Attachment 6.pdf

DRAFT

HSCG23-08-R-MMZ339 Attachment no. 6 1

CONTRACTOR TECHNICAL AND ADMINISTRATIVE

SAFETY, SECURITY AND SUITABILITY STANDARDS SUPPORT SERVICES

FOR THE U.S. COAST GUARD NATIONAL MARITIME CENTER

TASK ORDER

PERFORMANCE WORK STATEMENT

1.0 GENERAL.

1.1 SCOPE.

The purpose of this task order under HSCG23-08-D-MMZ339 is to obtain Contractor technical and administrative safety, security and suitability standards support services for the U.S. Coast Guard (USCG), National Maritime Center (NMC), Safety and Security Evaluation (SSE) Branch. Contractor tasks shall include verifying Merchant Mariner credential applications for accuracy and authenticity by conducting detailed research and investigation, and completing technically complex reviews of records. Specifically, Contractor tasks shall include: managing records and files; querying public and law enforcement database resources; reviewing legal documentation; contacting law enforcement agencies and personnel; and preparing correspondence and reports detailing final safety/security and suitability determinations on credential applications.

1.2 BACKGROUND.

The goal of evaluations performed by the NMC’s SSE Branch is to ensure applicants comply with safety, security and suitability as defined by Law/Regulation or NMC Policy guidance listed in 6.0 of this PWS, for service in the Merchant Marine.

This branch currently receives approximately 275 electronic credential vetting requests per day. That number can vary by season and can reach 400 a day. Approximately 15% of requests require additional detailed information gathering. For the approximately 85% of applications that do not require additional research, the Contractor has three (3) business days after initial requests are received to screen, review and post to the government database. For the applications that require more detailed research the Contractor has 11 business days to provide a thorough review, post to the Government database and/or provide a written report to the Government.

Current Contractor employees have experience in investigative techniques, regulatory interpretation and interviewing skills which are used to obtain information on applicants from various sources, such as law enforcement agencies, probation officers, medical review officers (MRO), courts, employers and other references provided by the applicant.

1.3 CONTRACTOR PERSONNEL.

1.3.1 Project Manager. See Indefinite Delivery Indefinite Quantity (IDIQ) contract Performance Work Statement (PWS).

1.3.2 Qualified Personnel. See IDIQ contract PWS.

1.3.3 Employee Identification. See IDIQ contract PWS.

1.3.4 Employee Conduct. See IDIQ contract PWS.

1.3.5 Removing Employees for Misconduct or Security Reasons. See IDIQ contract PWS.

HSCG23-08-R-MMZ339 Attachment no. 6 2

1.3.6 Conflict of Interest. See IDIQ contract PWS.

1.4 KEY PERSONNEL.

See IDIQ contract PWS.

1.5 SECURITY.

Contractor access to classified information is not currently required under this task order.

1.6 PERIOD OF PERFORMANCE.

The period of performance for this task order is six (6) months from the date of award.

1.7 PLACE OF PERFORMANCE.

The primary place of performance will be the NMC facility at 100 Forbes Drive Martinsburg, WV, 25404.

1.8 HOURS OF OPERATION.

Contractor employees shall generally perform all work between the hours of 8:00 AM and 5:00 PM local time, Monday through Friday (except Federal holidays). However, there may be occasions when Contractor employees shall be required to work other than normal business hours, including weekends and holidays, to fulfill requirements under this task order.

1.9 TRAVEL.

Contractor travel may be required to support this task order. All travel required by the Government outside the local commuting area(s) will be reimbursed to the Contractor in accordance with the Federal Travel Regulations. The Contractor shall be responsible for obtaining Contracting Officer’s Technical Representative (COTR) approval (electronic mail is acceptable) for all reimbursable travel in advance of each travel event.

1.9.1 Travel locations or Limitations.

Examples of travel locations include: Coast Guard Headquarters, Washington DC; Training Center, Yorktown, VA; Documentation Center, Baltimore, MD, In general these trips would involve one or two employees for short 1-2 day visits.

1.10 KICK-OFF MEETING.

See IDIQ contract PWS

1.11 PROJECT PLAN.

See IDIQ contract PWS

1.12 PROGRESS REPORTS.

The Project Manager shall provide a monthly progress report to the COTR, Contracting Officer and other designated government representatives via electronic mail as detailed in IDIQ contract PWS 1.12. The Contractor shall provide the report in a format approved by the Government at the Kick-Off meeting.

1.12.1 Additionally, the Contractor shall include, at a minimum, the following information in the progress reports:

• Applications and status (e.g. received, screened, closed, reviewed, returned to screener after review, returned to investigator from reviewer, returned to applicant); and, HSCG23-08-R-MMZ339 Attachment no. 6 3 o Report reasons for holding application (e.g. Immigration issues, Fingerprint issues, National Driver Registry, issues (NDR), Slow/No Regional Exam Center (REC) response).

o Report reasons for denying an application (e.g. Drug use/conviction, National Driver Registry conviction, Convictions listed in 46 CFR, Character and Habits of Life).

• General information (e.g. Numbers of the following: errors in printing; status checks; 12 month exemptions; Officer in Charge of Marine Inspection (OCMI) resolutions; License/Merchant Mariner Document (MMD) endorsements; unlocks for processing; RECs entered wrong status/info; rush requests; rush cases; phone calls; resets to “N”; REC questions).

• Other relevant data that the COTR may require (without modification to the task order).

1.12.2 Specific data calls for information such as that contained in the monthly progress report shall be provided to the USCG reviewer within 4 hours of request.

1.13 PROGRESS MEETINGS.

The Contractor shall be available to meet on a monthly basis with the COTR or other government designated representative to present deliverables, discuss progress reports and process improvement, exchange information, and resolve emergent problems, issues and other pertinent matters.

1.14 GENERAL REPORT REQUIREMENTS.

See IDIQ Contract PWS.

1.15 PERFORMANCE REQUIREMENTS SUMMARY.

This task order includes a Performance Requirements Summary (PRS). In general, the PRS sets forth the expected outcomes (objectives) of the task order, the service(s) required of the Contractor to achieve the objectives, a performance standard per outcome, and a plan for a reduction in payment in the event the Contractor does not meet the performance standard. The PRS is not an exclusive remedy and inclusion of the PRS does not preclude the Government from using any other remedy available by law or contract terms, including deducting/withholding in payment in accordance with any clause for inspection of services.

1.16 INTELLECTUAL PROPERTY.

See IDIQ contract PWS

1.17 PROTECTION OF INFORMATION.

See IDIQ contract PWS

1.18 SECTION 508 COMPLIANCE.

See IDIQ contract PWS

2.0 GOVERNMENT TERMS & DEFINITIONS.

2.1 CFR – Code of Federal Regulations

2.2 COTR – Contracting Officer’s Technical Representative

2.3 DHS – Department Of Homeland Security

2.4 FAQ – Frequently Asked Questions

2.5 FAR – Federal Acquisition Regulations

2.6 FOIA – Freedom of Information Act

2.7 FOUO – For Official Use Only

2.8 GFP/GFI – Government furnished property/information

HSCG23-08-R-MMZ339 Attachment no. 6 4

2.9 ISO – International Organization for Standardization

2.10 MLD – Mariner Licensing and Documentation

2.11 MMD Merchant Mariner Document

2.12 MMLD – Merchant Mariner Licensing and Documentation

2.13 MMS – Mission Management System

2.14 MSSI – Merchant Mariner Safety and Security Investigation

2.15 NACLC – National Agency Check with Local Agency Check and Credit Check

2.16 NVIC - Navigation and Vessel Inspection Circular

2.17 NMC – National Maritime Center

2.18 OCMI Officer in Charge of Marine Inspection

2.19 OSS – On-site Supervisor

2.21 PII – Personal Identification Information

2.21 PQE – Professional Qualification Evaluations

2.22 PRS – Performance Requirement Summary

2.23 PWS – Performance Work Statement

2.24 QSS – Quality Standards System

2.25 REC – Regional Exam Center

2.26 SBU – Sensitive But Unclassified

2.27 SSE – Safety, Security and Suitability

2.28 STCW – Standards of Training, Certification and Watchkeeping for Seafarers

2.29 U.S.C. – United States Code

2.30 USCG – U.S. Coast Guard

3.0 GOVERNMENT FURNISHED RESOURCES.

The Government will provide the following property and information to the Contractor for work required under this task order:

3.1 The Coast Guard will provide all necessary facilities (work space, workstation, phones, fax, Internet access, etc.), information, documentation, and standards necessary to perform the task. This includes access to the Merchant Mariner Licensing and Documentation (MMLD) system and the help desk tracking system.

3.2 The Government will provide access to Coast Guard subject matter experts that can answer questions for which answers are not available in published Frequently Asked Questions (FAQs) and other documents (see References).

3.3 The Contractor shall use Government furnished property only for the performance of work under this task order, and all government furnished property/information (GFP/GFI) shall be returned to the Government at the completion of this task order.

4.0 CONTRACTOR FURNISHED PROPERTY.

The Contractor shall furnish all facilities, materials, equipment and services necessary to fulfill the requirements of this task order, except for the Government Furnished Resources specified in the IDIQ or PWS 3.0 and 5.0 of this work statement.

5.0 REQUIREMENTS.

The contractor shall provide technical and administrative support services to assist the U.S. Coast Guard in evaluating and processing applications for merchant mariner credentials.

5.1 Initial Technical Screening Support. The Contractor shall conduct initial technical screenings at a rate commensurate with the incoming daily workload – estimated to vary between 250 to 400 per day. It is

HSCG23-08-R-MMZ339 Attachment no. 6 5 anticipated that approximately 85% of the requests shall only require initial technical screening (the remaining 15% shall be processed in accordance with PWS 5.2). At a minimum, the initial safety/security screenings shall include the following:

5.1.1 The Contractor shall screen electronic credential vetting requests in accordance with Coast Guard rules, regulations, and policies to ensure performance of a thorough and complete background information analysis. Initial technical screening shall include the following:

• evaluating the results of the FBI background check,

• conducting a National Drivers Register check,

• conducting a Local Agency Check (LAC)/Records checks,

• verifying the applicant’s personal information with information in other complex databases,

• conducting law enforcement checks,

• conducting court record checks,

• conducting commercial data base checks, and

• acquiring criminal records via use of complex commercial and government data bases.

5.1.2 The Contractor shall enter routine or missing data or correct erroneous information in the Merchant Mariner Licensing and Documentation (MMLD) system under the Merchant Mariner Safety and Security Investigation (MSSI) and NMC functions. Data entry shall include, but is not limited to pertinent personal information regarding an applicant’s identity, criminal history, citizenship, National driver’s record history, fingerprint results, and other pieces of information as necessary.

5.1.3 The Contractor shall enter an applicant’s status in the vetting process into the MMLD remarks section.

5.1.4 The Contractor shall enter detailed remarks into the MMLD correspondence section regarding: the applicant’s status, file location, and other pertinent internal NMC file tracking information.

5.1.5 The Contractor shall enter detailed reports into the MSSI section of MMLD as outlined in 5.2 of this

PWS

5.1.6 The Contractor shall evaluate all information received in the screening process against all safety and security standards including regulations, policies and other requirements listed in paragraph 6.0 of the IDIQ PWS and this task order in order to render a recommendation to the Government regarding a Mariner’s safety and security compliance. Contractors shall complete and keep checklists and other records required by the MLD MMS.

5.1.6.1 The Contractor shall track gaps, non-compliance or other indications that a record does not match requirements.

5.1.6.2 The Contractor shall provide status of requirements to the COTR or designated government representative upon request (see PWS 1.12).

5.1.6.3 Unless further investigation is required, within two (2) business days of receipt of electronic record, the Contractor shall complete the screening of each application and forward for review.

5.1.6.4 If further investigation is required after screening, the Contractor shall generate a report in the MSSI portion of the MMLD system outlining the reasons for further investigation and forward the application electronically to an investigator (see PWS 5.2).

HSCG23-08-R-MMZ339 Attachment no. 6 6

5.1.6.5 The Contractor shall review all drug testing reports submitted in support of a credential application and forward any adverse information to the Coast Guard for action.

5.2 Investigations Support. If warranted by the initial technical screening, the Contractor shall conduct additional safety/security investigations of applicants beyond the requirements of PWS 5.1. It is anticipated that approximately 15% of the requests initially screened shall require investigation.

5.2.1 The Contractor shall conduct personal and criminal records reviews of credential applicants, including specialized and technical work associated with background checks primarily using electronic data and telephone interviews.

5.2.1.1 The Contractor shall conduct background checks and collect information from various local, state and federal databases, complex commercial databases, and appropriate official records sources, such as state and local court houses, other government agencies, probation officers, medical review officers, employers or other references provided by applicant, etc.

5.2.1.2 The Contractor shall confirm identity and personal histories of applicants (e.g. completing interviews with law enforcement agencies, verifying information in databases and comparing information provided by applicant with information collected from external sources.) Additionally, the Contractor shall establish continuity for an applicant’s claimed activities and account for movement from place to place as necessary.

5.2.1.3 The Contractor shall ensure data gathered establishes the applicant’s general character, integrity, trustworthiness, loyalty to the United States, and overall suitability for employment as a merchant mariner.

5.2.2 The Contractor shall review the Mariner application to verify the accuracy of the information provided by the applicant in accordance with the references found in paragraph 6.0 of the IDIQ PWS and this task order.

5.2.2.1 Verification shall include, but may not be limited to, researching and crosschecking the applicant’s responses against information provided in numerous safety and security databases and analyzing and reporting the findings.

5.2.3 The Contractor shall provide detailed investigations, case files, and written reports. The Contractor shall document information obtained from all background-check sources in the MSSI section of MMLD.

5.2.3.1 Reports shall be detailed and concise, and shall be of sufficient quality to act/serve as evidence in the event of an administrative appeal or other form of arbitration.

5.2.3.2 Contractors shall be required to provide justified recommendations for approval or denial based on all applicable references.

5.2.3.3 Reports shall capture any disqualifying aspects of an applicant’s criminal history.

5.2.3.4 Reports shall outline the cause(s) for disqualification/denial and the corresponding regulation or policy which supports the grounds for a recommendation.

5.2.4 Significant safety or security concerns including fraudulent information, connection to terrorism or other questionable matters shall be brought to the attention of the Government Reviewer immediately via e-mail or hand carried memo.

HSCG23-08-R-MMZ339 Attachment no. 6 7

5.2.5 The Contractor shall complete each investigation within ten business days of the initial screening completion date. Should circumstances preclude timely completion, a justification and alternate schedule for completion shall be provided to the designated Coast Guard authority for approval. The Government Reviewer will be notified of any case held for investigations beyond ten business days and it shall be identified on the monthly progress report (PWS 1.12 and 7.0).

5.3 Technical Review Support. The Contractor shall review all investigations, case files, correspondence, and written reports, prior to submitting these items to the designated Coast Guard official for final review.

5.3.1 The Contractor shall ensure that data evaluation, interpretation of regulations, analysis obtained and written case analyses/reports are prepared in accordance with U.S. Law, Coast Guard regulations, policy and other requirements that apply. Additionally, reports must be grammatically correct and in a format specified by the Coast Guard using the Coast Guard Correspondence Manual

5.3.2 The Contractor shall ensure that reports show whether applicants meet suitability requirements to hold a Coast Guard issued credential and that information obtained by the background check process is sufficient and adequate for suitability determinations.

5.3.3 The Contractor shall resolve/justify suitability issues prior to forwarding applications to a designated Coast Guard official for final review and determination. However, the Contractor shall notify the Government if the timeframes listed in 5.1 or 5.2 will not be met.

5.3.4 The Contractor technical review shall be completed within one (1) business day after the screening or investigation is complete.

5.4 Support for Requests for Reconsideration and Appeals of Denial Actions. The Contractor shall provide support for requests for reconsideration and appeals of NMC safety/security vetting decisions.

5.4.1. The Contractor shall prepare draft responses to applicants being denied credentials, requesting reconsideration, and appealing NMC denial determinations in consultation with appropriate Coast Guard officials and consistent with Coast Guard policies and procedures.

5.4.1.1 This action on an appeal shall involve review of applicant’s file and any additional information, consideration of applicant’s arguments, and further research as necessary which may include contacting the applicant directly.

5.4.1.2 Responses to requests for reconsideration and appeals shall be completed within five (5) business days of receipt. If the Contractor is unable to meet this date the Government Reviewer shall be informed regarding the circumstances surrounding the delay. The NMC historically receives requests for reconsideration and appeals on less than 1% of its security determinations.

5.5 Clerical Support. The Contractor shall provide clerical support to the U.S. Coast Guard during the evaluation and processing of credential applications.

5.5.1 The Contractor shall ensure all documents and case files generated by the screening and information analysis processes are cataloged and electronically filed, in MMLD or another method approved by the NMC. This task shall involve scanning documents and maintaining them electronically for immediate location and retrieval.

HSCG23-08-R-MMZ339 Attachment no. 6 8

5.5.2 The Contractor shall provide and maintain an electronic tracking system on the Coast Guard Data Network (CGDN) that is compatible with CGDN security requirements and that enables the USCG to track work-in-progress and locate all documents and case files. MMLD does not have tracker-functionality, so entries are required in both MMLD and a separate electronic tracking system in order to capture all pertinent data. When USCG upgrades (or replaces) MMLD, it should have tracker-functionality and this paragraph will no longer be required.

5.5.3 The Contractor shall draft documentation for Government signature in accordance with the Coast Guard Correspondence Manual (IDIQ contract PWS 6.9) and process and file correspondence and other documentation (e.g. routing, mailing and filing for storage and retrieval).

5.5.4 The Contractor shall provide clerical support to respond to the needs of the NMC and individual RECs requesting MMLD approval resets for errors in printing and release for printing those records that do not require complete application submissions such as Endorsements and Credential requests within one year of last vetting submission.

5.5.4.1 The Contractor shall monitor the “MMLD Active” e-mail file folder. This task may be performed by an evaluator while working routine screenings. Upon receipt of an “MMLD Active” e-mail request:

• The Contractor shall evaluate the e-mail request against information contained on file or in

MMLD and determine if the request is warranted per regulation/policy.

• If validated, the Contractor shall make the appropriate entry in MMLD that allows the requesting office to print a credential.

• The Contractor shall evaluate and respond to requests received via the “MMLD Active” file e-mail file folder within 10 minutes of receipt.

• The Contractor shall log and account for all “MMLD Active” file actions in the monthly report.

5.6 Mission Management System.

5.6.1. The Contractor shall adapt to changes driven by the MMS.

5.6.2. The Contractor shall provide recommendations for continuous MMLD Program improvement opportunities.

6.0 REFERENCES.

33 Code of Federal Regulations part 20 & 95 46 Code of Federal Regulations part 1, 5, 10, 12, & 16 46 United States Code, Subtitles I & II, Parts 1, 5, 10, 12 and 16 49 Code of Federal Regulations part 40 49 United States Code, chapter 40 Coast Guard Correspondence Manual Coast Guard Policy Guidance Coast Guard SSIC Manual Federal Register amendments to law/regulation as applicable Legislative changes to public law as applicable

HSCG23-08-R-MMZ339 Attachment no. 6 9

Marine Safety Manual Volume III NMC MMS forms NMC Policy Guidance Navigation Vessel and Inspection Circulars (NVICs) Standards of Training, Certification & Watchkeeping (STCW)

Note: PWS 7.0 begins on the next page.

HSCG23-08-R-MMZ339 Attachment no. 6 10

7.0 DELIVERABLES.

Longer process times for screenings and investigations, where necessary, may be agreed upon by the Contractor and NMC and must have a documented explanation.

ITEM PWS DELIVERABLE / EVENT DUE BY

1 1.10 Kick-Off Meeting Not later than five (5) business days after award.

2 1.10;

1.11 Draft Contractor Project Plan Not later than Kick-Off Meeting

3 1.10;

1.11 Final Contractor Project Plan Not later than three (3) business days after

Kick-Off Meeting

4 1.12 Progress Reports Monthly. The 5th of the following month.

5 5.1 Initial Technical Screenings Completed.

Within two (2) business days of receipt of request for evaluation.

6 5.1 Initial Technical Screenings reviewed and Posted to Government Database

Within one (1) business day of completion of initial technical screening.

7 5.2 Investigations completed. Within ten (10) business days of completion of the initial technical screening.

8 5.3 Investigations forwarded to Government Reviewer with written report and recommendation

When necessary, within one (1) business day of completion of investigation.

9 1.12.2 Data Requests completed Within 4 hours of request.

10 5.5.2 File maintenance and retrieval tracker As required.

11 5.5.4.1 Responses to “MMLD Active” e-mail Requests. Within ten (10) minutes of request.

Note: PWS 8.0 begins on the next page.

DRAFT

8.0 PERFORMANCE REQUIREMENTS SUMMARY (PRS).

The PRS table below reflects the deliverables considered by the Coast Guard to be most important for the successful performance of this task order. This includes the expected standards of performance and positive or negative incentives.

CONTRACTOR TECHNICAL AND ADMINISTRATIVE

SAFETY, SECURITY AND SUITABILITY STANDARDS SUPPORT SERVICES

FOR THE U.S. COAST GUARD, NATIONAL MARITIME CENTER

Objectives Required Service Performance Standard Incentives (positive or negative)

1. Timely receipt of all documents

Provide final draft of all documents on time.

(PWS 7.0)

100% on time delivery. If the Contractor fails to meet the performance standard, the results may be reflected in the Contractor’s performance evaluation for the Task Order.

2. Format All deliverables are in the specified medium (e.g. paper or electronic) and compatible with the current suite of Coast Guard software.

The ISO style shall be the default format.

Meets the format requirements in the PWS and is compatible.

If the Contractor fails to meet the performance standard, the results may be reflected in the Contractor’s performance evaluation for the Task Order.

3. Timely processing of all MMC applications received for SSE screening.

The Contractor shall screen all applications received by the NMC. (PWS 5.1).

Applications screened within two (2) business days of receipt by the Government, unless the Government causes delay.

If the Contractor fails to meet the performance standard, the results may be reflected in the Contractor’s performance evaluation for the Task Order.

DRAFT

CONTRACTOR TECHNICAL AND ADMINISTRATIVE

SAFETY, SECURITY AND SUITABILITY STANDARDS SUPPORT SERVICES

FOR THE U.S. COAST GUARD, NATIONAL MARITIME CENTER

Objectives Required Service Performance Standard Incentives (positive or negative)

4. Timely Completion of SSE information analyses that enable the Coast Guard to make determinations.

When screening indicates further analysis is appropriate, the Contractor shall conduct information analyses of screening cases identified with National Security or Marine Safety concerns (PWS 5.2.1).

Investigations completed within 10 business days of completion of initial technical screening

If the Contractor fails to meet the performance standard, the results may be reflected in the Contractor’s performance evaluation for the Task Order.

5. Accurate SSE Findings and Recommendations.

The Contractor shall provide a recommendation for the disposition of each application to the Safety/Security Evaluation Branch (PWS 5.1.4; 5.2.1).

On a monthly basis, not more than 1% of the applications recommended to "Continue Processing" by the Contractor are subsequently disapproved or returned for rework by the Government.

If the Contractor fails repeatedly to meet the performance standard, the results may be reflected in the Contractor’s performance evaluation for the Task Order.

6. High Quality written reports that facilitate good decision making by the Coast Guard.

All documents, reports, and analyses produced by Contractor shall be well designed, clearly written and expertly edited

• Meets the requirements set forth in the PWS

• Written in a clear and simple language

• Organized in a logical manner

• Are free from grammatical errors

Based upon government sampling of Contractor work, if more than one inspection reveals material errors in separate samples, the results may be reflected in the Contractor’s past performance evaluation for the Task Order

DRAFT

CONTRACTOR TECHNICAL AND ADMINISTRATIVE

SAFETY, SECURITY AND SUITABILITY STANDARDS SUPPORT SERVICES

FOR THE U.S. COAST GUARD, NATIONAL MARITIME CENTER

Objectives Required Service Performance Standard Incentives (positive or negative)

7. No unauthorized disclosure of Privacy Act or sensitive information.

The Contractor shall safeguard all Privacy Act and other sensitive information and materials in accordance with federal law and U.S. Coast Guard policy and regulations (PWS 1.16)

Zero incidents A progressive series of reductions will apply for each documented incident that results in the unauthorized disclosure of privacy information to unauthorized personnel. For the first incident, a $5,000 reduction will apply. For any and each subsequent incident, the Government reserves the right to impose a $10,000 reduction or terminate the Task Order.