporation into the contract.

1.6.8.1. Partial Offset: At times throughout the life of this contract, DCSA may warrant the need to have specific items completed by Federal Staff, in lieu of Contractor completion, in accordance with Section

5.3.3. The Contractor’s monthly invoice will be offset by the number of items or cases completed in the prior month (month being invoiced) based upon the agreed level of effort and contract CLIN price or as negotiated by the KO and Contractor.

1.6.9. Security Requirements: Contractor personnel performing work under this contract must meet the security requirements, as identified in Technical Exhibit C of the contract and must maintain the level of security required for the life of the contract.

1.6.9.1. Physical Security: The Contractor shall be responsible for safeguarding all Government equipment, information and property provided for Contractor use. At the close of each work period, Government facilities, equipment, and materials shall be secured. The Contractor shall safeguard and secure the identified equipment, information, property, facilities, and materials in accordance with the NISPOM 32 CFR § 117 and Technical Exhibit C.

1.6.9.2. Keys and Key Card Control, to include Common Access Cards (CAC) / Personal Identity Verification (PIV) cards: The Contractor shall establish and implement methods of making sure all keys and key cards issued to the Contractor by the Government are not lost or misplaced and are not used by unauthorized persons, in accordance with the security requirements. The Contractor shall immediately report any occurrences of lost key cards to the COR. NOTE: All references to keys include key cards. No keys issued to the Contractor by the Government shall be duplicated. The Contractor shall develop procedures covering key control that shall be included in the QCP. Such procedures shall include turn-in of 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/key cards to the KO.

1.6.9.2.1. In the event keys, other than master keys, are lost or duplicated, the Contractor shall, upon direction of the KO, re-key or replace the affected lock or locks; however, the Government, at its option, may replace the affected lock or locks or perform re-keying. When the replacement of locks or re-keying is performed by the Government, the total cost of re-keying or the replacement of the lock or locks shall be deducted from the monthly payment due the Contractor. In the event a master key is lost or duplicated, all locks and keys for that system shall be replaced by the Government and the total cost deducted from the monthly payment due the Contractor.

1.6.9.2.2. The Contractor shall prohibit the use of Government issued keys/key cards by any persons other than the Contractor’s employees. The Contractor shall prohibit the opening of locked areas by Contractor employees to permit entrance of persons other than Contractor employees engaged in the performance of assigned work in those areas, or personnel authorized entrance by the KO.

1.6.10. Special Qualifications: All Contractor personnel performing services under this effort shall receive a favorably adjudicated background investigation at the appropriate level. Levels of investigation may vary between Tier 3 and Tier 5, depending on the specific duties required, and ongoing CV as applicable will be required.

1.6.11. Training: Contractor personnel performing under this contract shall complete all applicable Government training in accordance with Technical Exhibit L – Required Contractor Training. A list of all required/mandatory training to be completed by its employees providing support under this contract will be provided by the COR. Training may include training relation to the following: Information Security Training, Cyber Security, Privacy and PII, and DoD specific training requirements.

1.6.11.1. Training Records: The Contractor will make available certificates of completion for all personnel to the COR or to the KO upon request. Required training will be completed within 30 calendar days of being cleared to work on the contract. Annual refresher training shall be completed each contract year thereafter (based on the original completion date) and will be reported to the COR in the monthly training deliverable.

1.6.12. Post Award Conference/Periodic Progress Meetings: The Contractor agrees to attend any post award conference convened by the contracting activity or contract administration office in accordance with FAR subpart 42.5. The KO, COR, and other Government personnel, as appropriate, may meet periodically with the Contractor to review the Contractor's performance. At these meetings, the KO will apprise the Contractor of how the Government views the Contractor's performance and the Contractor will apprise the Government of problems, if any, being experienced. Appropriate action shall be taken to resolve outstanding issues. These meetings shall be at no additional cost to the Government. Please see Section 5.4.4.2 for further detail.

1.6.13. Contracting Officer’s Representative: The COR will be identified by a separate, appointment letter. The COR monitors all technical aspects of the contract and assists in contract administration. The COR is authorized to perform the following functions: assure that the Contractor performs the technical requirements of the contract; perform inspections necessary in connection with contract performance;

maintain written and oral communications with the Contractor concerning technical aspects of the contract; issue written interpretations of technical requirements, including Government drawings, designs, specifications; monitor Contractor's performance and notifies both the KO and Contractor of any deficiencies; coordinate availability of Government furnished property, and provide site entry of

Contractor personnel. A letter of designation issued to the COR, a copy of which is sent to the Contractor, states the responsibilities and limitations of the COR, especially with regard to changes in cost or price, estimates or changes in delivery dates. The COR is not authorized to change any of the terms and conditions of the resulting order.

1.6.13.1. Technical Direction. The COR may provide technical direction on contract performance.

Technical direction may include any of the following:

• Daily work assignments specifying the types of background investigation work required, locations of the work, and other relevant details pertaining to the work;

• Instruction to the Contractor that approves approaches, solutions, or refinements; fills in details;

completes the general descriptions of work; and or shifts emphasis among work areas or tasks;

and

• Evaluation and acceptance of reports or other deliverables.

Technical direction must be within the scope of work of the contract and any TO thereunder. DCSA will issue technical direction in writing as required. If, in the Contractor’s opinion, any direction by the COR falls within any of the categories defined at 1.6.13.2., the Contractor will not proceed and will notify the KO in writing within three days of receiving the communication in question. Promptly thereafter, the KO will advise the Contractor and COR of one of the following:

• The direction is within the scope of the contract and does not constitute a change to the contract;

• The direction is beyond the scope of the contract, and DCSA intends to negotiate a modification to the contract formalizing the change; or

• The direction is beyond the scope of the contract and is thereby rescinded.

1.6.13.2. Limitations on Technical Direction. The COR and Alternate Contracting Officer’s Representative (ACOR) do not have the authority to issue any technical direction that does the following:

• Constitutes a change or assignment of additional work outside of the contract;

• Constitutes a change as defined in the clause at FAR 52.243-1 – Alternate I;

• In any manner causes an increase or decrease in the awarded contract price, or the time required for contract performance;

• Changes any of the terms, conditions or specifications of the contract; or

• Interferes with the Contractor's right to perform under the terms and conditions of the contract.

1.6.13.3. Supervision of Contractor Personnel. The Government will not directly or indirectly supervise or direct Contractor employees. If the Contractor accepts the direction of any Government employee other than the KO/COR, it will not be considered contractually binding. The COR will only provide the Contractor with technical direction in accordance with the terms of the contract. Any action(s) taken by the Contractor in response to any direction given by any person acting on behalf of the DCSA or any Government official other than the KO or authorized COR will be at the Contractor’s risk.

1.6.14. Key Positions and Personnel Reporting:

Contractor employees identified as key positions or personnel in the Contractor’s accepted proposal at time of award are identified in this contract. The Contractor will retain and maintain key positions and personnel as identified below.

1.6.14.1. Program Manager. The Contractor will provide a Program Manager who will be responsible for the performance of the work. The name of this person and an alternate who will act for the Contractor when the Program Manager is absent must be designated in writing to the KO. The Program Manager or alternate, will have full authority to act for the Contractor on all contract matters relating to daily operation of this contract. This includes overseeing program management office operations, securing resources (including staffing) to meet TO demands, and ensuring timely responses to tasking requirements. The PM is accountable for fulfilling all technical, financial, and contractual obligations of the TO, guaranteeing that all PWS requirements are met according to the specifications outlined in the

PRS.

1.6.14.1.1. The Program Manager will have a minimum of five years of experience managing programs of similar size, scope and complexity. The Program Manager must have previous experience in CPOC or CV programs. The Contractor must provide a resume to support the individual holding this position meets the minimum qualification requirements and a letter of commitment on company letterhead with signature of the individual confirming his/her intention to serve in the stated position at contract award.

1.6.14.2. Information Technology Manager. The Contractor will provide an IT Manager to serve as the Information System Security Manager or Information System Security Officer (this position can be the same position or two separate positions) and will meet the minimum training requirements therein. The Contractor must provide a resume to support the individual holding this position meets the minimum qualification requirements in accordance with the Technical Exhibit A and Technical Exhibit L, and a letter of commitment on company letterhead with signature of the individual confirming his/her intention to serve in the stated position at contract award.

1.6.14.3. Quality Control Manager. The Contractor will provide a Quality Control Manager who will be responsible for the Contractor’s QCP. The Contractor must provide a resume to support the individual holding this position and a letter of commitment on company letterhead with signature of the individual confirming his/her intention to serve in the stated position at contract award.

1.6.14.4. Key Personnel Report. The Contractor will notify the Government, through the submission of a Change of Key Personnel Report to the COR and KO 10 business days prior to removing, replacing, or diverting any of its key personnel. The Change of Key Personnel Report shall include justification (including substitutions with resumes) with sufficient detail to permit the change on the Contract. The list of key personnel incorporated into the Contract award may be amended from time to time during the course of the performance to add or delete personnel, so long as all related contract requirements are met.

1.6.14.5. The Contractor shall furnish to the COR a list that includes the names, telephone numbers and addresses of the on-site Supervisors no later than five business (5) days prior to the contract effective date. This list shall be updated and submitted to the COR as changes occur.

1.6.15. Contractor Manpower Reporting: The Contractor shall report ALL Contractor labor hours (including Subcontractor labor hours) required for performance of services provided under this contract for the DCSA via a secure data collection site. The Contractor is required to completely fill in all required data fields using the following web address: https://www.sam.gov. Reporting inputs will be for the labor executed during the period of performance during each Government fiscal year (FY), which runs October 1 through September 30. While inputs may be reported any time during the FY, all data shall be reported no later than October 31 of each calendar year. Contractors may direct questions to the help desk at: https://www.sam.gov (see FAR Clause 52.204-14 – Service Contract Reporting Requirements).

https://www.sam.gov/ https://www.sam.gov/

1.6.16. Identification of Contractor Employees: All Contractor personnel attending meetings, answering Government telephones, and working in other situations where their Contractor status is not obvious to third parties are required to identify themselves as such to avoid creating an impression in the minds of members of the public that they are Government officials. While on duty, Contractor personnel with PIV/badge or identification distinguishing their Contractor status shall ensure such identification is prominently displayed at all times. All other use of Contractor identification shall comply with Technical Exhibit C - Background Investigation Security Requirements. The Contractor shall also ensure that all documents or reports produced by Contractor employees are suitably marked as Contractor products or that Contractor participation is appropriately disclosed.

1.6.17. Contractor Travel: The Government does not anticipate the Contractor incurring any travel costs during performance of this requirement. Funding for travel requirements is not currently included under this contract and if travel is required, funding will be added by the KO through a modification. If travel is added, reimbursement of transportation, lodging, meals, and incidental expenses are allowable subject to the limitations contained in FAR 31.205-46 and the limitation of funds specified in this contract. All travel requires prior Government approval/authorization and notification to the COR.

1.6.18. Organizational Conflict of Interest: Contractor and subcontractor personnel performing work under this contract may receive, have access to or participate in the development of proprietary or source selection information (e.g., cost or pricing information, budget information or analyses, specifications or work statements, etc.) or perform evaluation services which may create a current or subsequent Organizational Conflict of Interests (OCI) as defined in FAR subpart 9.5.

1.6.18.1. Any Contractor that is a primary contractor with a DCSA investigative contract or contract which directly interfaces with performance of an investigative contract, where the PoP is concurrent with the PoP of this effort, is prohibited from proposing or being awarded the CPOC requirement. This exclusion extends to include contracts presently awarded which will continue through any point of the required PoP of the contract described herein, except where the Contractor is continuing to provide services under FAR 52.237-3 Continuity of Services. This exclusion extends throughout the life of this contract.

1.6.18.2. The primary purpose of this exclusion is to ensure the Contractor does not find itself involved with any real or perceived conflicts of interest. Such conflicts of interest could be alleged where the Contractor is found to be controlling, scheduling, analyzing work products, deliverables, and/or processes for which they currently are or were responsible to plan, design, develop, implement, or operate. Along with the QCP, these exclusions seek to ensure the credibility of the Contractor.

1.6.18.3. Due to the potential of an ensuing real or perceived OCI, the prime Contractor for this contract may not participate in any capacity under DCSA contract numbers HS002123D0001 and HS002123D0002, or under any future DCSA solicitation or contract for the provision of background investigation fieldwork services.

1.6.18.4 The Contractor shall notify the KO immediately if it becomes aware of any other actual or potential OCI involving the Contractor’s work under this contract. Upon instruction from the KO, the Contractor shall submit a mitigation plan detailing how the Contractor will avoid or mitigate an identified significant real or potential OCI. The mitigation plan will be determined to be acceptable solely at the discretion of the KO, and in the event the KO determines that any such OCI cannot be satisfactorily avoided or mitigated, the KO may impose other remedies as deemed necessary and appropriate, including prohibiting the Contractor from participation in subsequent contracted requirements which may be implicated by the OCI.

1.6.18.5. Subcontracting or entering into a teaming arrangement is not limited; however, KO and COR is to be notified in writing of such proposed subcontractor arrangements as they arise. A risk mitigation strategy must be submitted with the proposal or at any time during the life of this contract when a primary Contractor for another DCSA investigative or investigative support Contract is going to be added as a subcontractor or team-member. The Government reserves the right to approve or reject the proposed risk mitigation strategy before the subcontractor or team-member is added to the contract.

1.6.19. Phase-In Period

1.6.19.1. Duration: The phase-in period will extend over a period of up to 90 days. It begins on the date of basic contract award and ends once the Contractor has met all prerequisite requirements to the satisfaction of the Government as determined by the KO. The Government will issue the first TO during the phase-in period with performance beginning up to 90 days from award date. This date may be adjusted based upon when the contractor meets all prerequisite requirements and notifies the Government. The phase-in period may be extended in 30-day increments as required.

1.6.19.2. Prerequisite Requirements: Before commencement of work on the contract, the Contractor must satisfy the following prerequisite requirements to the satisfaction of the Government:

• Within 15 calendar days of contract award, submit a final Phase-in Timeline and Strategy for Government approval. The plan will identify the Contractor’s strategy, phases, and milestones for successful completion of the phase-in period. At a minimum the plan should include strategies for staffing, gaining system access, securing equipment (i.e., laptops) needed for contract performance and understanding the workload and functional environment. The plan will also address the management structure, management functions, corporate resources, program management and staffing capabilities (including subcontractors) that will support the Contractor’s ability to complete the phase-in period.

• Obtain PIV cards and CACs, as applicable.

• Complete all IT Security requirements and obtain approval from the Authorizing Official.

• Obtain IT access and account creation.

• Complete all security requirements.

• Complete all training referenced in this PWS and described in the requirements (see Technical

Exhibits A, B, C, and E).

• Submit a final QCP for Government review and approval within 30 calendar days of the effective date of the contract.

1.6.19.3. Performance: Upon completion of the phase-in period, DCSA will begin assigning work to the Contractor. Case types and volume of work will be closely monitored as the Contractor demonstrates its ability to meet the performance standards as defined in section 5.

2. DEFINITIONS AND ACRONYMS

2.1. Definitions

Alternate Contracting Officer Representative (ACOR). An employee of the U.S. Government appointed by the KO to administer the contract. Such appointment will be in writing and will state the scope of authority and limitations. This individual has authority to provide technical direction to the Contractor as long as that direction is within the scope of the contract, does not constitute a change, and has no funding implications. This individual does NOT have authority to change the terms and conditions of the contract.

Case Material. Case material is any document in any media created in that is not retained as part of the agency/permanent case file, including (but not limited to) interview notes, case papers, quality control personnel notes with written notations. Records relating to the maintenance and disposition of these files will be provided immediately upon request of the Government and available to DCSA at the conclusion of the Contract. The Contractor is responsible for establishing inventory and accounting procedures necessary to ensure completion of these tasks. Records will be retained in accordance with the Requirements for the Protection of PII (see Technical Exhibit E).

Contracting Officer (KO). A person with authority to enter into, administer, and or terminate contracts, and make related determinations and findings on behalf of the Government. The KO is the only individual who can legally bind the Government.

The KO has overall responsibility for the awarded contract. The KO alone, without delegation, is authorized to take actions on behalf of the Government to amend, modify or deviate from the contract terms, conditions, and requirements. The KO may delegate certain other responsibilities to authorized representatives, COR or ACOR. The KO is the only person authorized to issue TO. In the event, the Contractor effects any changes at the direction of any person other than the KO, the change will be considered to have been made without authority and no adjustment will be made to the contract price or any other term in the awarded contract.

Contracting Officer’s Representative (COR). An employee of the U.S. Government appointed by the KO to administer the contract. Such appointment will be in writing and will state the scope of authority and limitations. This individual has authority to provide technical direction to the Contractor as long as that direction is within the scope of the contract, does not constitute a change, and has no funding implications. This individual does NOT have authority to change the terms and conditions of the contract.

Contractor. An Offeror, supplier or vendor awarded a contract to provide specific supplies or service to the Government. The term used in this contract refers to the prime.

Deficiency. A service output that does not meet the standard of performance associated with the PWS.

Deliverable. Anything that can be physically delivered but may include non-manufactured things such as meeting minutes or reports.

Employee/Personnel. The Contractor will provide all labor needed for the performance under the awarded contract. The term “employee” or “personnel” indicates individuals that have been cleared by

DCSA to perform work for the Contractor under the awarded contract, regardless of that individual’s legal employment status with the Contractor.

Historical Level of Effort. The estimated level of effort required across all available case types. The averages are intended to be representative of the varying levels of effort involved in the different case types/items.

Inactive. The term “inactive” means that the individual is not actively engaged on the contract due to reasons such as, but not limited to, annual leave, sick leave, military leave, Family Medical Leave Act, lack of work, or Contractor furlough. The term “inactive” does not include Contractor personnel that have been terminated, removed or suspended from the Contract.

Key Positions/Personnel. Contractor personnel that are evaluated in a source selection process and that may be required to be used in the performance of a contract.

Personnel Investigations Processing System (PIPS). DCSA’s mainframe computer system used for processing background investigations.

Physical Security. Actions that prevent the loss or damage of Government property.

Quality Assurance. The Government procedures to verify that services being performed by the Contractor are performed according to acceptable standards.

Quality Assurance Surveillance Plan (QASP). An organized written document specifying the surveillance methodology to be used for surveillance of Contractor performance.

Quality Control Plan (QCP). All necessary measures taken by the Contractor to assure that the quality of an end product or service will meet contract requirements.

Subcontractor. One that enters into a contract with a prime Contractor. The Government does not have privity of contract with the subcontractor.

Trusted Workforce (TW) 2.0. The new policy framework initiative to update the security framework for the security clearance policy procedures and products.

2.2. Acronyms

ACOR Alternate Contracting Officer’s Representative AIRR Army Investigative Records Repository AO Authorizing Official AUP Acceptable Use Policy AVS Adjudication and Vetting Services BIES Background Investigations Enterprise Systems BOT Automated Processing Tools CAC Common Access Card CATS Case Adjudication Tracking CDRL Contract Data Requirements List CFR Code of Federal Regulations CIAR Counterintelligence Awareness and Reporting CIL Critical Information and Indicators List CISS CI Storage Site CISO Chief Information Security Officer CJCSI Chairman of the Joint Chiefs of Staff Instruction CLIP Contract Linquist Information Program CM Continuous Monitoring CONUS Continental United States (excludes Alaska and

Hawaii) COR Contracting Officer’s Representative CPARS Contractor Performance Assessment Reporting System CPI Critical Program Information CPOC Case Processing Operations Center CPRA Contactor Performance Reporting Application CSP Cloud Service Provider CSR Customer Service Request CUI Controlled Unclassified Information CV Continuous Vetting CVS Central Verification System DAAPM DCSA Assessment and Authorization Process Manual DCII Defense Clearance and Investigation Index DCSA Defense Counterintelligence and Security Agency DD Form 254 Department of Defense Contract Security

Requirement List DFARS Defense Federal Acquisition Regulation Supplement DEIDS DoD Employee Interactive Data System D-ICAM DCSA Information Systems Agency, Credential, and

Access Management DISS Defense Industrial System for Security DoD Department of Defense DOD Safe Department of Defense, Secure Access File Exchange DOHA Defense Office of Hearing and Appeals eOPF Electronic Official Personnel Folder EPP Endpoint Protection ET Eastern Time FAR Federal Acquisition Regulation

FFP Firm Fixed Price FIPS Federal Information Processing Standards FIS Federal Investigative Standards FISMA Federal Information Security Management Act FLSA Fair Labors Standards Act FOCI Foreign Ownership, Control, or Influence FOIA Freedom of Information Act FMO Facilities Management Office FWS Field Work System FY Fiscal Year GFE Government Furnished Equipment GFI Government-Furnished Items GCA Government Contracting Activity HRH High Risk High Threat IAM Information Assurance Management IDIQ Indefinite-Delivery/Indefinite-Quantity IIR Intelligence Information Reports IT Information Technology ISI Information Security Incident ISMS Information Security Management System IST Investigative Suite of Tools IAW In Accordance With JAMS Joint Adjudication Management System JWICS Joint Worldwide Intelligence Communications System KO Contracting Officer LAN Local Area Network LE Law Enforcement LP Linguist Processing LPR Lawful Permanent Resident MAVNI Military Accessions Vital to National Interest NAC Network Access Control NCCS National Contracts Classification System NDAA National Defense Authorization Act NISP National Industrial Security Program NISPOM National Industrial Security Program Operating Manual NIST National Institute of Standards and Technology NLEAD National Law Enforcement Accountability Database OCI Organizational Conflict of Interest OIG Office of the Inspector General OMB Office of Management and Budget OPSEC Operational Security ORA Designated Risk Acceptance PAEI Publicly Available Electronic Information PCLF DCSA Privacy, Civil Liberties, and FOIA PDT Position Designation Tool PIEE Procurement Integrated Enterprise Environment PHI Personal Health Information PID Personal Identification Data PII Personally Identifiable Information

PIPS Personnel Investigations Processing System PIU Primary Investigative Unit PIV Personal Identity Verification PM Program Manager PMR Program Management Review POA&M Plan of Action and Milestones P&P Processes and Procedures PPP Program Protection Plan PRS Performance Standard Ratings PSI-I Personnel Security investigations for industry PSMO Personnel Security Management Office PTQR Performance Timeliness and Quality Report PWS Performance Work Statement QA Quality Assurance QAL Quality Assurance Lead QAP Quality Assurance Program QASP Quality Assurance Surveillance Plan QCP Quality Control Plan RAPIDS Real-Time Automated Personnel Identification System RFI Request for Information RMF Risk Management Framework RRU Research, Recertify, Upgrade RSI Reimbursable Suitability Investigations SAAR System Authorization Access Request-DD2875 SCI Sensitive Compartmented Information SCLS Service Contract Labor Standards SEAD Security Executive Agent Directive SMO Security Management Office SOM Standard Operating Manuals SOP Standard Operating Procedures SOR Statement of Reasons SRG Cloud Computing Security Requirements Guide SSI Security Investigations Index STIG Security Technical Implementation Guides SVO Security Vetting Office T1 Tier 1 Investigation T2 Tier 2 Investigation T2R Tier 2 Reinvestigation T3 Tier 3 Investigation T3R Tier 3 Reinvestigation

T4 Tier 4 Investigation T4R Tier 4 Reinvestigation T5 Tier 5 Investigation T5R Tier 5 Reinvestigation TE Technical Exhibit TO Task Order TS Top Secret TW Trusted Workforce UAT User Acceptance Testing UOW Units of Work U.S.C. United States Code VAR Visit Authorization Request VDI Virtual Desktop Infrastructure VPN Virtual Private Network VRO Vetting Risk Operations WI Work Instructions

3. GOVERNMENT FURNISHED PROPERTY, EQUIPMENT, AND SERVICES

3.1. Services: The Government will provide the following services:

• IT Equipment Helpdesk Support

• Telephone Service (specific to Boyers, PA and St. Louis, MO only)

• Telephone Technical Support

• Facility Access and Shuttle Service, as applicable

• Tools/BOTs

3.2. Facilities: The Government will provide workspace for the Contractor staff to provide the functions outlined in the PWS to include desk space, telephone service (landlines), and other items necessary to maintain an office environment at the Boyers, PA and St. Louis, MO offices. An inventory list including Government-provided workspaces is provided as 7.1.22.