RISK_SOW.docx

STATEMENT OF WORK (SOW)

FOR

RISK ASSESSMENT STRATEGY SUPPORT

1.0 GENERAL

1.1 OVERVIEW:

Federal Emergency Management Agency (FEMA), Grant Programs Directorate (GPD) effort to conduct a comprehensive grant program review and develop policy options to enhance the impact and effectiveness of FEMA grant programs.

1.2 PURPOSE/INTENT:

FEMA GPD has an immediate requirement to conduct a comprehensive grant review to ensure that grants address the current and emerging threat and risk environment. The policy changes that result from this review will ensure that FEMA GPD is directing preparedness grant dollars consistent with the all-hazard threat and risk environment.

1.3 SCOPE OF WORK:

This review must be conducted across all FEMA administered preparedness grant programs to ensure that the program goals, scope and partners; all methodologies and associated analytic inputs; and any other assumptions are still relevant and therefore improving our nation's capability to prepare for, protect against, respond to, recover from, and mitigate all hazards. In addition, this review must consider whether the current preparedness grant programs are consistent with all new federal guidance and doctrine and Congressional authorization language from the program delivery and outcomes perspective.

The findings from the grant review will provide FEMA GPD with a range of data points and observations that must be analyzed to develop policy recommendations. Policy recommendations must be socialized with Department of Homeland Security (DHS) and FEMA leadership as well as FEMA GPD stakeholders to determine implementation viability and resource requirements. Following this process, FEMA GPD will work with all relevant stakeholders to implement the new policy recommendations.

Recommendations could include updating a grant formula or designing a new grant program to address a critical gap or emerging threat. FEMA GPD expects this to be a multi-year effort that is managed using agile project management practices. This ensures that as the grant review identifies issues or gaps, the policy team will begin developing policy recommendations to address those issues and gaps instead of waiting until the complete grant review task is complete. The following two tasks will be required to support this effort. Some of these tasks will be discrete, but others will extend across the period of performance.

The contractor will not make or decide policy or otherwise perform inherently governmental work.

2.0 SPECIFIC REQUIREMENTS/TASKS

2.1 Task 1. Grant Program Review

This effort requires assistance in completing a comprehensive preparedness grant program review to ensure that the program goals, scope and partners; all methodologies and associated analytic inputs; and any other assumptions are still relevant and therefore improving our nation's capability to prepare for, protect against, respond to, recover from, and mitigate all hazards. The following sub-tasks are required to support the grant program review.

2.1.1 Gap Analysis

Assist in data collection efforts to ensure that all current and relevant information related to preparedness grants is collected for analysis. This includes: grant program guidance, grant reporting, all inputs and analysis associated with the grant determination, Threat and Hazard Identification and Risk Assessments (THIRAs), and stakeholder exchanges. This data will need to be analyzed in conjunction with Congressional guidance, any GAO reports, and the current risk and threat picture. The findings from these tasks will result in a gap analysis that will serve as the foundation for further inquiry.

2.1.2 Interagency Coordination and Stakeholder Outreach and Communication FEMA GPD grants are developed and implemented in close coordination with internal and external stakeholders to include: state and local community and DHS program offices that support the grant programs such as TSA, the USCG, NPPD, Office of Intelligence and Analysis, and other public/private entities that own and/or manage sources of data. Stakeholder input during the grant review will be incorporated with FEMA GPD acceptance. Assistance is needed to coordinate working group sessions, teleconferences, briefings, joint analytic projects, and potentially joint program development. Some engagement coordination and outreach tasks will require travel.

2.1.3 Risk and Threat Analysis

As input to the grant review, assistance is needed to develop a risk and threat outlook that captures emerging and evolving threats and risks to our homeland. This analytic product will be developed in partnership with those federal agencies and stakeholders determined to have the most robust and trusted data sets. The most current open source information from both government sources and the private sector will need to be reviewed to create a risk outlook, from information that already exists to save time and costs.

2.2 Task 2. Policy Development and Implementation

The grant review analysis will determine the policy solutions to be developed and implement ensuring FEMA preparedness grants are distributed according to the current all hazard threat and risk environment. The following sub-tasks are required to assist in the policy development and implementation task.

2.2.1 Pilot Program Design and Execution

Pilot programs will need to be designed and executed to test any new policy process and program recommendations that result from the grant review. This includes assisting in developing the pilot concept of operations (CONOPs), identifying pilot participants, managing all logistics, funding and personnel requirements, and designing the pilot metrics package.

During the pilot, all activity must be monitored to ensure that the pilot is proceeding according to the CONOPs and any necessary are adjustments made in coordination with the pilot team. Following the pilot, reports and develop recommendations will need to be created for the way forward. Some pilots may require travel.

2.2.2 Metrics/Assessment

In support of pilot projects and policy implementation, FEMA GPD will need assistance to develop meaningful metrics. These metrics will be the indicators, or guideposts, for the new process, policies, and programs being considered or implemented. Metrics are critical during the early and mid-stages of any pilot or program change to identify any necessary course corrections. Current FEMA GPD metrics will need to be reviewed to ensure that any beneficial connections or linkages are made to either reduce the reporting burden and duplication of effort.

2.2.3 Policy Writing and Implementation

FEMA GPD will need assistance in preparing policy documents in support of this effort, this includes supporting Standard Operating Procedures (SOPs), and any documents co-authored with stakeholders, briefings, talking points and speeches. During the policy implementation phase, FEMA GPD program leads will need assistance to ensure policies are implemented according to design and support troubleshooting.

3.0 CONTRACTOR PERSONNEL

3.1 Qualified Personnel

The Contractor shall provide qualified personnel to perform all requirements specified in this SOW.

3.2 Continuity of Support

The Contractor shall ensure that the contractually required level of support for this requirement is maintained at all times. The Contractor shall ensure that all contract support personnel are present for all hours of the workday. If for any reason the Contractor staffing levels are not maintained due to vacation, leave, appointments, etc., and replacement personnel will not be provided, the Contractor shall provide e-mail notification to the Contracting Officer’s Representative (COR) prior to employee absence. Otherwise, the Contractor shall provide a fully qualified replacement.

3.3 Key Personnel

Before replacing any individual designated as Key by the Government, the Contractor shall notify the Contracting Officer no less than 15 business days in advance, submit written justification for replacement, and provide the name and qualifications of any proposed substitute(s). All proposed substitutes shall possess qualifications equal to or superior to those of the Key person being replaced, unless otherwise approved by the Contracting Officer. The Contractor shall not replace Key Contractor personnel without approval from the Contracting Officer. The following Contractor personnel are designated as Key for this requirement. Note: The Government may designate additional Contractor personnel as Key at the time of award.

Project Manager

3.3.1 Contractor Key personnel shall not be assigned by the Contractor to more than one key position for this requirement.

3.4 Project Manager

The Contractor shall provide a Project Manager who shall be responsible for all Contractor work performed under this SOW. The Project Manager shall be a single point of contact for the Contracting Officer and the COR. It is anticipated that the Project Manager shall be one of the senior level employees provided by the Contractor for this work effort. The name of the Project Manager, and the name(s) of any alternate(s) who shall act for the Contractor in the absence of the Project Manager, shall be provided to the Government as part of the Contractor's proposal. The Project Manager is further designated as Key by the Government. During any absence of the Project Manager, only one alternate shall have full authority to act for the Contractor on all matters relating to work performed under this contract. The Project Manager and all designated alternates shall be able to read, write, speak and understand English. Additionally, the Contractor shall not replace the Project Manager without prior approval from the Contracting Officer.

3.4.1 The Project Manager shall be available to the COR via telephone between the hours of 10am and 6pm EST, Monday through Friday, and shall respond to a request for discussion or resolution of technical problems within 2-4 hours of notification or first thing the following business day if request is made the second half of the day.

3.5 Employee Identification

3.5.1 Contractor employees visiting Government facilities shall wear an identification badge that, at a minimum, displays the Contractor name, the employee’s photo, name, clearance-level and badge expiration date. Visiting Contractor employees shall comply with all Government escort rules and requirements. All Contractor employees shall identify themselves as Contractors when their status is not readily apparent and display all identification and visitor badges in plain view above the waist at all times.

3.5.2 Contractor employees working on-site at Government facilities shall wear a Government issued identification badge. All Contractor employees shall identify themselves as Contractors when their status is not readily apparent (in meetings, when answering Government telephones, in e-mail messages, etc.) and display the Government issued badge in plain view above the waist at all times.

3.6 Employee Conduct

Contractor’s employees shall comply with all applicable Government regulations, policies and procedures (e.g., fire, safety, sanitation, environmental protection, security, “off limits” areas, wearing of parts of FEMA uniforms, and possession of weapons) when visiting or working at Government facilities. The Contractor shall ensure Contractor employees present a professional appearance at all times and that their conduct shall not reflect discredit on the United States or the Department of Homeland Security/Federal Emergency Management Agency. The Project Manager shall ensure Contractor employees understand and abide by DHS/FEMA established rules, regulations and policies concerning safety and security.

3.7 Removing Employees for Misconduct or Security Reasons

The Government may, at its sole discretion (via the Contracting Officer), direct the Contractor to remove any Contractor employee from FEMA facilities for misconduct or security reasons. Removal does not relieve the Contractor of the responsibility to continue providing the services required under the contract. The Contracting Officer will provide the Contractor with a written explanation to support any request to remove an employee.

4.0 OTHER APPLICABLE CONDITIONS

4.1 Security Clearance.

Unclassified, Public Trust

4.2 Sensitive But Unclassified/for Official Use Only (FOUO) Information The Contractor shall comply with FEMA’s published policies concerning sensitive but unclassified/FOUO information in accordance with DHS Management Directive (MD) 11042.1 and its successors. In accordance with DHS MD 11042.1, all Contractor employees that will access FOUO information in performance under this contract shall execute a DHS Form 11000-6, Sensitive But Unclassified Information Non Disclosure Agreement (NDA), as a condition of access to such information.

4.3 Contractor User Security Agreement

The Contractor acknowledges that during the term of this requirement, all Contractor employees may be required to sign some form of Contractor User Security Agreement. The Contractor agrees to have all Contractor employees sign the agreement. Contractor employees may be required to complete DHS and/or FEMA security-specific training as directed by the Government including, but not limited to, Operations Security (OPSEC) and Insider Threat Awareness trainings.

4.4 STANDARD SECURITY LANGUAGE

BACKGROUND INVESTIGATIONS

All contractor personnel who require access to DHS or FEMA information systems, routine access to DHS or FEMA facilities, or access to sensitive information, including but not limited to Personally Identifiable Information (PII), shall be subject to a full background investigation commensurate with the level of the risk associated with the job function or work being performed. FEMA’s Personnel Security Division (PSD) will determine the risk designation for each contractor position by comparing the functions and duties of the position against those of a same or similar federal position, applying the same standard for evaluating the associated potential for impact on the integrity and efficiency of federal service.

Low Risk without Information System Access Contractor personnel occupying positions or performing functions with a Low Risk designation and who do not require access to DHS or FEMA information systems may undergo a Tier 1 investigation with a credit check and must receive a favorable adjudication thereof from FEMA PSD prior to performing work under this contract.

Low Risk with Information System Access Contractor personnel occupying positions or performing functions with a Low Risk designation and who require access to DHS or FEMA information systems shall undergo a Tier 2 Suitability Background Investigation (T2) and must receive a favorable adjudication thereof from FEMA PSD prior to performing work under this contract.

Moderate Risk Contractor personnel occupying positions or performing functions with a Moderate Risk designation shall undergo a Tier 2 Suitability Background Investigation (T2) and must receive a favorable adjudication thereof from FEMA PSD prior to performing work under this contract.

High Risk Contractor personnel occupying positions or performing functions with a High Risk designation shall undergo a Tier 4 Suitability Background Investigation (T4) and must receive a favorable adjudication thereof from FEMA PSD prior to performing work under this contract.

Background Investigation Process To initiate the request to process contractor personnel, the Contractor shall provide the FEMA Contracting Officer’s Representative (COR) with all required information and comply with all necessary instructions to complete Section II of the FEMA Form 121-3-1-6, “Contract Fitness/Security Screening Request.” The FEMA COR shall ensure that all other applicable sections of the FEMA Form 121-3-1-6 are complete prior to submitting the form to FEMA PSD for processing. The Contractor shall also provide the FEMA COR with completed OF 306, “Declaration for Federal Employment,” forms for all contractor personnel.

Contractor personnel who already have a favorably adjudicated background investigation, may be eligible to perform work under this contract without further processing by FEMA PSD if:

· the investigation was completed within the last five years,

· it meets or exceeds the minimum requirement for the position they will occupy or functions they will perform on this contract,

· the contractor personnel have not had a break in employment since the prior favorable adjudication, and,

· FEMA PSD has verified the investigation and confirmed that no new derogatory information has been disclosed which may require a reinvestigation.

FEMA PSD will notify the COR of the names of the contractor personnel eligible to work based on prior, favorable adjudication. The COR will, in turn, notify the Contractor of the names of the favorably adjudicated contractor personnel, at which time the favorably adjudicated contractor personnel will be eligible to begin work under this contract.

For those contractor personnel who do not have an acceptable, prior, favorable adjudication or who otherwise require reinvestigation, FEMA PSD will issue an electronic notification via email directly to the contractor applicant/personnel that contains the following documents, which are incorporated into this contract by reference, along with a link to the Office of Personnel Management’s (OPM) Electronic Questionnaires for Investigation Processing (e-QIP) system and instructions for submitting the necessary information:

· Standard Form 85P, “Questionnaire for Public Trust Positions”

· Optional Form 306, “Declaration for Federal Employment”

· SF 87, “Fingerprint Card” (2 copies)

· DHS Form 11000-6, “Non-Disclosure Agreement”

· DHS Form 11000-9, “Disclosure and Authorization Pertaining to Consumer Reports Pursuant to the Fair Credit Reporting Act” FEMA PSD will only accept complete packages consisting of all of the above document and Standard Form 85P, which must be completed electronically through the Office of Personnel Management’s e-QIP system. The Contractor is responsible for ensuring that all contractor personnel timely and properly submit all required background information.

Once contractor personnel have properly submitted the complete package of all required background information, FEMA’s Personnel Security Division, at its sole discretion, may grant contractor personnel temporary eligibility to perform work under this contract prior to completion of the full background investigation if the Personnel Security Division’s initial review of the contractor personnel’s background information reveals no issues of concern. In such cases, FEMA’s Personnel Security Division will provide notice of such temporary eligibility to the COR who will then notify the Prime Contractor, at which time the identified contractor personnel will be temporarily eligible to begin work under this contract. Neither the Prime Contractor nor the contractor personnel has any right to such a grant of temporary eligibility. The grant of such temporary eligibility shall not be considered as assurance that the contactor personnel will remain eligible to perform work under this contract upon completion of and final adjudication of the full background investigation.

Upon favorable adjudication of the full background investigation, FEMA’s Personnel Security Division will update the contractor personnel’s security file and take no further action. In any instance where the final adjudication results in an unfavorable determination FEMA’s Personnel Security Division will notify the contractor personnel directly, in writing, of the decision and will provide the COR with the name(s) of the contractor personnel whose adjudication was unfavorable. The COR will then forward that information to the Contractor. Contractor personnel who receive an unfavorable adjudication shall be ineligible to perform work under this contract. Unfavorable adjudications are final and not subject to review or appeal.

Continued Eligibility and Reinvestigation Eligibility determinations based on a Low Risk T1, Moderate Risk T2S or High Risk T4 are valid for five years from the date that the investigation was completed and closed. Contractor personnel required to undergo a background investigation to perform work under this contract shall be ineligible to perform work under this contract upon the expiration the background investigation unless and until the contractor personnel have undergone a reinvestigation and FEMA’s Personnel Security Division has renewed their eligibility to perform work under this contract.

Exclusion by Contracting Officer The Contracting Officer, independent of FEMA’s Personnel Security Division, may direct the Contractor be excluded from working on this contract. Any contractor found or deemed to be unfit or whose continued employment on the contract is deemed contrary to the public interest or inconsistent with the best interest of the agency may be removed.

FACILITY ACCESS

The Contractor shall comply with FEMA Directive 121-1 “FEMA Personal Identity Verification Guidance,” FEMA Directive 121-3 “Facility Access,” and FEMA Manual 121-3-1 “FEMA Credentialing Access Manual,” to arrange for contractor personnel’s access to FEMA facilities, which includes, but is not limited to, arrangements to obtain any necessary identity badges for contractor personnel.

Contractor personnel working within any FEMA facility who do not require access to DHS or FEMA IT systems and do not qualify for a PIV Card may be issued a Facility Access Card (FAC). FACs cannot exceed 180 days; all contractors requiring access greater than 180 days will need to qualify for and receive a PIV card before being allowed facility access beyond 180 days.

Contractor personnel shall not receive a FAC until they have submitted a SF 87, “Fingerprint Card,” and receive approval from FEMA PSD. Contractor personnel using a FAC for access to FEMA facilities must be escorted in Critical Infrastructure areas (i.e., server rooms, weapons rooms, mechanical rooms, etc.) at all times.

FEMA may deny facility access to any contractor personnel whom FEMA’s Office of the Chief Security Officer has determined to be a potential security threat.

The Contractor shall notify the FEMA COR of all terminations/resignations within five calendar days of occurrence. The Contractor must account for all forms of Government-provided identification issued to contractor employees under a contract (i.e., the PIV cards or other similar badges) must return such identification to FEMA as soon as any of the following occurs:

· When no longer needed for contract performance.

· Upon completion of a contractor employee’s employment.

· Upon contract completion or termination.

If an identification card or building pass is not available to be returned, the Contractor shall submit a report to the FEMA COR, referencing the pass or card number, name of the individual to whom it was issued, and the last known location and disposition of the pass or card.

The Contractor or contractor personnel’s failure to return all DHS- or FEMA-issued identification cards and building passes upon expiration, upon the contractor personnel’s removal from the contract, or upon demand by DHS or FEMA may subject the contractor personnel and the Contractor to civil and criminal liability.

4.5 PERIOD OF PERFORMANCE

The period of performance for this contract is a base period extending one year from date of award with two (2) one-year option periods.

4.6 PLACE OF PERFORMANCE

The primary place of performance will be a combination of the Contractor’s facilities and FEMA’s facility located at 400 C St. SW, Washington, DC.

4.7 HOURS OF OPERATION

Contractor employees working at the designated FEMA Facility located 400 C Street shall generally perform all work between the hours of 8:30am and 5:00pm EST, 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 SOW.

4.8 TRAVEL

Contractor travel may be required to support this requirement. 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 COR approval (electronic mail is acceptable) for all reimbursable travel in advance of each travel event.

4.9 POST AWARD CONFERENCE

The Contractor shall attend a Post Award Conference with the Contracting Officer and the COR no later than 10 business days after the date of award. The purpose of the Post Award Conference, which will be chaired by the Contracting Officer, is to discuss technical and contracting objectives of this contract and review the Contractor's draft project plan. The Post Award Conference will be held at the Government’s facility, located at 400 C Street, SW, Washington, DC or via teleconference.

4.10 PROJECT PLAN

The Contractor shall provide a draft Project Plan at the Post Award Conference for Government review and comment. The Contractor shall provide a final Project Plan to the COR not later than 30 business days after the Post Award Conference.

4.11 PROGRESS REPORTS

The Project Manager shall provide a monthly progress report to the Contracting Officer and COR via electronic mail. This report shall include a summary of all Contractor work performed, including a breakdown of labor hours by labor category, all direct costs by line item, an assessment of technical progress, schedule status, any travel conducted and any Contractor concerns or recommendations for the previous reporting period.

4.12 PROGRESS MEETINGS

The Project Manager shall be responsible for keeping the COR informed about Contractor progress throughout the performance period of this contract, and ensure Contractor activities are aligned with FEMA objectives. At a minimum, the Project Manager shall review the status and results of Contractor performance with the COR on a weekly basis (or as determined by the government) either by telephone or in person meetings at 400 C Street, SW Washington, DC or other FEMA facilities located in the DC/Metropolitan area.

4.13 GENERAL REPORT REQUIREMENTS

The Contractor shall provide all written reports in electronic format with read/write capability using applications that are compatible with FEMA workstations (Windows XP and Microsoft Office Applications).

5.0 GOVERNMENT FURNISHED RESOURCES

The Government will provide the workspace, laptops, and office supplies necessary to perform the on-site portion of Contractor support services required in this contract. Onsite contractors will also have access to basic printing and scanning capabilities.

6.0 CONTRACTOR FURNISHED PROPERTY

The Contractor shall furnish all facilities, materials, equipment and services necessary to fulfill the requirements of this contract, except for the Government Furnished Resources specified in SOW 2.0 and SOW 5.0.

7.0 GOVERNMENT ACCEPTANCE PERIOD

The COR will review deliverables prior to acceptance and provide the contractor with an e-mail that provides documented reasons for non-acceptance. If the deliverable is acceptable, the COR will send an e-mail to the Contractor notifying it that the deliverable has been accepted.

7.1 The COR will have the right to reject or require correction of any deficiencies found in the deliverables that are contrary to the information contained in the Contractor’s accepted proposal. In the event of a rejected deliverable, the Contractor will be notified in writing by the COR of the specific reasons for rejection. The Contractor may have an opportunity to correct the rejected deliverable and return it per delivery instructions.

7.2 The COR will have 2-3 business days to review deliverables and make comments. The Contractor shall have 2-3 business days to make corrections and redeliver based on urgency and scheduled deadlines.

7.3 All other review times and schedules for deliverables shall be agreed upon by the parties based on the final approved Project Plan. The Contractor shall be responsible for timely delivery to Government personnel in the agreed upon review chain, at each stage of the review. The Contractor shall work with personnel reviewing the deliverables to assure that the established schedule is maintained.

8.0 DELIVERABLES

The Contractor shall submit the following deliverables under this contract:

DISTRIBUTION

N/A

COR, Contracting Officer

COR, Lead Federal Program Manager

COR, Lead Federal Program Manager

COR, Lead Federal Program Manager

COR, Lead Federal Program Manager

COR, Lead Federal Program Manager

TBD following Post Award Conference

COR, Lead Federal Program Manager

COR, Lead Federal Program Manager

COR, Lead Federal Program Manager