Request_for_Proposal_HSTS01-16-R-HRM036_-_Updated_Amendment_A00001.pdf

STANDARD FORM 1449

SOLICITATION/CONTRACT/ORDER FOR COMMERCIAL ITEMS 1. REQUISITION NUMBER PAGE 1 of 91

Offeror to complete blocks 12, 17, 23, 24, & 30

2. CONTRACT NO. 3. AWARD/EFFECTIVE DATE 4. ORDER NUMBER 5. SOLICITATION NUMBER 6. SOLICITATION ISSUE DATE

HSTS01-16-R-HRM036 03/03/2016

7. FOR SOLICITATION

A. NAME B. TELEPHONE (No Collect Calls) 8. OFFER DUE DATE/

LOCAL TIME (EST)

INFORMATION CALL

Katya D. Cruz / PFPAcqTeam@tsa.dhs.gov

04/13/2016 3:00pm EST

9. ISSUED BY CODE 10. THIS ACQUISITION IS 11. DELIVERY FOR

FOB

DESTINATION UNLESS

12. DISCOUNT TERMS

DEPARTMENT OF HOMELAND SECURITY UNRESTRICTED BLOCK IS MARKED

SEE SCHEDULE

TRANSPORTATION SECURITY ADMINISTRATION SET-ASIDE: 100% FOR 13a. THIS CONTRACT IS A RATED ORDER

OFFICE OF ACQUISITION

SMALL BUSINESSES UNDER DPAS (15 CFR 700)

601 SOUTH 12TH STREET 8(a) 13b. RATING

ARLINGTON, VA 20598-6025

NAICS: 541612 14. METHOD OF SOLICITATION

SIZE STANDARD: RFQ IFB RFP

15. DELIVER TO: CODE 16. ADMINSTERED BY CODE

OFFICE OF ACQUISITION

SEE SCHEDULE WORKFORCE & ENTERPRISE OPERATIONS ACQUISITION DIVISION

601 SOUTH 12TH STREET

ARLINGTON, VA 20598-6025

17a. CONTRACTOR/OFFEROR CODE FACILITY 18a. PAYMENT WILL BE MADE BY CODE

COMMANDING OFFICER

CG FINANCE CENTER

1430A KRISTINA WAY

CHESAPEAKE, VA 23326-0624

Email: FIN-SMB-TSAINVOICES@uscg.mil Fax: 757-413-7314

TELEPHONE: 18b. SUBMIT INVOICES TO ADDRESS SHOWN IN BLOCK 18a UNLESS BLOCK BELOW IS CHECKED:

17b. CHECK IF REMITTANCE IS DIFFERENT AND PUT SUCH ADDRESS IN OFFER SEE ADDENDUM

19.

ITEM NO,

20.

SCHEDULE OF SUPPLIES/SERVICES

21.

QUANTITY

22.

UNIT

23.

UNIT PRICE

24.

AMOUNT

SEE SCHEDULE

25. ACCOUNTING AND APPROPRIATION DATA 26. TOTAL AWARD AMOUNT (For Govt.Use Only)

27a. SOLICITATIONS INCORPORATE BY REFERENCE FAR 52.212-1, 52.212-4 . FAR 52.212-3 AND 52.212-5 ARE ATTACHED. ADDENDA ARE ARE NOT ATTACHED.

27b. CONTRACTS/PURCHASE ORDERS INCORPORATE BY REFERENCE FAR 52.212-4. FAR 52.212-5 IS ATTACHED. ADDENDA ARE ARE NOT ATTACHED.

28.

CONTRACTOR IS REQUIRED TO SIGN THIS DOCUMENT AND RETURN 1 COPIES TO ISSUING OFFICE.

CONTRACTOR AGREES TO FURNISH AND DELIVER ALL ITEMS SET FORTH OR OTHERWISE IDENTIFIED

ABOVE AND ON ANY ADDITIONAL SHEETS SUBJECT TO THE TERMS AND CONDITIONS SPECIFIED

HEREIN.

29.

AWARD OF CONTRACT: REFERENCE OFFER DATED . YOUR

OFFER ON SOLICITATION (BLOCK 5), INCLUDING ANY ADDITIONS OR CHANGES

WHICH ARE SET FORTH HEREIN, IS ACCEPTED AS TO ITEMS:

30a. SIGNATURE OF OFFEROR/CONTRACTOR 31a. UNITED STATES OF AMERICA (SIGNATURE OF CONTRACTING OFFICER)

30b. NAME AND TITLE OF SIGNER (TYPE OR PRINT) 30c. DATE SIGNED 31b. NAME OF CONTRACTING OFFICER 31c. DATE SIGNED

Evelyn S. Tyndell AUTHORIZED FOR LOCAL REPRODUCTION STANDARD FORM 1449 (Rev 4/2002) PREVIOUS EDITION NOT USABLE Prescribed by GSA – FAR 53.212 mailto:Katya.Cruz@dhs.gov mailto:FIN-SMB-TSAINVOICES@uscg.mil

TABLE OF CONTENTS

REQUEST FOR PROPOSAL NO. HSTS01-16-R-HRM036

PERSONNEL PAYROLL & BENEFITS

TABLE OF CONTENTS …………………………………………………………….…………………2

SECTION I – SERVICES AND PRICING…………………………………………………………….3

SECTION II – STATEMENT OF WORK……………………………………...……………………...9

SECTION III – CONTRACT ADMINISTRATION DATA………………………………………

SECTION IV – SPECIAL CONTRACT REQUIREMENTS……………………….………………16

SECTION V – CONTRACT CLAUSES………………………………………………………………46

SECTION VI – ATTACHMENTS……………………………………………………………………..58

SECTION VII - REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF

OFFERORS ……………………………………………………...………………………………………59

SECTION VIII – INSTRUCTIONS TO OFFERORS………...……………………………………

SECTION IX – EVALUATION FACTORS FOR AWARD……………………………………….…87

HSTS01-16-R-HRM036

SECTION I – SERVICES AND PRICING

1.0 DESCRIPTION OF SERVICES

The Contractor shall independently provide all necessary management, supervision, labor, materials, equipment, and supplies (except for Government Furnished Information and Equipment) to perform and provide work required in accordance with the Statement of Work (SOW), and terms and conditions of the contract.

1.1 CONTRACT LINE ITEM (CLIN) STRUCTURE

The Firm-Fixed-Prices (FFP) for the base and each option period shall be inclusive of all costs necessary to implement and fulfill the item numbers and accompanying item descriptions shown in the Price Schedule below.

Base Period: 6 Months

CLIN

DESCRIPTION QTY UNIT UNIT PRICE TOTAL

PRICE

0001 Transition-In 1 JOB $ $

0002 Orientation (Optional CLIN) To Be

Proposed

(TBP)

MONTH $ $

0003 New Hire Document Processing (Optional CLIN) TBP MONTH $ $

0004 eOPF Maintenance (Optional CLIN) TBP MONTH $ $

0005A Processing Requests for Personnel Action Transactions (Optional CLIN) TBP MONTH $ $

0005B Surge – Processing Requests for Personnel Action Transactions (Optional CLIN)

NTE 50,000 EACH $ $

0006 Field Performance Processing (Optional CLIN) 1 JOB $ $

0007A Benefits Transactions (Optional

CLIN) TBP MONTH $ $

0007B Surge – Benefits Transactions (Optional CLIN) NTE 30,000 EACH $ $

0008A Payroll Processing (Optional CLIN) TBP MONTH $ $

0008B Surge – Payroll Processing (Optional

CLIN) NTE 30,000 EACH $ $

0009 Special Handling (Optional CLIN) TBP MONTH $ $

0010 Operational Management (Optional

CLIN) TBP MONTH $ $

0011 Customer Service Center Support (Optional CLIN) TBP MONTH $ $

0012 IT Operations & Maintenance (Optional CLIN) TBP MONTH $ $

0013 Other Direct Costs – Not to Exceed (Optional CLIN) 1 NTE $750,000.00

Total Base Period Price $

Option Period 1: 12 Months

CLIN

DESCRIPTION QTY UNIT UNIT PRICE TOTAL

PRICE

1001 Orientation 12 MONTH $ $

1002A New Hire Document Processing 12 MONTH $ $

1003 eOPF Maintenance 12 MONTH $ $

1004A Processing Requests for Personnel Action Transactions 12 MONTH $ $

1004B Surge – Processing Requests for Personnel Action Transactions

NTE

50,000 EACH $ $

1005 Field Performance Processing 1 JOB $ $

1006A Benefits Transactions 12 MONTH $ $

1006B Surge – Benefits Transactions (Optional CLIN)

NTE

30,000 EACH $ $

1007A Payroll Processing 12 MONTH $ $

1007B Surge – Payroll Processing (Optional

CLIN)

NTE

30,000 EACH $ $

1008 Special Handling 12 MONTH $ $

1009 Operational Management 12 MONTH $ $

1010 Customer Service Center Support 12 MONTH $ $

1011 IT Operations & Maintenance 12 MONTH $ $

1012 Other Direct Costs – Not to Exceed 1 NTE $1,500,000.00

Total Option Period 1 Price $

Option Period 2: 12 Months

CLIN

DESCRIPTION QTY UNIT UNIT

PRICE

TOTAL

PRICE

2001 Orientation 12 MONTH $ $

2002 New Hire Document Processing 12 MONTH $ $

2003 eOPF Maintenance 12 MONTH $ $

2004A Processing Requests for Personnel Action Transactions 12 MONTH $ $

2004B Surge – Processing Requests for Personnel Action Transactions (Optional CLIN)

NTE

50,000 EACH $ $

2005 Field Performance Processing 1 JOB $ $

2006A Benefits Transactions 12 MONTH $ $

2006B Surge – Benefits Transactions (Optional CLIN)

NTE

30,000 EACH $ $

2007A Payroll Processing 12 MONTH $ $

2007B Surge – Payroll Processing (Optional

CLIN)

NTE

30,000 EACH $ $

2008 Special Handling 12 MONTH $ $

2009 Operational Management 12 MONTH $ $

2010 Customer Service Center Support 12 MONTH $ $

2011 IT Operations & Maintenance 12 MONTH $ $

2012 Other Direct Costs – Not to Exceed 1 NTE $1,500,000.00

Total Option Period 2 Price $

Option Period 3: 12 Months

DESCRIPTION QTY UNIT UNIT

PRICE

TOTAL

PRICE

3001 Orientation 12 MONTH $ $

3002 New Hire Document Processing 12 MONTH $ $

3003 eOPF Maintenance 12 MONTH $ $

3004A Processing Requests for Personnel Action Transactions 12 MONTH $ $

3004B Surge – Processing Requests for Personnel Action Transactions (Optional CLIN)

NTE

50,000 EACH $ $

3005 Field Performance Processing 1 JOB $ $

3006A Benefits Transactions 12 MONTH $ $

3006B Surge – Benefits Transactions (Optional CLIN)

NTE

30,000 EACH $ $

3007A Payroll Processing 12 MONTH $ $

3007B Surge – Payroll Processing (Optional

CLIN)

NTE

30,000 EACH $ $

3008 Special Handling 12 MONTH $ $

3009 Operational Management 12 MONTH $ $

3010 Customer Service Center Support 12 MONTH $ $

3011 IT Operations & Maintenance 12 MONTH $ $

3012 Other Direct Costs – Not to Exceed 1 NTE $1,500,000.00

Total Option Period 3 Price $

Option Period 4: 12 Months

DESCRIPTION QTY UNIT UNIT

PRICE

TOTAL

PRICE

4001 Orientation 12 MONTH $ $

4002 New Hire Document Processing 12 MONTH $ $

4003 eOPF Maintenance 12 MONTH $ $

4004A Processing Requests for Personnel 12 MONTH $ $

Action Transactions

4004B Surge – Processing Requests for Personnel Action Transactions (Optional CLIN)

NTE

50,000 EACH $ $

4005 Field Performance Processing 1 JOB $ $

4006A Benefits Transactions 12 MONTH $ $

4006B Surge – Benefits Transactions (Optional CLIN)

NTE

30,000 EACH $ $

4007A Payroll Processing 12 MONTH $ $

4007B Surge – Payroll Processing (Optional

CLIN)

NTE

30,000 EACH $ $

4008 Special Handling 12 MONTH $ $

4009 Operational Management 12 MONTH $ $

4010 Customer Service Center Support 12 MONTH $ $

4011 IT Operations & Maintenance 12 MONTH $ $

4012 Other Direct Costs – Not to Exceed 1 NTE $1,500,000.00

Total Option Period 4 Price $

1.2 CONTRACT LINE ITEM (CLIN) SUMMARY

CLIN DESCRIPTION TYPE NOTE

Transition-In Firm Fixed Price

This CLIN shall fund the execution of the transition plan submitted with the proposal and approved by the Government.

Orientation Firm Fixed Price This CLIN shall fund all work outlined in the SOW.

New Hire Document Processing Firm Fixed Price This CLIN shall fund all work outlined in the SOW.

eOPF Maintenance Firm Fixed Price This CLIN shall fund all work outlined in the SOW.

Processing Requests for Personnel Action Transactions Firm Fixed Price

This CLIN shall fund all work outlined in the SOW to include Mass Processing and Separation Actions. Shall not include field performance processing.

Surge – Processing Requests for Personnel Action Transactions

Fixed Unit Rate

The surge CLIN shall be exercised by the Government only for work within the operational scope as defined by the Federal Government, such as personnel transaction. The surge CLIN provides the Government operational flexibility to respond to non-recurring changes in regulations, policies or TSA specific initiatives. The surge CLIN shall not be exercised in response to alterations or changes to the performance of the contract. The not to exceed quantity is the maximum available.

1.3 PERIOD OF PERFORMANCE

It is anticipated that the base period of performance for this contract will be one (1) six-month base period, with four (4) 12 month option periods and one (1) six-month option period. The total period of performance for this Contract shall not exceed five (5) years.

Field Performance Processing Firm Fixed Price This CLIN shall fund all work outlined in the SOW.

Benefits Transactions Firm Fixed Price This CLIN shall fund all work outlined in the SOW.

Surge – Benefits Transactions Fixed Unit Rate

The surge CLIN shall be exercised by the Government only for work within the operational scope as defined by the Federal Government, such as benefits transaction. The surge CLIN provides the Government operational flexibility to respond to non-recurring changes in regulations, policies or TSA specific initiatives. The surge CLIN shall not be exercised in response to alterations or changes to the performance of the contract.

Payroll Processing Firm Fixed Price This CLIN shall fund all work outlined in the SOW.

Surge – Payroll Processing Fixed Unit Rate

The surge CLIN shall be exercised by the Government only for work within the operational scope as defined by the Federal Government, such as payroll processing action. The surge CLIN provides the Government operational flexibility to respond to non-recurring changes in regulations, policies or TSA specific initiatives. The surge CLIN shall not be exercised in response to alterations or changes to the performance of the contract.

Special Handling Firm Fixed Price This CLIN shall fund all work outlined in the SOW.

Operational Management Firm Fixed Price

This CLIN shall fund all work outlined in the SOW. This CLIN shall include the performance of Program Management, Quality Control, Reporting, Audits, Records Management, Overall Personnel Benefits, Payroll Support Functions and Training Events.

Customer Service Center Support Firm Fixed Price This CLIN shall fund all work outlined in the SOW.

IT Operations & Maintenance Firm Fixed Price

This CLIN shall fund all work outlined in the SOW. This CLIN shall include all e-orientation support, system support and IT Security.

Other Direct Costs (ODCs) Not to Exceed

(NTE)

This CLIN shall include all other direct costs to include travel, printing, media, and any other non-labor related cost specified by the Government.

1.4 TRANSITION

The Government’s intention is to exercise the “Option to Extend Services” and “Continuation of Services” clauses for transition out execution. Transition out may occur at any time during the performance of this contract, in a single or phased approach. If all option periods outlined above are exercised, transition out will occur during the final six-month option period, upon execution of the clauses outlined above. In accordance with FAR 52.217-8, the Option Year 4 prices will be used for transition out services.

1.5 GENERAL INFORMATION

A. For this procurement, the standard industrial classification (NAICS) code is 541612 “Human Resources Consulting Services”.

B. All contract terms and conditions of the prime contract shall flow down through all subcontracts, and any subcontracting or teaming agreement shall comply with all clauses listed in Section III, pertaining to subcontracting.

(Remainder of page intentionally left blank)

SECTION II –STATEMENT OF WORK

2.0 STATEMENT OF WORK – See Attachment I

(Remainder of page intentionally left blank)

SECTION III – CONTRACT ADMINISTRATION DATA

3.0. 5200.243.001 CONTRACTING OFFICER (CO) (JUL 2015)

The Contracting Officer is the only person authorized to make any changes, approve any changes in the requirements of this contract, issue orders, obligate funds and authorize the expenditure of funds, and notwithstanding any term contained elsewhere in this contract, such authority remains vested solely in the Contracting Officer. (For further information, the Contracting Officer is a federal government employee who is specifically authorized and appointed in writing under specified agency procedures and granted the authority to enter into, administer, and/or terminate contracts and make related determinations and findings.) In the event, the Contractor makes any changes at the direction of any person other than the Contracting Officer, the change will be considered to have been without authority and no adjustment will be made in the contract price to cover any increase in costs incurred as a result thereof.

The following Primary Contracting Officer is assigned to this contract. Alternate Contracting Officers may be assigned:

TSA Contracting Officer: (Will be provided at time of award)

NAME:

PHONE NUMBER:

EMAIL:

(End of clause)

3.1 5200.242.001 CONTRACTING OFFICER’S REPRESENTATIVE (COR) AND TECHNICAL

MONITORS (JUL 2015)

1. The principle role of the COR is to support the Contracting Officer in managing the contract. This is done through furnishing technical direction within the confines of the contract, monitoring performance, ensuring requirements are met within the terms of the contract, and maintaining a strong relationship with the Contracting Officer. As a team the Contracting Officer and COR must ensure that program requirements are clearly communicated and that the agreement is performed to meet them. The principle role of the Technical Monitor (TM) is to support the COR on all work orders, tasks, deliverables and actions that require immediate attention relating to the approved scope and obligated funding of the contract action.

2. The Contracting Officer hereby designates the individual(s) named below as the Contracting Officer's Representative(s) and Technical Monitor(s). Such designations(s) shall specify the scope and limitations of the authority so delegated.

TSA CORs: (Will be provided at time of award)

NAME:

PHONE NUMBER:

EMAIL:

3. The COR(s) and TM(s) may be changed at any time by the Government without prior notice to the Contractor, but notification of the change, including the name and phone number of the successor COR, will be promptly provided to the Contractor by the Contracting Officer in writing.

4. The responsibilities and limitations of the COR are as follows:

• The COR is responsible for the technical aspects of the project and technical liaison with the

Contractor. The COR is also responsible for the final inspection and acceptance of all reports and such other responsibilities as may be specified in the contract.

• The COR may designate assistant COR(s) to act for him/her by naming such assistant in writing and transmitting a copy of such designation through the Contracting Officer to the Contractor.

• The COR will maintain communications with the Contractor and the Contracting Officer. The

COR must report any observed fraud, waste, or opportunities to improve performance of cost efficiency to the Contracting Officer.

• The COR will immediately alert the Contracting Officer to any possible Contractor deficiencies or questionable practices so that corrections can be made before the problems become significant.

• The COR is not authorized to make any commitments or otherwise obligate the Government or authorize any changes which affect the contract’s price, terms or conditions. Any Contractor request for changes shall be referred to the Contracting Officer directly or through the COR. No such changes shall be made without the expressed prior authorization of the Contracting Officer.

• The COR is not authorized to direct the Contractor on how to perform the work.

• The COR is not authorized to issue stop-work orders. The COR may recommend the authorization by the Contracting Officer to issue a stop work order, but the Contracting Officer is the only official authorized to issue such order.

• The COR is not authorized to discuss new proposed efforts or encourage the Contractor to perform additional efforts on an existing contract or order.

5. The responsibilities and limitations of the TM are as follows:

• Coordinating with the COR on all work orders, task, deliverables and actions that require immediate attention relating to the approved scope and obligated funding of the contract action.

• Monitoring the Contractor’s performance in relation to the technical requirements of the assigned functional area of the contract to ensure that the Contractor’s performance is strictly within the contract’s scope and obligated funding.

• Ensuring that all recommended changes in any work under the contract are coordinated and submitted in writing to the COR for consideration.

• Informing the COR if the Contractor is not meeting performance, cost, schedule milestones.

• Performing technical reviews of the Contractor’s proposals as directed by the COR.

• Performing acceptance of the Contractor’s deliverables as directed by the COR.

• Reporting any threats to the health and safety of persons or potential for damage to Government property or critical national infrastructure which may result from the Contractor’s performance or failure to perform the contract’s requirements.

3.2. 5200.242.003 SUBMISSION OF INVOICES (JUL 2015)

(a) Background: The Transportation Security Administration (TSA) partners with the United States Coast Guard Finance Center for financial services in support of TSA operations, including the payment of contractor invoices. Therefore, all contractor invoices must be submitted to, and will be paid by, the U.S. Coast Guard Finance Center (FinCen).

(b) Invoice Submission Method: Invoices may be submitted via facsimile, U.S. Mail, or email. Contractors shall utilize ONLY ONE method per invoice submission. The submission information for each of the methods is as follows in order of preference:

1) Facsimile number is: 757-413-7314

The facsimile number listed above shall be used by contractors for ORIGINAL invoice submission only. If facsimile submission is utilized, contractors shall not submit hard copies of invoices via the U.S. mail. It is the responsibility of the contractor to verify that invoices are received, regardless of the method of submission used. Contractors may inquire regarding the receipt of invoices by contacting the U.S. Coast Guard Finance Center via the methods listed in subparagraph (d) of this clause.

2) United States Coast Guard Finance Center TSA Commercial Invoices P.O. Box 4111

Chesapeake, VA 23327-4111

(FIN-SMB-TSAInvoices@uscg.mil or www.fincen.uscg.mil)

(c) Invoice Process: Upon receipt of contractor invoices, FinCen will electronically route invoices to the appropriate TSA Contracting Officer’s Representative and/or Contracting Officer for review and approval.

Upon approval, the TSA will electronically route the invoices back to FinCen. Upon receipt of certified invoices from an Authorized Certifying Official, FinCen will initiate payment of the invoices.

Note for discounts offered:

Discounts on invoices. If desired, the Contractor should offer discounts directly upon the invoice submitted, clearly specifying the terms of the discount. Contractors can structure discounted amounts for payment for any time period less than the usual thirty day payment period specified under Prompt Payment requirements;

however the Contractor should not structure terms for payment of net amounts invoiced any sooner than the standard period required under FAR Subpart 32.9 regarding prompt payments for the specified deliverables under contract.

Discounts offered after invoice submission. If the Contractor should wish to offer a discount on a specific invoice after its submission for payment, the Contractor should submit a letter to the Finance Center identifying the specific invoice for which a discount is offered and specify the exact terms of the discount offered and what time period the Government should make payment by in order to receive the discount. The Contractor should clearly indicate the contract number, invoice number and date, and the specific terms of the discount offered. Contractors should not structure terms for net amount payments any sooner than the standard period required under FAR Subpart 32.9 regarding prompt payments for the specified deliverables under contract.

(d) Payment Status: Contractors may inquire on the payment status of an invoice by any of the following means:

(1) Via the internet: https://www.fincen.uscg.mil Contacting the FinCen Customer Service Section via telephone at 1-800-564-5504 or (757) 523-6940 (Voice Option #1). The hours of operation for the Customer Service line are 8:00 AM to 5:00 PM Eastern Time, Monday through Friday. However, the Customer Service line has a voice-mail feature that is available 24 hours per day, 7 days per week.

(2) Via the Payment Inquiry Form: https://www.fincen.uscg.mil/secure/payment.htm

(e) Invoice Elements: Invoices will automatically be rejected if the information required in Section 3.3 below and subparagraph (a)(2) of the Prompt Payment Clause, contained in this Section of the Contract, including EFT banking information, Taxpayer Identification Number (TIN), and DUNS number are not included in the invoice. All invoices must clearly correlate invoiced amounts to the corresponding contract line item number and funding citation. The Contractor shall work with the Government to mutually refine the format, content and method of delivery for all invoice submissions during the performance of the Contract.

(f) Supplemental Invoice Documentation: Contractors shall submit all supplemental invoice documentation (e.g. copies of subcontractor invoices, travel vouchers, etc.) necessary to approve an invoice along with the original invoice. The Contractor invoice must contain the information stated in Section 3.3 below and the Prompt Payment Clause in order to be received and processed by FinCen. Supplemental invoice documentation required for review and approval of invoices may, at the written direction of the Contracting Officer, be submitted directly to either the Contracting Officer, or the Contracting Officer’s Representative.

Note for “time-and-material” type contracts: The Contractor must submit the following statement with each invoice for labor hours invoiced under a “time-and-materials” type contract, order, or contract line item: “The Contractor hereby certifies in accordance with paragraph (c) of FAR 52.232-7, that each labor hour has been performed by an employee (prime or subcontractor) who meets the contract’s specified requirements for the labor category invoiced.”

(g) Additional Invoice Preparation Instructions for Software Development and/or Hardware. The Contractor shall clearly include a separate breakdown (by CLIN) for any software development activities (labor costs, subcontractor costs, etc.) in accordance with Federal Accounting Standards Advisory Board Statement of Federal Financial Accounting Standards Number 10 (Preliminary design costs, Development costs and post implementation costs) and cite payment terms. The contractor shall provide make and model descriptions as well as serial numbers for purchases of hardware and software (where applicable.)

(h) Frequency of Invoice Submission. Invoices shall be submitted on a monthly basis for the prior month’s services. The Contractor shall provide an electronic advance copy of each invoice no less than five (5) business days prior to submission to FINCEN to the Contracting Officer Representative (COR) and Contracting Officer

(CO).

3.3. ACCEPTANCE OF SERVICES - - CALCULATING INVOICE AMOUNT

The required performance standards and quality levels for services and products required under this contract are included in the SOW and in the table below. Invoice deductions for each CLIN may include Personally Identifiably Information (PII) or Federal Law violations.

CLIN CLIN

DESCRIPTION

TRANSACTION

UNIT

ACCEPTABLE

PERFORMANCE

STANDARD*

INVOICE

DEDUCTION

RANDOM SAMPLING

0003, 1002A, 2002, 3002 & 4002.

New Hire Document Processing

Employment Packet

99.5% 3% Records in NFC system.

Sample size: 2%

0004, 1003, 2003, 3003 & eOPF Maintenance Processed Request

98% 3% QA selects a sample set of EODs and review their files in eOPF against TSA and OPM checklists, and identify the number of eOPF forms accurately processed.

Checking criteria include SSN, document type and folder side.

Sample Size: 10%

0005A, 1004A, 2004A, 3004A & 4004A

Processing Requests for Personnel Action Transactions

Processed Request

98% 3% List of Personnel, Payroll, and Benefits open/pending transactions for the measured Pay Period (PP), compiled at the end of the following

PP.

Sample size: 100%

0005B, 1004B, 2004B, 3004B & 4004B

Surge – Processing Requests for Personnel Action Transactions

Processed Request

98% 3% List of Personnel, Payroll, and Benefits open/pending transactions for the measured Pay Period (PP), compiled at the end of the following

PP.

Sample size: 100%

0006, 1005, 2005, 3005 &

Field Performance Processing

Processed Request

98% 3% Records in NFC system.

Sample size: 2%

0007A, 1006A, 2006A, 3006A & 4006A

Benefits Transactions

Processed Request

98% 3% List of Personnel, Payroll, and Benefits open/pending transactions for the measured Pay Period (PP), compiled at the end of the following

PP.

Sample Size: 100%

0007B, 1006B, 2006B, 3006B & 4006B

Surge – Benefits Transactions

Processed Request

98% 3% List of Personnel, Payroll, and Benefits open/pending transactions for the measured Pay Period (PP), compiled at the end of the following

PP.

Sample Size: 100%

0008A, 1007A, 2007A, 3007A & 4007A

Payroll Processing Case 98% 3% List of Personnel, Payroll, and Benefits open/pending transactions for the measured Pay Period (PP), compiled at the end of the following

PP.

-Sample Size: 100%

0008B, 1007B, 2007B, 3007B & 4007B

Surge – Payroll Processing

Case 98% 3% List of Personnel, Payroll, and Benefits open/pending transactions for the measured Pay Period (PP), compiled at the end of the following

PP.

-Sample Size: 100%

0009, 1008, 2008, 3008 &

Special Handling Case 98% 3% Records in NFC system.

Sample size: 1%

0010, 1009, 2009, 3009 &

Operational Management

Processed Request

98% 3% Mission Assurance goals spreadsheet Quality assurance goals based on the Quality Control Plan

Sample size: 100%

0011, 1010, 2010, 3010 &

Customer Service Center Support

Case 95% 3% Tracked in Siebel

Sample size: 100%

0012, 1011, 2011, 3011 &

IT Operations & Maintenance

System Availability

99.6% 3% Review of server reports

Sample 100%

N/A Personally Identifiable Information (PII) or Federal Law Violations

PII violations shall be reported to the TSA Privacy

Office. Federal

*The Acceptable Performance Standards (APS) represent the minimum percentage of transactions that must meet the time, quality, AND performance requirements required in the SOW to be determined acceptable and entitled to full payment of the CLIN price. TSA'’s Head of Contracting Activity (HCA) reserves the right, at their sole discretion, to waive any standard and/or payment deduction. When time frames are specified, the Contractor will not be held liable for delays that are outside the Contractor’s control, provided that the Contractor can demonstrate to TSA’s satisfaction that it made a good faith effort to meet the objective. TSA’s presumption is that all contract requirements are under the Contractor’s control, and it is the Contractor’s responsibility to provide sufficient evidence to support any assertions that any delays are due to circumstances beyond the Contractor’s control.

*The Invoice Deduction is the percentage of the monthly CLIN price that will be deducted from the monthly CLIN price if the APS is not met and/or a PII and/or Federal law violation occurs.

In addition to performance reporting in the Contractor Performance Assessment Report System (CPARS) and the remedies prescribed in the Warranty of Services clause, failure by the Contractor to perform services that meet the required service or performance levels may also result in a payment deduction as set forth in this Section. The Government reserves the right to evaluate the Contractor’s performance in accordance with the APS and request invoice deductions for APS determinations and/or PII and/or Federal law violations at any time during the period of performance to include previously exercised options.

In accordance with SOW Section 47.3, the Contractor’s approved Quality Control Plan (QCP) documents the methodology and criteria the Contractor will use for verifying that delivered products for all work under the SOW satisfy contract requirements.

In addition to the information required in Section 3.2, the Contractor shall develop a monthly invoice which separately identifies the performance levels achieved for each CLIN against the Acceptable Performance Standards set forth in the SOW and this Section above. .

In support of the invoiced amount for each CLIN, the following information should be provided: CLIN Number, the Acceptable Performance Standard prescribed in this Section, Quantity of Transactions Completed in Invoice Period, Quantity of Acceptable Transactions Completed, CLIN Price, Invoice Adjustment in Dollars, and Invoiced Amount. For example, the monthly calculation for CLIN 0005 using a hypothetical monthly CLIN price of $1,000 would be reported as follows: CLIN 0005, APS 97%, Quantity of Transactions Completed 5,000, Quantity of Acceptable Transactions Completed 4,850, CLIN Price $1,000, Invoice Adjustment $30, Invoiced Amount $970.

Law violations shall be reported to the DHS Office of

Inspector General (OIG).

SECTION IV – SPECIAL CONTRACT REQUIREMENTS

4.0 TECHNICAL INSTRUCTION

(1) Performance of the work hereunder may be subject to written or oral technical instructions issued by the Contracting Officer's Representative specified in Section III of this contract. As used herein, technical instructions are defined to include the following:

(a) Directions to the Contractor which suggest pursuit of certain lines of inquiry, shift work emphasis, fill in details or otherwise serve to accomplish the contractual statement of work.

(b) Guidelines to the Contractor which assist in the interpretation of specifications or technical portions of work description, such as business rules, standard operating procedures, etc..

(2) Technical instructions must be within the general scope of work stated in the contract.

Technical instructions may not be used to: (1) assign additional work under the contract; (2) direct a change as defined in the "CHANGES" clause of this contract; (3) increase or decrease the contract price or estimated contract amount (including fee), as applicable, the level of effort, or the time required for contract performance; or (4) change any of the terms, conditions or specifications of the contract.

(3) If, in the opinion of the Contractor, any technical instruction calls for effort outside the scope of the contract or is inconsistent with this requirement, the Contractor shall notify the Contracting Officer in writing within ten (10) working days after the receipt of any such instruction. The Contractor shall not proceed with the work affected by the technical instruction unless and until the Contractor is notified by the Contracting Officer that the technical instruction is within the scope of this contract.

(4) Failure of the Contractor and the CO to agree on whether Government direction is technical instruction or a Change within the purview of the "Changes" clause shall be a dispute concerning a question of fact within the meaning of the Clause of the General Provision entitled, "Disputes."

(a) Nothing in the foregoing paragraph shall be construed to excuse the Contractor from performing that portion of the contractual work statement which is not affected by the disputed technical instruction.

4.1. ACQUISITON OF SOFTWARE LICENSES

(1) Software licenses procured on behalf of the Government during the performance of this contract shall be the sole property of the Government. Upon termination of the contract, the contractor shall assign any software licenses to the Government.

(2) The Contractor shall maximize the use of all TSA and DHS enterprise vehicles for purchases prior to initiating corporate purchase agreements.

(3) Any configurations made by the contractor of Commercial Off-the-Shelf (COTS) or Government Off-the-Shelf (GOTS) software or any interfaces developed by the contractor for data capture, ingestion, storage, reporting or manipulation shall be considered as belonging to DHS/TSA without qualification.

(4) The Contractor shall annually provide an inventory/record of all software licenses purchased and maintained on behalf of TSA. This record shall detail, at a minimum, all licenses with the unique identifier; the systems (internal and external) each product supports and interacts with; whether the product has been modified; if modified if it was authorized under the COTS license; a summary on the extent of the modification; whether the product was customized; if the product was customized was it done within the produce or was a new derivative product created.

(5) The Contractor shall be responsible for all license updates.

(6) The Contractor shall transfer ownership of licenses when notified and in the method defined as directed.

(7) The Contractor shall deliver, upon direction from the Contracting Officer, any such configurations or interfaces in accordance with instructions from the COR.

4.2. 5200.204.001 MAJOR BREACH OF SAFETY OR SECURITY (DEC 2015)

(a) Safety is the freedom from those conditions that can cause death, injury, occupational illness, damage to or loss of equipment or property, or damage to the environment. Safety is essential to TSA and compliance with safety standards and practices is a material part of this contract. A major breach of safety may constitute a breach of contract that entitles the Government to exercise any of its rights and remedies applicable to material parts of this agreement, including termination for default. A major breach of safety must be related directly to the work on the agreement. A major breach of safety is an act or omission of the Contractor that consists of an accident, incident, or exposure resulting in a fatality, serious injury, or mission failure; or in damage to equipment or property equal to or greater than $1 million; or in any "willful" or "repeat" violation cited by the Occupational Safety and Health Administration (OSHA) or by a state agency operating under an OSHA approved plan.

(b) Security is the condition of safeguarding against espionage, sabotage, crime (including computer crime), or attack. A major breach of security may constitute a breach of contract that entitles the Government to exercise any of its rights and remedies applicable to material parts of this agreement, including termination for default.

A major breach of security may occur on or off Government installations, but must be related directly to the work on the agreement. A major breach of security is an act or omission by the Contractor that results in compromise of classified information or sensitive security information or sensitive but unclassified information, including contractor proprietary information, illegal technology transfer, workplace violence resulting in criminal conviction, sabotage, compromise or denial of information technology services, equipment or property damage from vandalism greater than $250,000, or theft greater than $250,000.

NOTE: Breach of Security for the purposes of this definition should not be confused with breach of security in screening operations.

(c) In the event of a major breach of safety or security, the Contractor shall report the breach to the Contracting Officer. If directed by the Contracting Officer, the Contractor shall conduct its own investigation and report the results to the Government. The Contractor shall cooperate with the Government investigation, if conducted.

4.3. 5200.204.002 PERSONNEL ACCESS (JUL 2015)

All Contractor personnel requiring access to TSA facilities, information systems, or information will be subject to the security procedures set forth in this contract.

4.4. 5200.204.004 REQUIREMENTS AND DUTIES FOR HANDLING SENSITIVE SECURITY

INFORMATION (SSI) (JUL 2015)

Pursuant to 49 U.S.C. § 114(r), Sensitive Security Information and Nondisclosure of Security Activities, Sensitive Security Information (SSI) is a category of sensitive but unclassified (SBU) information that must be protected because it is information that, if publicly released, would be detrimental to the security of transportation. Under 49 Code of Federal Regulations Part 1520.5(a), the SSI Regulation also provides additional reasons for protecting information as SSI beyond the condition that the release of the information would be detrimental to the security of transportation. TSA, however, primarily uses the criterion of “detrimental to the security of transportation” when determining whether information is SSI.

Title 49 of the Code of Federal Regulations, Part 1520 defines the scope, categorization, handling requirements and disposition of information deemed SSI is the 49 C.F.R. Part 1520 (http://ecfr.gpoaccess.gov/). Persons authorized to access specific SSI (i.e., covered persons) include those contracted to DHS or TSA with a need-to-know basis for specific information in the course of fulfilling their TSA contractual obligations. TSA may deliver SSI materials to the Contractor. Also, materials created by the Contractor may require SSI designation and protection, and the Contractor has the responsibility to identify such materials to TSA as possible SSI. For guidance while working on TSA and DHS matters, see the TSA SSI Application Guide, 2011_04_01 for identifying the type of information covered by the regulation.

For purposes of this clause, the term “Contractor” shall include an individual or other legal entity who performs work for or on behalf of TSA or DHS under a contract, interagency agreement, or other transaction agreement. Such contracts include, but are not limited to, contracts between any non-Federal entity and/or TSA or DHS and subcontracts, joint venture agreements, and teaming agreements between any non-Federal entity and another non-Federal entity to perform work related to the primary contract with the TSA or DHS.

While SSI is not classified national security information subject to the handling requirements governing classified information, it is subject to certain legal disclosure limitations. To ensure regulatory compliance, the Contractor shall be subject to the following requirements and include this entire clause as flow-down in subcontracts, etc.:

(a) Handling and Safeguarding. The TSA Contractor shall safeguard and handle any SSI in accordance with the policies and procedures outlined in 49 C.F.R. Part 1520, as well as the DHS and TSA policies and procedures for handling and safeguarding SSI. These safeguarding procedures shall include SSI recognition, identification and marking of materials that possibly contain SSI, including Contractor-created materials, as well as following restrictions on disclosure, storage, handling, sharing, dissemination and destruction of SSI. The Contractor, without exception, shall place this requirement in all subcontracts, joint venture agreements, and teaming agreements related to the performance of this contract.

(b) Non-Disclosure Agreements (NDAs). The Contracting Officer will provide the non-disclosure form (DHS Form 11000-6), as necessary, to the Contractor when circumstances warrant. NDAs are required to be signed by all Contractor personnel when access to SSI is necessary for performance of the contract. By signing the NDA, the recipient certifies in writing that they will take the necessary steps to prevent the unauthorized disclosure and use of information.

(c) Request for Access to SSI materials. Pursuant to 49 C.F.R. Part 1520.9(a)(3), the Contractor must contact SSI@tsa.dhs.gov for guidance on handling requests to access to SSI (before using SSI materials) for any other purpose besides activities falling within the scope of the contract by other persons, including requests from experts, consultants, and legal counsel (“requesters”) hired by the Contractor. The Contractor shall include the Contracting Officer (CO) and Contracting Officer Representative (COR) as a carbon copy “cc” recipient of its contact to SSI@tsa.dhs.gov . The TSA SSI Office must first make a determination as to whether the requesters are a “covered person” with a “need to know” under 49 C.F.R. Parts 1520.7 and 1520.11.

(d) Training and Certification. All Contractor personnel who are covered persons with a need-to- know basis must complete the TSA-mandated SSI Awareness Training course prior to accessing SSI, and on an annual basis for the duration of the contract or for the duration of the requester’s need for access to SSI, whichever is later. Contractor personnel must also review and adhere to the SSI Quick Reference Guide for DHS Employees and Contractors. The Contractor shall certify to the Contracting Officer annually that all covered persons have completed the mandated SSI training, that all SSI policies and procedures have been followed, and that those individuals with access understand their responsibilities to protect the information.

(e) Breach. In accordance with 49 C.F.R. Part 1520.9(c), the Contractor agrees that in the event of any actual or suspected breach of SSI (i.e., loss of control, compromise, unauthorized disclosure, access for an unauthorized purpose, or other unauthorized access, whether physical or electronic), the Contractor shall

HSTS01-16-R-HRM036

http://ecfr.gpoaccess.gov/ mailto:SSI@tsa.dhs.gov mailto:SSI@tsa.dhs.gov https://ishare.tsa.dhs.gov/Offices/LawEnforcementFAMS/SecuritySvcAssessments/SSIBranch/Quick%20Reference%20Guides/SSI%20Quick%20Reference%20Guide%20for%20DHS%20Employees%20and%20Contractors.pdf https://ishare.tsa.dhs.gov/Offices/LawEnforcementFAMS/SecuritySvcAssessments/SSIBranch/Quick%20Reference%20Guides/SSI%20Quick%20Reference%20Guide%20for%20DHS%20Employees%20and%20Contractors.pdf immediately, and in no event later than one hour of discovery, report the breach to the Contracting Officer and the COR. The Contractor is responsible for positively verifying that notification is received and acknowledged by at least one of the foregoing Government officials.

In the event that an SSI breach occurs as a result of the violation of a term of this contract by the Contractor or its employees, or the Contractor’s covered persons, the Contractor shall, as directed by the Contracting Officer and at no cost to the Government, without delay correct or mitigate the violation.

For unauthorized disclosure of SSI, the Contractor and Contractor's employees and Contractor’s covered persons may also be subject to civil penalties and other consequences as set forth in 49 CFR Part 1520.17.

4.5. 5200.209.004 SUITABILITY DETERMINATION FOR CONTRACTOR EMPLOYEES (DEC 2015)

All contractor employees seeking to provide services to TSA under a TSA contract are subject to a suitability determination to assess whether their initial employment or continued employment on a TSA contract protects or promotes the efficiency of the agency. TSA, by and through the Office of Security, Personnel Security Division (PerSec), will allow a contractor employee to commence work on a TSA contract only if a review of the contractor employee’s preliminary background check is favorable. Contractor employees with unfavorable preliminary background checks will not be allowed to work on a TSA contract.

A suitability determination involves the following three phases:

Phase 1: Enter On Duty Suitability Determination: a review of a contractor employee’s consumer credit report, criminal history records, and submitted security forms to determine, to the extent possible, if the contractor employee has bad debt and/or criminal offenses and/or falsification issues that would prohibit employment as a TSA contractor. This determination will include verification of citizenship for contractor employees born outside of the United States. A favorable Enter On Duty Suitability Determination is not a final suitability determination; rather, it is a preliminary review of external data sources that allows the contractor employee to commence work prior to the required background investigation being completed.

When a contractor employee is deemed suitable to commence work on a TSA contract, TSA PerSec will notify the appropriate Contracting Officer’s Representative (COR) of the favorable determination. Similar notifications will be sent when a contractor employee has not passed the preliminary background check and has been deemed unsuitable.

Phase 2: Background Investigation: Once the contractor employee commences work on a TSA contract, TSA PerSec will process all submitted security forms to determine whether the contractor has previously been the subject of a federal background investigation sufficient in scope to meet TSA minimum investigative requirements. Contractor employees who have a federal investigation sufficient in scope will immediately be processed for final suitability adjudication. Those contractor employees who do not have a previous federal background investigation sufficient in scope will be scheduled for the appropriate level background investigation through the submission of their security forms to the Office of Personnel Management (OPM).

Phase 3: Final Suitability Adjudication: TSA PerSec will complete the final suitability determination after receipt, review, and adjudication of the completed OPM background investigation. The final suitability determination is an assessment made by TSA PerSec to determine whether there is reasonable expectation that the continued employment of the TSA contractor will or will not protect or promote the efficiency of the agency. An unfavorable final suitability determination will result in a notification to the COR that the contractor employee has been deemed unsuitable for continued contract employment and that he/she shall be removed from the TSA contract.

4.6. 5200.212.001 COMMERCIAL APPLICABILITY (JUL 2015)

This contract is/ is not for a commercial item, as defined by FAR 2.1.

4.7. 5200.218.001 CONTINGENCY AND/OR CONTINUITY OF OPERATIONS SUPPORT OF

TRANSPORTATION SECURITY ADMINISTRATION OPERATIONS (DEC 2015)

(a) Background. The Transportation Security Administration (TSA) is a component of the Department of Homeland Security (DHS) and is responsible for the security of the nation’s transportation system. This includes not only the security screening operations conducted for passenger air travel, but also security operations protecting air cargo and shipping, surface and other transportation modes including rail, and pipelines and other transportation infrastructure. To those ends, the TSA must be able to respond quickly to incidents, and increase and re-constitute its operational posture (“continuity of operations”) in response to threats and the possibility of actual attacks upon or disruption to government operations or national infrastructure. The TSA has an internal capacity to establish and operate Critical Incident Management Groups in response to a specific, TSA-only incident, or as a part of larger DHS operation due to orders from the DHS Secretary, or due to increased threat levels under the National Terrorism Advisory System, or federal operations up to and including responsibilities assigned under the National Response Framework. To these ends, the TSA must be able to count upon a correlated contractor capability to surge capacity in response to incidents or quickly re-constitute capability to recover from a catastrophe. Accordingly, TSA contractors must be prepared and able to provide surge capacity and to reconstitute operational capability to perform under contract as required in response to an emergency.

(b) Definitions. The meaning of specific contingency or emergency-related terms herein proceeds from those definitions within the National Response Framework and are available from the National Response Framework Resource Center glossary at http://www.fema.gov/emergency/nrf/.

(c) Force and effect of this clause. Without regard to the extent that the Contractor’s actual responses in order to meet the requirements of this clause may be necessitated by occurrences or conditions as described in the “Excusable…