DJA-17-AHDQ-R-0064_SOW.pdf

STATEMENT OF WORK

PERSONNEL SECURITY SERVICES

IN-HOUSE BACKGROUND INVESTIGATOR

1.0 Background

The Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF) is a law enforcement organization within the Department of Justice (DOJ). ATF’s unique responsibilities consist of reducing violent crime, collecting revenue and protecting the public. ATF enforces Federal laws and regulations relating to alcohol, tobacco, firearms, explosives and arson by working directly and in cooperation with other government agencies to:

a) Suppress and prevent crime and violence through enforcement, regulation and community outreach;

b) Ensure fair and proper revenue collection;

c) Provide fair and effective industry regulation;

d) Support and assist Federal, state, local and international law enforcement;

e) Provide innovative training programs in support of criminal and regulatory enforcement functions;

f) Help reduce the criminal use of firearms; and

g) Provide for public safety by reducing the criminal misuse of explosives, combating arson and removing safety hazards caused by improper and unsafe storage of explosive materials.

The Office of Professional Responsibility and Security Operations (OPRSO), Personnel Security Division (PSD) is charged with ensuring all persons privileged to be employed by or provide a service to ATF are reliable, trustworthy, of good character and conduct and are of complete and unswerving loyalty to the United States; and to educate personnel in the proper handling and safeguarding of classified national security information and sensitive unclassified information.

The PSD maintains personnel security program and associated collateral functions in support of these programs. The PSD is responsible for conducting background investigations on prospective ATF employees and contractors and conducting periodic reinvestigations on current employees and contractors, in accordance with established Executive Orders and other regulatory directives, the Privacy Act of 1974, Office of Personnel Management (OPM) regulations, other relevant regulations from the Office of Management and Budget, DOJ and ATF policies and procedures.

ATF already has an established program that utilizes trained, experienced contractors to conduct background investigations. ATF has determined that the most efficient and cost-effective method of conducting background investigations is to employ the services of contract investigators. The ATF, PSD has been authorized, pursuant to a Delegation of Authority Memorandum of Understanding (MOU) between ATF and OPM, to utilize the services of contract investigators to conduct background investigations. Contract investigators, who are under contract with ATF, shall be known as “Special Investigators,” hereinafter referred to as contractors. Contractors may also be assigned to assist with other official ATF investigations.

1.1 General Agreement Terms

This Statement of Work (SOW) outlines the services, requirements, security and other expectations of contractors privileged to be awarded a contract to provide personnel security services.

This SOW and the contractor’s responsibilities are subject to changes in Federal law, regulation and policy, which may include, but are not limited to, procedural changes related to the use of government equipment, security procedures and investigative priorities. Modifications may be sent to vendors via mail or electronic mail after review and approval of the Contracting Officer’s Representative (COR) or the Contracting Officer (CO). The North American Industry Classification System Code (NAICS) is 561611 Investigation Services. Contractor oversight and performance monitoring shall be conducted by an ATF representative to include, but not limited to, the PSD representatives, the COR or the CO.

Contracts will be issued by ATF and services to be conducted will be identified by the PSD. The contract does not state or imply that ATF must place any future orders with the contractor. The contractor is a service provider to ATF under mutually agreed upon terms of the contract.

However, the contractor is bound to ATF security requirements as established by the Bureau and any other requirements imposed by ATF during the term of the contract.

Contractors may be subpoenaed and/or requested to testify in matters related to the investigative work associated with their contracts. Contractors shall make themselves available when requested; however he/she is not permitted to serve as an expert witness nor consultant against ATF in any criminal, civil, legal or administrative proceeding when it relates to information he/she obtained during the course of his/her investigative services. In most instances, contractors will not serve as official witnesses in relation to other official ATF investigations (e.g., Internal Affairs investigations). However, contractors may be called upon to provide clarification of information contained in PSD investigative files, answer inquiries related to how information is obtained during background investigations and/or standard operating procedures. In these instances, contractors will not testify as official witnesses and his/her name will not be documented in the other ATF investigative report. However, should a contractor physically be a witness to an activity that directly relates to another official ATF investigation, the contractor may be required to serve as an official witness. If a contractor is contacted by any other office outside of the PSD, he/she shall contact the PSD COR immediately. The PSD will conduct research and advise the contractor accordingly.

1.2 The PSD will be organized into two (2) branches.

a) Intake and Investigations Branch (IIB): responsible for oversight of personnel security program operations including policies and procedures. The IIB oversees the Intake and Investigations processes.

i. Intake: responsibilities of this program will include, but are not limited to initiating background investigations, processing pre-employment screenings, and processing waivers.

ii. Investigation: responsibilities of this program will include, but are not limited to, scoping (identifying investigative coverage requirements) for background investigations, organizing assignments, reviewing, and approving background investigative leads sent to ATF field special investigators. In addition, the Investigations Team provides guidance to field special investigators; they also serve as the authority for investigative coverage requirements.

b) Adjudications Branch: responsibilities include, but are not limited to, investigation adjudication, Privacy and Freedom of Information Act requests and personnel security-related adverse actions.

1.2.1 Each branch and program area will have a designated branch chief and/or lead personnel security specialist (PSS) that will be an ATF government employee. Branch chiefs and lead PSSs will be responsible for monitoring and coordinating all contractors assigned to his/her respective branch and/or program area and work in collaboration with PSD’s CORs, Division Chief, or Division Chief’s designee. Each branch and program area may be assigned a senior special investigator (contractor) to support the branch chief and/or lead PSS. Contractors working under contract are responsible for coordinating and maintaining communication with his/her branch chief and/or program area and other branch and staff members.

2.0 Scope of Work

ATF has a need to procure the services of trained and qualified personnel to complete tasks associated with the personnel security program.

By acceptance of the contract, each contractor agrees to abide by all standards, policies and procedures set forth in all of PSD’s standard operating procedures and all subsequent Personnel Investigative Notices, Personnel Investigative Policies and/or other correspondence provided by the PSD.

3.0 Tasks. Contractors will primarily be responsible for:

a) Analyzing information;

b) Identifying investigative leads;

c) Assigning and reviewing investigative leads;

d) Making adjudicative recommendations for suitability and security investigations;

e) Conducting quality assessments to ensure investigative coverage requirements are met;

f) Creating and/or maintaining standard operating procedures;

g) Developing and providing on-the-job training to other contractor personnel;

h) Participating in on-the-job training when new policies and procedures are implemented;

i) Processing, conducting, coordinating, managing, reviewing and providing services for other various aspects of the ATF personnel security program;

j) Performing various administrative tasks to ensure continuity of all Division functions and operations;

k) Fielding inquiries from ATF applicants, employees and non-ATF personnel, including field investigators located throughout the United States;

l) Assisting with other official ATF investigations; and

m) Updating the branch chief, lead PSS and senior special investigator of ongoing activities and/or issues that may affect operations or be of significance to management.

The contractor shall be assigned tasks as deemed necessary to meet the goals and priorities of the Division and agency. Tasks may be assigned by the branch chiefs, lead PSSs, COR, Division Chief or designee. All tasks shall have the COR concurrence prior to starting work.

4.0 Contractor Qualifications

a) Contractors shall meet minimum PSD program requirements and Federal requirements as outlined in the MOU between ATF and OPM. (To be provided once the selection has been made.)

b) Contractors are required to have experience of either a college degree (bachelors) or four

(4) years of general experience, four (4) years of specialized experience within the last five (5) years or one (1) year of specialized Federal background investigative experience.

1) General experience is defined as progressively responsible experience that demonstrates the ability to problem solve, analyze problems to identify significant factors, gather pertinent data and recognize solutions, plan and organize work and communicate effectively orally and in writing on a professional level.

2) Specialized experience other than Federal background investigative experience includes other investigative experience (i.e., criminal investigations).

c) Contractors shall possess sufficient investigative abilities to perform the orders assigned to them by the PSD.

d) Contractors must be computer literate and efficient in software programs that support email, word processing, and data entry, which are utilized in the administration of the personnel security and information security programs.

e) All contractors must carry themselves in a manner that reflects positively on ATF. To that end, contractors must present themselves in a professional manner, be neatly groomed and appropriately attired. Contractors must promote a positive workplace environment. Contractors must exhibit professional qualities during all periods of performance and absolute integrity is required and expected. Contractors must be polite and professional in both conduct and appearance.

4.1 Background Investigation

Contractors may be required to complete a Pre-Screening Qualifications Certification prior to submitting a formal background investigation package. Failure to adhere to ATF’s conduct and integrity guidelines and/or be in compliance with the DOJ and ATF agency specific qualifications may result in immediate disqualification.

Contractors shall undergo and receive a favorably adjudicated Tier 5 background investigation (BI) to determine his/her suitability to access ATF information, information technology systems (IT) and/or unescorted access to facilities and receive a Top Secret (TS) clearance; some contractor may require access to Sensitive Compartmented Information. This investigation will be conducted by or under the auspices of the PSD and be performed under such standards as the PSD may establish. If a contractor has a current Tier 5 BI with another agency, the PSD will follow reciprocity procedures for security; however, a review to determine the contractor’s compliance with all ATF agency specific requirements will be conducted prior to authorizing access to ATF information, IT systems, and/or unescorted access to facilities.

Failure to complete the required personnel security forms, have a BI favorably adjudicated and receive a TS clearance constitutes grounds for disqualification of the contractor. A favorable adjudication of the Tier 5 BI must be determined by ATF prior to access to ATF information, IT systems and/or unescorted access to facilities.

The contractor may be authorized access to ATF information, IT systems and/or unescorted access to facilities with an approved waiver. If a waiver of the pre-employment background investigation is needed to service high priority vacancies, the PSD will initiate a Request for Waiver of the Pre-Employment Background Investigation only after advising and gaining the concurrence of the contractor.

ATF will conduct and/or ensure a periodic reinvestigation is conducted on all contractors every five years. Should the periodic reinvestigation be unfavorably adjudicated, the contractor will not be granted continued access to ATF information, IT systems, and/or unescorted access to any ATF facility.

4.2 Information Technology Access and Mandatory Training

Contractors will have access to ATF’s IT system and are required to successfully complete a series of mandatory online training courses; some may require an annual recertification.

Upon award of the contract, contractors shall complete the “Non-Disclosure for Access to Unclassified Sensitive Information” through the Bureau and/or Department approved training system. Contractors shall complete “Information Security Awareness with Acknowledgment of the Rules of Behavior” and “Introduction to National Security Information” on an annual basis.

Contractors shall complete one time training courses entitled “Emergency Preparedness, IS-700:

FEMA – National Incident Management System” and “IS-100.LE – ICS 100 for Law Enforcement Personnel.” Additional training requirements and/or mandatory compliance forms may be identified at any time and shall be completed as assigned

Contractors shall be willing to attend periodic training conferences at selected locations within the United States. Conferences are usually limited to one per year. Contractors may be responsible for all travel and lodging expenses.

4.3 Protection of Sensitive Unclassified Information

All information obtained during the course of an investigation, even though it may be considered sensitive unclassified information, shall be protected and only divulged on a need-to-know basis and shall not be disseminated to any parties outside of PSD without prior approval and written consent. Sensitive information shall not be transmitted via unsecured email or Internet, or disclosed to unauthorized parties. Contractors shall never furnish or divulge sensitive information contained in an investigation. Each contractor shall make every reasonable effort to protect data associated with a background investigation and/or a personnel security record. All data, notes, copies of testimonies, copies of Reports of Investigations, etc., are the sole property of ATF and must be safeguarded against unlawful disclosure.

All orders and associated tasks shall be conducted and completed by the contractor directly and not re-assigned by the contractor to any other individual contractors, employees or sub-contractors. The contractor shall make every effort to safeguard information at all times.

The contractor shall read, acknowledge and adhere to the terms and conditions set forth in the “Non-Disclosure Agreement for Access to Unclassified Sensitive Information.”

4.4 ATF Property, Equipment and Facilities

ATF agrees to furnish all equipment and facilities necessary for contractors to perform the duties expected of them. Any identification media, ATF provided software and all other Government property must be surrendered when requested by the PSD. All property assigned to contractors is considered accountable property for the PSD and must only be returned, replaced or transferred when coordinated with the PSD to ensure accurate property accountability.

Contractors shall be required to respond and provide all property information (i.e., serial number, ATF assigned PINs, etc.) when requested by the PSD to ensure compliance for the annual mandated ATF inventory.

4.5 Credentials

In accordance with the MOU between OPM and ATF (delegating the authority to utilize contractors), all contractors tasked with performing duties associated with the Federal personnel security program will be issued official ATF credentials. Credentials should never be used for purposes other than conducting official investigations on behalf of ATF and shall never be used for personal gain. Credentials shall be safeguarded at all times. They should never be out of a contractor’s possession and should never be photocopied. Lost or stolen credentials should be reported to the ATF and the PSD immediately, as well as the local police department.

4.6 Personal Identity Verification Card

In accordance with Homeland Security Presidential Directive-12 (HSPD-12), each contractor will be issued a Personnel Identity Verification (PIV) card. The PIV card will be used as official DOJ identification media and in compliance with HSPD-12 logical systems access, utilized for access to an assigned ATF laptop. PIV cards require a re-certification every three (3) years and a full update (new card) every five (5) years.

5.0 Contractor Certification

Each contractor shall sign a Contractor Certification which declares that all reports prepared by the contractor and any supplemental material, whether submitted in hard copy or electronic format represents actual reported investigative work that was performed and conducted in compliance with requirements of the contract. (To be provided once the selection has been made.)

5.1 System for Award Management and Dun and Bradstreet Registration

Contractors shall register and receive Dun and Bradstreet (D&B) number. Registration with D&B will allow each contractor to work as a small business within the contractor’s state/locality.

All Federal contractors shall be registered in the System for Award Management (SAM).

The contractor is responsible for making changes to his/her own information. Any changes to the contractors name, address, telephone number, company name or financial institution information shall be made by the contractor in the SAM. The ATF financial system is directly connected to SAM. If a registration is not current or active, ATF will be unable to assign orders to a contractor or process payments for reimbursement of services. Proper and prompt updates and an active registration are extremely important.

6.0 Place of Performance and Hours of Duty

The place of performance will be ATF headquarters located at 99 New York Avenue, NE, Washington, DC 20002.

At the discretion of the COR, the contractor may be granted authorization to perform work at an alternate location. Authorization will be based on the needs of ATF (e.g., alternate location will better facilitate accomplishment of the work, Government closure due to inclement weather or emergencies, etc.). Requests to perform work at an alternate location must be received in advance and approved by the COR.

PSD operating hours are from 6:00 am to 4:30 pm, Eastern Standard Time. The contractor may set his/her hours, but is expected to be available during normal operating hours. The contractor is responsible for ensuring adequate coverage is provided to ensure all tasks are accomplished to meet PSD’s mission. The contractor shall consider Division workload and priorities, servicing customers and field investigators throughout the nation. Failure to meet necessary availability may result in termination of the contract.

Overtime, if required, shall be authorized in advance, in writing, by the COR, Brach Chief or designee.

7.0 Period of Performance

The period of performance is for 5 years (one base period and four (4) one-year option periods) from the time of award.

8.0 Travel

8.1 Contractors will not be compensated for parking fees and travel to and from their designated work location (99 New York Avenue, NE, Washington, DC, 20002).

8.2 Only local travel is anticipated to complete these tasks. Travel expenses shall only be invoiced at the Federal Government set mileage rate.

8.3 All travel will be compensated in accordance with the Federal Travel Regulations (FTR).

All work related travel will be reimbursable based on actual allowable direct cost, in accordance with FAR 31.205-46 Travel Costs, and/or at the rate specified for the location and timeframe identified on http://www.gsa.gov. All contractor personnel may be required to travel on commercial and/or Government provided transportation at Government cost. The COR or CO must authorize all travel prior to each trip via email. All contractors are encouraged to utilize the Exemption Certificate from Tax on Occupancy of Hotel, Motel, and Tourist Home Rooms Forms.

8.4 To be reimbursable, the travel expenses must be (i) other than local commuting travel expenses within the Washington, DC metropolitan area , (ii) allowable under the FTR and the provisions of this contract, (iii) approved prior to travel expenditure by the CO or COR, and (iv) allocable and necessary for performance of this contract. No profit or fee shall be applied to travel.

8.5 Travel reimbursement requests must be submitted in sufficient time for the CO or COR to give prior approval, and must identify (i) the name of the traveler, (ii) destination (s) including itinerary, (iii) purpose of the travel, and (iv) cost breakdown.

8.6 To be reimbursed, invoices, including travel expenses must provide a detailed breakdown of the actual expenditures invoiced. Contractor shall maintain the original or legible copy of receipts for all travel expenses invoiced. ATF reserves the right to request evidence of any travel expense paid.

9.0 Type of Contract. The resulting of this contract will be firm-fixed priced based on the pricing schedule.

10.0 Inspection and Acceptance

10.1 Inspection/Acceptance. Supplies or services delivered under this contract shall be inspected and accepted by the COR. The Contractor shall only tender for acceptance those items that conform to the requirements of this contract. The Government reserves the right to inspect or test any supplies or services that have been tendered for acceptance in accordance with the appropriate inspection and acceptance clause.

10.2 The basis for acceptance shall be compliance with the Requirements/objectives/constraints set forth in the contract, and other terms and conditions of the contract. Deliverable items rejected shall be corrected in accordance with the applicable clauses.

10.3 Acceptance Criteria. The COR will review all draft and final deliverables to ensure accuracy, functionality, completeness, professional quality, and overall compliance within the guidelines/requirements of the delivery order. The contractor shall ensure the accuracy and completeness of all deliverables. Errors, misleading or unclear statements, incomplete or irrelevant information, and or excessive rhetoric, repetition, and “padding”, shall be considered deficiencies and shall be subject to correction by the contractor, at no additional cost to the Government. The contractor shall make any noted corrections/revisions, within 5 business days, after government review and comment on deliverables. If the deliverable does not meet the noted criteria, the Government will return it.

10.4 Rejection Procedures. If the COR rejects any deliverable, that rejected document will be handled in the following manner:

10.4.1 After notification that the deliverable did not meet the acceptance criteria, the Contractor shall resubmit an updated/corrected version within five (5) business days after receipt of Government comments.

10.4.2 Upon re-submission by the Contractor, the Government will reapply the same acceptance criteria. If the deliverable does not meet the acceptance criteria a second time, the Government might consider the Contractor as having deficient performance with respect to the subject task/subtask.

10.4.3 Any rework of rejected deliverables will be completed at no additional cost to the government.

10.4.4 No payments will be issued against rejected deliverables, until they are corrected and accepted by the government.

11.0 Payment Procedures

11.1 ATF requires contractors to invoice electronically on a monthly basis. Invoices shall be identified by CLIN. Invoicing electronically saves time, money, and physical storage space for both the Government and the contractor. Each invoice must be a proper invoice in accordance with FAR 32.905(e). Electronic invoices should be submitted to financedivision@atf.gov , the ATF COR and the CO. Electronic invoices will serve as the official original copy. Any questions may be directed to the ATF Finance Office at (202) 648-7860.

11.2 If it is determined that the amount billed is incorrect, the invoice may be revised by the Government, or the Contractor may be required to submit a revised invoice.

11.3 To constitute a proper invoice, each invoice must include the following information and/or documentation:

a. Name, address and telephone of the Contractor;

b. Date of invoice and invoice number;

c. Contract number; also modification number, if applicable; and task order number and its modification, if applicable;

d. Description of the supplies/services rendered (including hours incurred and billing rate, if applicable);

e. A schedule depicting the following information:

Amount Invoiced by Task Authorized Amount by Task Remaining This Period by Task Cumulative Amount Invoiced by Task Value of Contract Balance by Task

f. Name of Contracting Officer’s Representative (COR);

g. Travel and ODCs

h. Signature of authorized representative of the firm with the following invoice certification:

“The undersigned hereby certifies to the best of my knowledge and belief that the sum claimed under this contract is proper and due, and all the costs of contract performance have been paid, or to the extent allowed under the applicable payment clause, shall be paid by the Contractor when due in the ordinary course of business; the work reflected by these costs has been performed, and amounts involved are consistent with the requirements of this contract.”

BY:

TITLE: ______

DATE:

11.4 Contract Funding Status. The contractor should immediately notify the CO (with a copy to the COR), in writing, when billing has reached 85 percent of the contract’s amount(s) or whenever remaining funds are not sufficient to cover anticipated performance through to the contract’s expiration date; whichever is sooner. The contractor is cautioned that performance of work above the contract’s ceiling is at the contractor’s risk.

11.5 Payment for all supplies and services shall be made upon Government acceptance, in accordance with the appropriate Payments Clause, FAR 52.232-7.

11.6 All payments will be made via electronic funds transfer. All claims for payment or reimbursement shall be subject to audit and adjustment.

In compliance with ATF’s specific invoicing procedures, contractors shall submit an invoice for services provided. All claims for payment and/or reimbursement shall be subject to audit and adjustment.

Contractors will be paid at the rate of $56.00 per hour for each hour up to and including 40 hours; estimated at 1880 standard hours per fiscal year. Hours authorized and worked in excess of 40 hours per week are considered overtime hours and will be paid at the rate of $84.00 per hour. Any hours over 40 hour per week must be agreed upon and have prior approval from the COR, Division Chief, or designee

Contractors are hereby informed that if awarded a contract, the contractor is responsible for filing their own state and Federal taxes. ATF will provide a 1099-Misc tax form to contractors meeting 1099 issuance criteria. The ATF is not required to provide a 1099-Misc form to any vendor who is incorporated and/or does not receive a minimum of $600 during any calendar year.

12.0 Quality Control/Assurance

The COR shall monitor the performance of all contractors to ensure he/she completes tasks and meets timeliness goals in accordance with all rules, regulations and mandates issued by OPM, the Office of the Director of National Intelligence, DOJ and ATF. Due to the continuous and evolving nature of the personnel security sector, a contractor’s responsibilities and duties are subject to changes by Federal law, regulation and policy, which may include, but are not limited to, procedural changes related to the use of government equipment, security procedures and investigative principles and priorities. Therefore, ATF and the PSD reserve the right to modify the contract and accompanied SOW without notice; a formal contract modification may not always occur. High quality services and timely completion of tasks are imperative to the success of the PSD.

ATF will continuously monitor the performance of each contractor to determine the contractor’s continued eligibility to receive future orders, exercise of option years or, if necessary, termination of the contract.

Complaints of inappropriate conduct, violations of any policies, procedures and/or regulations shall be investigated and if substantiated, may result in a warning notice being issued or the contract being terminated. If a contractor’s performance fails to meet the standards necessary for the position, quality control and assurance reviews shall be conducted and if applicable, the contractor may be issued a warning notice or the contract may be terminated.

Contractors suspected of submitting fraudulent invoices or work related materials will be reported to the DOJ Office of Inspector General for investigation.

13.0 CERTIFICATION OF INVOICES

13.1 The Payment Office listed on the first page of the Award Document will make payment upon receipt of an accepted and properly submitted invoice.

13.2 Invoices/vouchers will be completed and submitted in accordance with this Section 12.1.

The final invoice will be paid upon Government acceptance of the final deliverable. Please also provide a copy of the invoice to the Contracting Officer.

13.3 The COR’s certification of acceptance is an integral part of the correct invoice/voucher discussed in the "Discounts for Prompt Payment" clause, (FAR Clause 52.232-8).

13.4 Upon certification, the COR will forward the invoice/voucher to the Payment Office, as appropriate.

13.5 The Invoice/Voucher shall include:

(a) Contract or other authorization number

(b) Product or service description.

(c) Quantities received, if applicable.

(d) Date(s) property or services accepted.

(e) Signature, printed name, title, phone number, and mailing address of the receiving official.

(f) POC to discuss invoice issues.