Polygraph_Examinations_SOW_showing_changes_.pdf

DEPARTMENT OF HOMELAND SECURITY

CUSTOMS AND BORDER PROTECTION

OFFICE OF INTERNAL AFFAIRS,

CREDIBILITY ASSESSMENT DIVISION,

STATEMENT OF WORK FOR

POLYGRAPH EXAMINATION SUPPORT SERVICES

1. Background

1.1. Through the Anti-Border Corruption Act of 2010, Congress mandated to CBP that all

Law Enforcement positions shall favorably pass a polygraph examination before granting employment. Through this mandate, the U.S. Customs and Border Protection (CBP), Office of Internal Affairs (IA) created the Credibility Assessment Division (CAD) to oversee the administering of polygraph examinations for all current and new Law Enforcement Officers.

1.2. Additional Congressional mandates have been disseminated to CBP in an effort to significantly increase the CBP Officer (CBPO) workforce and balance the increasing attrition rates for FY 14 and 15. This mandate will have a direct impact on the number of polygraph examinations needed for CAD to complete. Through this solicitation, CAD will be able to increase their capacity to meet the hiring and attrition goals.

2. SCOPE OF WORK

2.1. The purpose of this contract is to provide certified contractor support in order to administer polygraph examinations and other credibility assessment methodologies for all new and current Law Enforcement Officer Employees. Contractors shall collaborate, assist, and support CAD personnel in scheduling, conducting, and finalizing polygraph examinations. Contractors will also be required to provide other support services, such as, collection and review of Law Enforcement applicant’s background documentation, complete all appropriate data entries of examination result, and collaborate with CAD Federal Employees.

2.2. Multiple contract awards (up to 3) are intended for this requirement. The contracts will be Indefinite Delivery, Indefinite Quantity (IDIQ) contracts and task orders will be issued against those contracts for services. The contracts will be hybrid contracts consisting of a Firm Fixed Price (FFP) component and a Time and Materials (T&M) component. All services will be FFP. and the only T&M component will be possible travel required during the performance of the FFP services.

2.3. Task orders will be issued against the IDIQ contract(s) awarded for required polygraph services. Polygraph services will be priced on a FFP basis. At the time of contract(s) award, each contractor will be issued a task order for at least the guaranteed minimum of $100,000.00 mandated by the contract.

2.4. Offerors must show evidence in their technical capabilities and staffing capacity to be able to provide a minimum of 140 polygraph examinations per month. CBP currently estimates that over the next five (5) years there is a possibility of annually needing 5,000 to 7,000 examinations completed by the Offeror(s) in order for CBP to meet their aforementioned goals.

2.5. The T&M portion will only be available for any travel. These examinations may require periodic travel, as well to, areas more than 50- miles from where the contractor is stationed. Currently, there is no travel schedule and travel funding will only be provided when the need is identified. For more information on travel, please see Section 11 of this

SOW.

3. APPLICABLE DOCUMENTS

3.1. U.S. Customs and Border Protection, Office of Internal Affairs, Credibility Assessment

Division, Policy and Reference Manual with Appendices from National Center for Credibility Assessment and Federal Standards (CAD Screening Guide), dated August 3,

3.2. U.S. Customs and Border Protection, Office of Internal Affairs, Credibility Assessment Division Security Management Assessment Risk Tool (SMART) Users Guide

3.3. Department of Homeland Security Handbook for Safeguarding Sensitive Personally Identifiable Information, dated March 2012

4. PERIOD OF PERFORMANCE

4.1. The period of performance will begin on the date of award. The period of performance is for a base year plus four one year option years.

4.2. The option periods will only be exercised upon a favorable review of the contractor’s performance and validation of continued need and available budget. The performance will be evaluated based upon the Contracting Officer’s Representative’s (COR) Quality Assurance Plan. This plan will be made available to the contractor upon award of contract.

5. TECHNICAL REQUIREMENTS/TASKS/OUTCOMES

5.1. OVERVIEW

5.1.1. The Offeror shall submit a FFP per-test cost in regards to completing the polygraph examination and a FFP for “no shows”. Any cancelations and reschedules that occur within 24 hours prior to the scheduled test and/or missed appointments will be considered a “no-show” and will be compensated by the government through the FFP “no show” rate.

5.1.2. A comprehensive staffing plan shall be submitted by each offeror that outlines their approach to successfully meet all requirements outlined in the SOW. The comprehensive staffing plan must, at a minimum, show how many polygraph examiners, program managers, and administrative personnel are needed to successfully complete the number of polygraph examinations stated in Section 5.2.

5.1.3. Contractor examiners shall have access to CAD’s Security Management Assessment Risk Tool (SMART), which will be utilized throughout the polygraph examination process. SMART is an online application used as a robust project management tool that combines CAD’s examination policies with data collection, statistical analysis, workflow processes to streamline communication, and reporting functionality.

5.2. POLYGRAPH EXAMINATIONS:

5.2.1. For this solicitation, all polygraph examinations will target new CBP Law Enforcement Officers and shall follow the Law Enforcement Pre-Employment Test (LEPET) guidelines, which is outlined in the CAD Screening Guide. The CAD Screening Guide is Sensitive But Unclassified (SBU) and only successful Contract Awardees will receive a copy of this guide after contract award. This Guide is used as a step by step process in completing a polygraph examination:

a. Polygraph Examination Initiation:

i. CAD Quality Control (QC) Manager (Federal Employee) will assign polygraph examinations to the appropriate contractor through SMART. When assigned all appropriate documentation will be provided within the SMART application. Once assigned the contracted polygraph examiner will complete the following:

b. Pre-test preparations, which shall include:

i. Contacting the Law Enforcement applicant and scheduling the polygraph examination;

ii. Collect and review all applicable documentation from the Law Enforcement applicant’s e-QIP and Personnel Security Division correspondence;

iii. Correspond and provide updates to the appointed QC Manager or COR by either email or through SMART;

iv. Perform all data analysis;

v. Complete Pre-employment tests in SMART; and,

vi. Complete the interview procedures with the Law Enforcement applicant.

c. Conduct polygraph examinations and interviews:

i. Collect and review all applicable forms which are provided in SMART;

ii. Obtain audio recordings of polygraph examinations and upload those recordings to the appropriate Law Enforcement applicant’s record within

SMART;

iii. Properly document examinations results on a Test Data Analysis sheet found in Lafayette software and upload test data to the appropriate Law Enforcement applicant’s record within SMART;

iv. Provide all data entries into SMART and as outlined in the CAD Screening Guide;

v. Correspond and provide updates to the appointed QC Manager; and

vi. Administer test question review, in-test and post-test procedures with the Law

Enforcement applicant.

5.3. POLYGRAPH EXAMINATION REPORT:

5.3.1. All polygraph examinations reports presented to the QC Manager shall be complete, clear, timely, and consistent:

a. Complete – examinations must address all requirements stated Section 5.2.1

b. Clarity – examination report shall be clear and concise.

c. Timeliness – examination report shall be submitted on or before the due date as specified in Section 5.3.2 or submitted in accordance with a later scheduled date mutually agreed upon by the COR and the QC Manager.

d. Consistent – examinations should consistently follow our requirements outlined in the CAD Examination Guide.

5.3.2. Upon the completion of a polygraph examination, the contractor shall provide, within five (5) business days, a complete and accurate polygraph examination report to the designated QC Manager through the workflow feature within SMART. If for some reason SMART is unavailable at the time of submission, Attachment A must be completed and the COR or QC Manager must be contacted to stipulate an acceptable submission.

5.3.3. Once the final examination is received, the assigned QC Manager will have up to ten

(10) business days to review each examination deliverable and either accept or provide a provisional rejection to be resolved by the contractor polygraph examiner. If a provisional rejection was given by the QC Manager, the contractor shall be given, no later than, ten (10) days to remedy and resubmit. If a provisional rejection results in a retest because of flaws or errors in the contractor’s application of procedures, as outlined in this SOW, the retest will be completed at the expense of the contractor.

5.3.4. If the resubmitted examination report still does not meet the quality outlined in this SOW, the Government will not approve payment for that examination. The COR shall notify the Contracting Officer (CO) of the performance issues and the performance problems will be documented in the contract file.

5.3.5. Monthly, the appointed COR and the CAD Director or designated Program Technical Lead(s) will meet at the CBP place of performance or via conference call to review work performance. This is not intended to restrict or limit the Government’s review of contractor performance and the Government, at its option, may perform additional tests and inspections, as it deems necessary.

5.3.6. Appendix A of this SOW provides an example of a polygraph examination report.

5.4. MONTHLY STATUS REPORTS

5.4.1. The Contractor shall present a monthly Status Report due to the COR by the tenth (10th) business day following the end of the reporting month for review, processing, and acceptance. The Contractor’s Program Manager must work with the COR to outline and agree upon an acceptable Monthly Status Report.

5.4.2. At a minimum, this report shall contain:

a. Management Summary: Document any major problems/issues and any significant progress or events;

b. Monthly Polygraph Progress: Provide documentation of all approved/rejected polygraph examinations conducted for that invoice month;

c. Resource Expenditures: Monthly travel examination service activities broken down by each FFP rate (i.e. completed examination and No-Show rates) and copies of all expense reports, if applicable; and

d. Monthly Statistics and Year to Date statistics.

6. PLACE OF PERFORMANCE

6.1. The Contractor shall identify a minimum of two (2) facility locations along the southern border (i.e. Southern California, Arizona, New Mexico, and Texas) where polygraph examinations will be administered. These identified location(s) and polygraph examination rooms must be inspected and approved by the CAD Director or designated Program Technical Lead(s) before being allowed to operate.

6.2. The following is considered an acceptable polygraph room:

a. Polygraph examination room(s) must be of reasonable size and provide conditions under which are free from distractions. A polygraph examination shall only be conducted in an approved examination room and should never be conducted where, in the Law Enforcement applicant’s opinion, provides a poor atmosphere and/or surroundings.

b. It is preferred that polygraph examination rooms be void of all windows.

However, if windows are present, window blinds or curtains need to be utilized to create a distraction free environment. The polygraph room(s) shall be void of any exterior windows and closed-circuit television equipment.

c. If closed circuit television (CCTV) equipment is present in polygraph examination rooms, recording of examinations is strictly prohibited. Also, monitoring of examinations can be performed but only by authorized personnel for examiner safety purposes.

7. GOVERNMENT FURNISHED EQUIPMENT

7.1. The Government will provide laptops, audio microphone, and appropriate polygraph software to the contractor personnel. Once a contracted examiner obtains access to the CBP network, the CBP Information Technology (IT) Security Awareness and Rules of Behavior Training must be completed. This is an online training which should take approximately an hour and is provided through CBP’s Virtual Learning Center (VLC).

The certification received after favorably completing the training must be sent to the COR within five (5) days from gaining access to the CBP network.

7.2. Failure of a Contractor Employee to complete this training requirement will result in that employee not receiving access to CBP systems and not able to conduct evaluations.

8. POLYGRAPH EQUIPMENT

8.1. Currently, CAD utilizes Lafayette Instruments to complete examinations. In order for examinations to be compatible and appraised by the QC Managers, the contractor will need to procure and maintain Lafayette Instruments equipment.

8.2. At a minimum, this shall include:

a. LX5000 Polygraph Data Acquisition System;

b. Two (2) pneumograph tubes;

c. One electrodermal activity (EDA) cord with EDA snap finger electrodes;

d. One standard arm cuff;

e. Pump bulb assembly;

f. One Pneumo chest assembly;

g. One activity sensor seat pad;

h. One set of activity sensor foot pads; and

i. All system maintenance.

9. CONTRACTOR PERSONNEL REQUIREMENTS

9.1. Contractors shall, at a minimum:

a. Be able to provide certificate confirming each Polygraph Examiner has graduated from the Psychophysiological Detection of Deception (PPD) program and received their certification from the National Center for Credibility Assessment (NCCA) or its predecessor institutions. The following predecessor institutions are acceptable.

i. U.S. Military Police School/Army Polygraph School (USAMPS)

ii. Department of Defense Polygraph Institute (DODPI)

iii. Defense Academy for Credibility Assessment (DACA)

b. These Certifications need to be provided to the COR. These certificates will be maintained in the COR’s contractor records.

c. Certification from NCCA or its predecessor institutions are required for the duration of the contract. Failure to maintain an active certification shall result in termination of the contractor.

9.2. NCCA Certification means that the examiner has completed the following:

a. Conduct a minimum of two-hundred (200) polygraph examinations;

b. At least two (2) years of experience as a polygraph examiner; and

c. Continuously completed 80 hours of continuing education, as required for the NCCA certification.

9.3. ON-BOARD ORIENTATION

9.3.1. The Government will provide initial process and procedure orientation and appropriate reference materials after contract award and examiner personnel have been identified. Once a contractor(s) has been granted their provisional clearance and granted an Entry on Duty (EOD) by CBP, CAD shall initiate the orientation within ten (10) days after the EOD. The full orientation will be for approximately eight days

(8) business days. The first part of the orientation will be for three (3) days and will cover:

a. Review all applicable documents (i.e. CAD Screening Guide, SMART User Guide, etc.)

b. Issue computer and complete CBP Form 259 – Personal Equipment and Clothing Record;

c. Lafayette application review; and

d. Complete all Administrative forms (i.e. Non-disclosure, Personal Identity Verification (PIV) card forms, etc.)

9.3.2. The additional five (5) days of this orientation, the polygraph contractors will conduct, a minimum, of five (5) polygraph examinations with a CAD government employee. Orientations will be completed at the contractor’s facility and will need to be included per-test costs.

9.3.3. Upon the completion of the orientation, contractor examiners will be considered approved to operate and be able to conduct a polygraph examination without government supervision.

9.3.4. If after receiving CBP orientation and approval to operate, a contractor employee is unable to perform the necessary requirements outlined within this SOW, the contract company will be notified that the Government will not accept any evaluations conducted by that contractor employee nor pay for work performed by that contract employee.

10. TERMINATION

10.1. CBP, Office of Internal Affairs must be notified of all contractor employee terminations/resignations within ten (10) days of occurrence. The contractor shall return to the COR all DHS issued keys, identification cards, laptops, and building passes that have either expired or have been collected from terminated employees. If a key, identification card or building pass is not available to be returned, a report shall be submitted to the COR, referencing the pass or card number, name of individual to who it was issued, and the last known location and disposition of the pass or card. The COR will ensure that CBP Forms 259- Personal Clothing and Equipment Record and CBP Form 242 – Contractor Employee Separation Clearance are completed before the departure of a contractor employee or contract.

11. TRAVEL

11.1. There is no travel available as part of this requirement.

11.2. The services to be provided under this contract might require the contractor to travel.

Currently, there is no definite schedule for travel; travel will be dictated as needed.

Travel must be approved, in advance, by the COR in order for travel costs to be reimbursed by the government. Travel costs will be paid on a Time and Material basis.All travel plans and estimated costs must be submitted to the COR for approval, at least five (5) business days prior to any required travel by the contractor. All travel must be conducted in accordance with the Federal Travel Regulations (FTR).

11.3. Upon completion of travel and within the same month, exact expense amounts must be submitted to the COR and CO. Exact expense amounts must not be greater than the estimated expense amounts, unless prior authorized was agreed to by the COR in advance.

11.4. Arrangements for and costs of all travel, transportation, meals, lodging, and incidentals are the responsibility of the Contractor. Travel costs shall be incurred and billed in accordance with the FTR. Costs for these expenses will be reviewed, certified and approved by the COR. All travel and transportation shall utilize commercial sources and carriers. The Government will not pay for business class or first-class travel. Lodging and meals shall be reimbursed in accordance with regulations defined in the FTR.

12. SECURITY

12.1. SECURITY CLEARANCE

12.1.1. A background investigation (BI) will be completed by CBP and is requirement for all personnel associated to this contract. Reciprocity for some clearances might apply and will be administered on a case-by-case basis.

12.1.2. Contractor employees shall not begin working under this task order until a provisional clearance has been granted or their entire BI is found favorable and adjudicated by CBP’s Personnel Security Division. Exceptions to this requirement will be handled on a case-by-case basis.

12.2. SAFEGUARDING INFORMATION

12.2.1. Information made available to the contractor by the government or its customers is considered Sensitive But Unclassified (Law Enforcement Sensitive, Personally Identifiable Information (PII), etc) and shall be used only for the purpose of carrying out the requirements of this contract. This information shall not be divulged or made known in any manner to any persons except as may be necessary in the performance of the contract, when deemed necessary by the Government.

12.2.2. Personally Identifiable Information (PII). PII, which if lost, compromised, or disclosed without authorization, could result in substantial harm, embarrassment, inconvenience, or unfairness to an individual.

12.2.3. During the contractor orientation the Department of Homeland Security Handbook for Safeguarding Sensitive Personally Identifiable Information, dated March 2012 will be provided. During the course of this contract, all contractor employees must adhere to the safeguarding requirements outlined within the aforementioned handbook.

12.2.4. In the performance of this contract, the contractor assumes responsibility for the protection and safeguarding of Government records. When sending PII information outside of the “dhs.gov” domain, users shall ensure that the information is encrypted by using “global password” provided by the Office of Information and Technology.

12.2.5. The contractor will adhere to, at a minimum, all requirements found in Part 24 of the Federal Acquisition Regulation, Protection of Privacy, and Freedom of Information.

12.2.6. All contractor employees must complete and sign, DHS Form 11000-6, Contractor Non-Disclosure Agreement upon their entry into this contract on their report to duty date and provide this to the COR.

12.3. INFORMATION TECHNOLOGY SECURITY REQUIREMENTS:

12.3.1. Contractors who fail to comply with DHS security policies are subject to having their access to DHS IT systems terminated, whether or not the failure results in criminal prosecution. Any person who improperly discloses sensitive information is subject to criminal and civil penalties and sanctions under a variety of laws (e.g., Privacy Act).

All of which apply to this contract’s key requirements.

12.3.2. Once a contracted examiner obtains access to the CBP network, the CBP Information Technology (IT) Security Awareness and Rules of Behavior Training must be completed. This is an online training which should take approximately an hour and is provided through CBP’s Virtual Learning Center (VLC). The certification received after favorably completing the training must be sent to the COR within five (5) days from gaining access to the CBP network.

12.3.3. Failure of a Contractor Employee to complete this training requirement will result in that employee not receiving access to CBP systems and not able to conduct evaluations

FOR OFFICIAL USE ONLY – LAW ENFORCEMENT SENSITIVE

U.S. Customs and Border Protection

Office of Internal Affairs Credibility Assessment Division

Polygraph Report

EXAMINEE INFORMATION:

Name: DOB:

SSN: Position:

EXAM INFORMATION:

Type of Exam: Law Enforcement Pre-Employment Test (LEPET) Authorization:

Location: Date of Auth:

Time In: Time Out:

EXAMINATION SUMMARY

Admissions Summary

Exam Result

DETAILS OF EXAMINATION

Series # Exam Type: Series Result:

Admission Area(s): Pre-Test Post-Test

Attachment A

File No: Examiner: Date of Exam: mm/dd/yyyy

Concluding Remarks Yes No

1. Was Examinee informed of results of the examination?

2. Was an adjudicative summary reviewed with Examinee?

3. Did Examinee confirm the accuracy of the adjudicative summary?

4. Did Examinee agree to further testing, if deemed necessary?

5. Did Examinee affirm being treated fairly and professionally during the examination?

Examiner Comments: