N0018919RZ036_IPERA_Solicitation_Amendment_1.docx

N0018919RZ036

SECTION SF 30 BLOCK 14 CONTINUATION PAGE

SUMMARY OF CHANGES

SECTION SF 1449 - CONTINUATION SHEET

SUPPLIES OR SERVICES AND PRICES

CLIN 0002

The CLIN extended description has changed from:

CDRLS in support of CLIN 0001

To:

CDRLS in support of CLIN 0001NOT SEPERATELY PRICED

CLIN 1002

CDRLS in support of CLIN 1001

CDRLS in support of CLIN 1001NOT SEPERATELY PRICED

CLIN 2002

CDRLS in support of CLIN 2001

CDRLS in support of CLIN 2001NOT SEPERATELY PRICED

CLIN 3002

CDRLS in support of CLIN 3001

CDRLS in support of CLIN 3001NOT SEPERATELY PRICED

DELIVERIES AND PERFORMANCE

The following Delivery Schedule item for CLIN 0002 has been changed from:

POP 14-MAR-2019 TO

15-MAR-2020

RUSS STROTHER

WASHINGTON NAVY YARD

720 KENNON ST SE ROOM 115

WASHINGTON DC 20374-5025

202-685-6721 FOB: Destination N41421

POP 15-MAR-2019 TO

14-MAR-2020

RUSS STROTHER

WASHINGTON NAVY YARD

720 KENNON ST SE ROOM 115

WASHINGTON DC 20374-5025

202-685-6721 FOB: Destination N41421

The following have been modified:

PWS

Department of Navy Office of Financial Operations (FMO) Financial Operations Remediation Support Performance Work Statement

1. Introduction

The Office of Financial Operations (FMO), under the Assistant Secretary of the Navy, Financial Management and Comptroller (ASN, FM&C), acts on behalf of the DON and is responsible for financial and accounting matters. FMO leads financial programs and activities that are designed to improve the way the DON does business and support the warfighter.

As Department of Defense (DoD) directives and policies are set for financial efficiency, effectiveness, and transparency, FMO reports on financial data, as well as develops and manages accounting and finance related programs to help Budget Submitting Offices (BSOs), Commands, and other Shared Service Providers (SSP) comply with the DoD requirements and audit response.

2. Background

The Operations Management Division of FMO (FMO-1) provides operational and sustainment support of all Financial Improvement Audit Readiness (FIAR) related activities within the DON. In addition, FMO-1 facilitates FMO business success by ensuring an overarching alignment across Divisions by maintaining continuous communications, and providing acquisition management, budgeting and resources, and analytical support to its customers.

The Operations Management Division is responsible for the Improper Payments Elimination and Recovery Act (IPERA) Program, Barring Act Waiver (BAW) Program, Contract Debt Deferment (CDD) Program, Military Banking Program, Travel and various Card Programs, including conducting any necessary testing, providing recommendations, and managing program policies. FMO- 1 is also responsible for Managers’ Internal Control Program (MICP) execution, and the planning, execution, and prioritization management of manpower.

3. Tasks

The requirements of this PWS will support remediation and auditability of FMO-1’s operational programs. Efforts under this task order will likely require coordination across FM&C, DON BSOs and SSPs. The contractor will coordinate with the Contracting Officer’s Representative (COR) to support the below tasks.

Task 3.1- Improper Payments Elimination and Recovery Act Program (IPERA)

The contractor shall perform the following tasks:

3.1.1 The Contractor shall support for the oversight and management of all phases of the Department of the Navy IPERA program, including preparing executive level briefings, monthly, quarterly and annual IPERA Reporting, sample plans, and corrective action plans; updating policies, procedures, and training; and recommending program improvements

3.1.2 Conduct analysis of IPERA relating to Defense Travel Program (Defense Travel System ((DTS)) and Windows Integrated Automated Travel System (WinIATS))

3.1.3 Develop and maintain Defense Travel Program Dashboards

3.1.4 Conduct WinIATS Defense Travel Program analysis to include Post Pay Review (PPR) support

3.1.5 Support the Senior Management Council (SMC) by providing IPERA data, analysis, and reports

3.1.6 Conduct and report on Marine Corps DDS Risk Assessments

3.1.7 Collaborate with DFAS regarding IPERA Key Supporting Documentation (KSDs)

3.1.8 Conduct PPR support for MilPay/CivPay

3.1.9 Support processing of Navy ERP samples

3.1.10 Support PPR processing of Navy Commercial Bill Paying Offices

3.1.11 Develop Memoranda of Understanding (MOUs), guidance, and reports supporting IPERA

Task 3.2- Contract Debt Deferment (CDD)

The contractor shall perform the following tasks:

3.2.1 Support for the processing and tracking of Contract Debt Deferments, including preparing waiver packages, coordinating and reviewing supporting documentation, maintaining files and communicating with other Department of Defense Agencies regarding the relevant issues involved in the request for debt deferment.

3.2.2 Develop data analysis and reports pertaining to CDD claims

3.2.3 Coordinate with stakeholders such as the Defense Contract Management Agency (DCMA) and ASN Research, Development and Acquisition (RDA) to aid in the processing of claims

3.2.4 Develop process improvements such as dashboards and templates for CDD

Task 3.3- Barring Act Waivers (BAW)

The contractor shall perform the following tasks:

3.3.1 Provide support for the processing and tracking of Barring Act Waivers (31 U.S.C. 3702), including preparing waiver packages, coordinating and reviewing supporting documentation, maintaining files and communicating with other Department of Defense Agencies and Congressional and Senatorial Offices of Constituent Affairs in order to obtain information about the claim or contact the constituent regarding the status or outcome of the claim.

3.3.2 Support the overall management of BAW to include submission reviews, processing claims, and tracking for the Department of the Navy. Work will involve the coordination with stakeholders such as Defense Finance and Accounting Service (DFAS).

3.3.3 Develop process improvements for the BAW program

Task 3.4- Military Banking (MB)

The contractor shall perform the following tasks:Military Banking Program—Provide support for the processing and tracking of annual Bank and Credit Union of the year awards, preparing packages for Assistant Secretary of the Navy (Financial Management and Comptroller) approval, coordinating and reviewing supporting documentation, maintaining files and communicating with other Department of Defense Agencies and Trade Associations in addressing issues impacting on-base banks and credit unions.

Task 3.5- Travel and Charge Card Programs

The contractor shall perform the following tasks:Travel and Charge Card Program management support (Travel Card, Purchase Card, Fleet Card, Fuel Card, Syncada, and Navy Cash). This includes programs such as

· Defense Travel System/WinIATS

· Travel Card Program

· Purchase Card Program

· Fleet Card Program

· Fuel Card Programs

· Support FMO with the Travel and Charge Card Programs by developing management reports to sustain the transition to SmartPay3.

· Develop data analysis and reports pertaining to Travel and Charge Card Programs

· Support FMO in the overall management and tracking of Travel and Charge Card packages.

· Coordinate with stakeholders such as Defense Travel Management Office (DTMO) and Defense Procurement and Acquisition Policy (DPAP) to improve the Travel and Charge Card Programs.

· Develop process improvement such as Dash-boards and templates.

Task 3.6- Internal Controls

The contractor shall perform the following tasks:Provide support for the oversight and management of all phases of FMO-1’s internal controls initiatives, this includes annual statement of assurance testing, reporting and implementation of any corrective action plans as well as program management risk assessments.

· Prepare briefings, update policies, procedures, and training, and recommend program improvements.

· Develop and manage the FMO-1 Annual Statement of Assurance testing and reporting.

· Support FMO-1 in the remediation, management, and tracking of material weaknesses.

· Coordinate with stakeholders such as FMO-4 to provide management with assurances FMO-1 operations are complying with applicable laws, regulations, and policies.

· Support FMO-1 internal controls with data analytics for planning and programming of financial statement audit; business process improvements/ compliance; receipt and acceptance initiatives; and remediation efforts.

· Provide technical input to FMO-1 related to the prioritization of remediation efforts to include risk-based assessments and internal control recommendations.

· Support FMO-1 program management internal control initiatives to include performance metrics, cost estimating, and program status reviews.

· Support FMO-1 in complying with records and documentation management efforts as well as configuration management initiatives.

· Provide and support the FMO wide document retention effort and provide recommended improvements.

4. Personnel Qualifications

General Qualifications

It is essential that continuity of services be maintained to the maximum degree possible; hence, substitution of Contractor employees shall be kept to the absolute minimum necessary to perform the services required and to provide adequate back-up personnel

Specific Qualifications

Personnel assigned to or utilized by the Contractor in the performance of this contract shall, as a minimum, meet the experience, educational, or other background requirements set forth below and shall be fully capable of performing in an efficient, reliable, and professional manner. If the quoter does not identify the labor categories listed below by the same specific title, then a cross-reference list shall be provided in the quoter’s quote identifying the difference.

If the Contracting Officer questions the qualifications or competence of any person performing under the order, the burden of proof to sustain that the person is qualified as prescribed herein shall be upon the Contractor.

The Contractor must have the personnel, organization, and administrative control necessary to ensure that the services performed meet all requirements specified in the contract. The Contractor shall be required to demonstrate the ability to support expertise across all functional tasks and functional areas identified in the PWS.

LABOR CATEGORY: Program Manager

Lead and experience in conducting professionally produced Senior Executive Service (SES) level presentations within the Navy (preferred) and required Budget Submitting Office SES action officers.

Education Requirements

Master of Business Administration (MBA) or Masters in Accounting. Certified Public Accountant (CPA) and Certified Project Management Professional (PMP) by the Project Management Institute.

Experience Requirements

Minimum ten (10) Years of progressive experience, with at least three (3) of those years having managed complex projects, contracts, funds, and resources. Experience must include work in DOD Payment Programs and Disbursing Operations. This individual serves as the interface with the Government’s Contractor’s Officer Representative (COR), other Government management and customer agent representatives. Responsible for formulating and enforcing work standards, assigning contractor schedules, maintaining work breakdown schedule, reviewing costs, budget and performance, and communicating policies, purposes, and goals to both subordinates and subcontractors. Oversees overall contract performance, and has the responsibility to organize resources to support and manage the execution of multiple projects. Recognized as an authority on one or more business improvement areas to include business process engineering, change management, financial management, and program management. Provide strategic program level skills and perspective to integrate business enterprise systems and related processes. Must be an expert in MS PowerPoint and Excel. This individual must have experience in both leading and conducting professionally produced Executive Level presentations with Senior Government leaders.

Knowledge Experience

Experience with DOD Organizational structure and chains of command, in particular those relating to the DON; Disbursing Operations and Payment Program governing Laws, Regulations, and Policies as described in the DOD Financial Management Regulation Volumes 5, 7, 8, 9, 10, 11 and 12.

LABOR CATEGORY: Program Analyst III

Support DOD (DON preferred) Contract Debt Deferment Program, conduct research in DON (DON preferred) Human Resource and Financial Management repositories, and Military Banking Program policy oversight and guidance.

Educational Requirements

Relevant Bachelor’s Degree. Certified Project Management Professional (PMP) by the Project Management Institute.

Experience Requirements

Minimum of six (6) years of progressive experience. Relevant experience includes Contract Debt Deferment Program, Human Resource and Financial Management repositories, and Military Banking Program policy oversight and guidance. Possesses demonstrated knowledge in business operational compliance review. Possesses significant experience providing solutions to an organization’s challenges through the application of knowledge gained through similar prior engagements. Participate in the development of solutions by leveraging knowledge of the designated field or discipline. Contributes to the implementation of strategy and helps assess the impact of industry trends, policy, and/or standard methodologies. Direct the activities of Specialists or other staff as necessary on activities related to the specified field or discipline. Expert in MS Office Suite to include Microsoft Access.

Knowledge Experience

Experience supporting a project in each of the following DOD (DON Preferred) Pay and Disbursing Programs: Improper Payments Information Act of 2002 (IPIA), Barring Act Waivers, Contract Debt Deferments, Charge Card Programs, and Military Banking.

LABOR CATEGORY: Program Analyst II

Support Payment and Disbursement Programs and Policy.

Educational Requirements

Relevant Bachelor’s Degree.

Experience Requirements

Minimum of four (4) years of progressive experience. Experience supporting a project in each of the following DOD (DON Preferred) Pay and Disbursing Programs within the last two (2) years: Improper Payments Information Act of 2002 (IPIA), Barring Act Waivers, Contract Debt Deferments, Charge Card Programs, and Military Banking. Conducting trend analysis, performing root cause analysis, and developing corrective action plans on improper payments data.

Knowledge Experience

Financial Statement Audit experience. Knowledge of DOD Organization; Disbursing Operations and Payment Program Policies as described in the DOD Financial Management Regulation Volumes 5, 7, 8, 9, 10, 11, and 12.

LABOR CATEGORY: Business Financial Management Analyst II

Project Support and Financial Management and Business Operations.

Educational Requirements

Relevant Bachelor’s Degree.

Experience Requirements

Minimum six (6) years of progressive experience. Experience supporting a project in each of the following DOD (DON Preferred) Pay and Disbursing Programs: Improper Payments Information Act of 2002 (IPIA), Barring Act Waivers, Contract Debt Deferments, Charge Card Programs, and Military Banking.

Knowledge Experience

Conducting trend analysis, performing root cause analysis, and developing corrective action plans on WinIATS improper payments data for Budget Submitting Offices that support large volumes of travel (e.g. BUPERS, PACFLT, Fleet Forces Command)

Implementing data visualization tools that capture IPIA program metrics and developing statistical estimates of improper payments for inclusion in DOD agency financial reports.

Collaborating and enhancing IPIA program governance through policy and memorandums of understanding with key stakeholders.

LABOR CATEGORY: Business Financial Management Analyst I

Business Operations.

Educational Requirements

Bachelor’s Degree in Business.

Experience Requirements

Minimum four (4) years of progressive experience. Business operations analytics, cost estimating, spend analysis, and analytical business process improvement initiatives.

Knowledge Experience

Experience in Federal budget process planning, estimating, and programming.

LABOR CATEGORY: Accountant

Financial Statement Compilation and Reporting Process.

Educational Requirements

Master of Business Administration (MBA) or Masters in Accounting.

Experience Requirements

Minimum ten (10) years of progressive experience. Experience supporting organizational financial statement audit risk assessments and improvements, developing internal control procedures, and financial statement compilation and reporting process.

Knowledge Experience

Program management in financial statement audit environment to include work product development, review, quality assurance, and delivery.

LABOR CATEGORY: Communications/Change Management Specialist III

Change Management.

Educational Requirements

Relevant Bachelor’s Degree.

Experience Requirements

Minimum ten (10) years of progressive experience. Experience supporting change management services, financial management business process re-engineering services, and/or communications services, preferably with the DoD or other Federal agency.

Knowledge Experience

Change Management experience preferably with the DOD or other Federal Agency.

5. Performance Standards

Refer to section entitled QASP

6. Security Requirements

The Contractor shall comply with the attached DD 254 (Attachment I).

7. Deliverables

The senior on-site contractor representative shall schedule and attend a monthly planning meeting with the COR by the 23rd day of each month. The purpose of this meeting is to establish expectations for the next month and ensure that services provided under the task order are responsive to overall FIAR goals and objectives. CDRL A001 includes an agenda for the monthly planning meeting. CDRL A002 includes the minutes from the monthly planning meeting.

See Attachment II CDRLS

9. Contractor Identification in the Government Workplace In all situations where contractor personnel status is not obvious, all contractor personnel are required to identify themselves to avoid creating a false impression to the public, agency officials, or Congress that such contractor personnel are Government officials. This shall occur during meeting attendance, through written (letter or email) correspondence or verbal discussions (in person or telephonic), when making presentations, or in other situations where their contractor status is not obvious.

The Contractor employees shall:

Not by word or deed give the impression or appearance of being a Government employee.

Wear appropriate badges visible above the waist that identify them as contractor employees when in Government spaces, at a Government sponsored event, or an event outside normal work spaces in support of the task order;

Clearly identify themselves as contractor employees in telephone conversations and in all formal and informal written and electronic correspondence. Identification shall include the name of the company for whom they work;

Identify themselves by name, their company name, if they are a subcontractor the name of the prime contractor their company is supporting, as well as the Government office they are supporting when participating in meetings, conference, and other interactions in which all parties are not in daily contact with the individual contractor employee; and Be able to provide, when asked, the full number of the task order under which they are performing, and the name of the Contracting Officer’s Representative.

If wearing a badge is a risk to safety and/or security, then an alternative means of identification maybe utilized if approved by the COR.

10. Place of Performance Approximately 100% of the work will be performed at Government Facilities.

Work will be performed predominantly at the National Capital Region (NCR) and other commands as necessary.

Telework (ad hoc and recurring on a part-time basis) where the normal workplace is the Government site or contractor overhead site is permitted. Contractor employees who telework may be required to arrive at the Government site based on operational requirements, and shall be available to communicate with the Government within 30 minutes at all times during normal business hours. Permanent telework shall be approved by the COR and will be accepted on a case-by case basis. The Contractor shall not direct charge this contract for commuting costs for permanent telework employees to the normal worksite (Government facility or contractor overhead site).

11. Ancillary Government Support

The Government will provide the following for on-site support: workspace, NMCI laptop, land-line phone, printer access, and proper building access identification badges. The Government may provide access to appropriate reference material, databases, and systems, as necessary, in the performance of this effort.

12. Data Rights

The Government has unlimited rights to all work products and deliverables under this task order. All data received, processed, evaluated and/or generated in the execution of this task order shall become the property of the Government unless specific exception is granted by the Contracting Officer. The Government will retain custody of all records associated with contractor deliverables and shall have exclusive control in the distribution of all written deliverables.

Coordinate in advance with the COR any requests to include any proprietary markings or legends, on any and all data submissions under this task order; failure to obtain advance approval from the COR will result in self-deletion of any subsequent improper markings.

Ensure that Government furnished IT systems are maintained separately from the Contractor's furnished commercial systems, such as its financial management, personnel and other operating systems. The Government’s furnished source programs, databases, operating systems and all modifications shall remain as Government property. maintain and protect the systems and data for the duration of the task order; therefore, at the task order end date, return all current source and compiled programs, documentation, and data in a useable format consistent with the manner in which it was originally furnished or modified during the performance period, including any approved Contractor applications with databases. Ensure data is current, complete and readily accessible.

13. A204-9400(1-17) Contractor Unclassified Access to Federally Controlled Facilities, Sensitive Information, Information Technology (IT) Systems or Protected Health Information (Jan 2017)

Homeland Security Presidential Directive (HSPD)-12, requires government agencies to develop and implement Federal security standards for Federal employees and contractors. The Deputy Secretary of Defense Directive-Type Memorandum (DTM) 08-006 - "DoD Implementation of Homeland Security Presidential Directive - 12 (HSPD-12)" dated November 26, 2008 (or its subsequent DoD instruction) directs implementation of HSPD-12. This clause is in accordance with HSPD-12 and its implementing directives.

APPLICABILITY

This clause applies to contractor employees requiring physical access to any area of a federally controlled base, facility or activity and/or requiring access to a DoN or DoD computer/network/system to perform certain unclassified sensitive duties. This clause also applies to contractor employees who access Privacy Act and Protected Health Information, provide support associated with fiduciary duties, or perform duties that have been identified by DON as National Security Position, as advised by the command security manager. It is the responsibility of the responsible security officer of the command/facility where the work is performed to ensure compliance.

Each contractor employee providing services at a Navy Command under this contract is required to obtain a Department of Defense Common Access Card (DoD CAC). Additionally, depending on the level of computer/network access, the contract employee will require a successful investigation as detailed below.

ACCESS TO FEDERAL FACILITIES

Per HSPD-12 and implementing guidance, all contractor employees working at a federally controlled base, facility or activity under this clause will require a DoD CAC. When access to a base, facility or activity is required contractor employees shall in-process with the Navy Command's Security Manager upon arrival to the Command and shall out-process prior to their departure at the completion of the individual's performance under the contract.

ACCESS TO DOD IT SYSTEMS

In accordance with SECNAV M-5510.30, contractor employees who require access to DoN or DoD networks are categorized as IT-I, IT-II, or IT-III. The IT-II level, defined in detail in SECNAV M-5510.30, includes positions which require access to information protected under the Privacy Act, to include Protected Health Information (PHI). All contractor employees under this contract who require access to Privacy Act protected information are therefore categorized no lower than IT-II. IT Levels are determined by the requiring activity's Command Information Assurance Manager.

Contractor employees requiring privileged or IT-I level access, (when specified by the terms of the contract) require a Single Scope Background Investigation (SSBI) or T5 or T5R equivalent investigation, which is a higher level investigation than the National Agency Check with Law and Credit (NACLC) described below. Due to the privileged system access, an investigation suitable for High Risk national security positions is required. Individuals who have access to system control, monitoring, or administration functions (e.g. system administrator, database administrator) require training and certification to Information Assurance Technical Level 1, and must be trained and certified on the Operating System or Computing Environment they are required to maintain.

Access to sensitive IT systems is contingent upon a favorably adjudicated background investigation. When access to IT systems is required for performance of the contractor employee's duties, such employees shall in-process with the Navy Command's Security Manager and Information Assurance Manager upon arrival to the Navy command and shall out-process prior to their departure at the completion of the individual's performance under the contract. Completion and approval of a System Authorization Access Request Navy (SAAR-N) form is required for all individuals accessing Navy Information Technology resources. The decision to authorize access to a government IT system/network is inherently governmental. The contractor supervisor is not authorized to sign the SAAR-N; therefore, the government employee with knowledge of the system/network access required or the COR shall sign the SAAR-N as the "supervisor."

The SAAR-N shall be forwarded to the Command's Security Manager at least 30 days prior to the individual's start date. Failure to provide the required documentation at least 30 days prior to the individual's start date may result in delaying the individual's start date.

When required to maintain access to required IT systems or networks, the contractor shall ensure that all employees requiring access complete annual Information Assurance (IA) training, and maintain a current requisite background investigation. The Contractor's Security Representative shall contact the Command Security Manager for guidance when reinvestigations are required.

INTERIM ACCESS

The Command's Security Manager may authorize issuance of a DoD CAC and interim access to a DoN or DoD unclassified computer/network upon a favorable review of the investigative questionnaire and advance favorable fingerprint results. When the results of the investigation are received and a favorable determination is not made, the contractor employee working on the contract under interim access will be denied access to the computer network and this denial will not relieve the contractor of his/her responsibility to perform.

DENIAL OR TERMINATION OF ACCESS

The potential consequences of any requirement under this clause including denial or termination of physical or system access in no way relieves the contractor from the requirement to execute performance under the contract within the timeframes specified in the contract. Contractors shall plan ahead in processing their employees and subcontractor employees. The contractor shall insert this clause in all subcontracts when the subcontractor is permitted to have unclassified access to a federally controlled facility, federally-controlled information system/network and/or to government information, meaning information not authorized for public release.

CONTRACTOR'S SECURITY REPRESENTATIVE

The contractor shall designate an employee to serve as the Contractor's Security Representative. Within three work days after contract award, the contractor shall provide to the requiring activity's Security Manager and the Contracting Officer, in writing, the name, title, address and phone number for the Contractor's Security Representative. The Contractor's Security Representative shall be the primary point of contact on any security matter. The Contractor's Security Representative shall not be replaced or removed without prior notice to the Contracting Officer and Command Security Manager.

BACKGROUND INVESTIGATION REQUIREMENTS AND SECURITY APPROVAL PROCESS FOR CONTRACTORS ASSIGNED TO NATIONAL SECURITY POSITIONS OR PERFORMING SENSITIVE DUTIES Navy security policy requires that all positions be given a sensitivity value based on level of risk factors to ensure appropriate protective measures are applied. Contractor employees under this contract are recognized as Non-Critical Sensitive [ADP/IT-II] positions when the contract scope of work require physical access to a federally controlled base, facility or activity and/or requiring access to a DoD computer/network, to perform unclassified sensitive duties. This designation is also applied to contractor employees who access Privacy Act and Protected Health Information (PHI), provide support associated with fiduciary duties, or perform duties that have been identified as National Security Positions. At a minimum, each contractor employee must be a US citizen and have a favorably completed NACLC or T3 or T3R equivalent investigation to obtain a favorable determination for assignment to a non-critical sensitive or IT-II position. The investigation consists of a standard NAC and a FBI fingerprint check plus law enforcement checks and credit check. Each contractor employee filling a non-critical sensitive or IT-II position is required to complete:

Failure to provide the required documentation at least 30 days prior to the individual's start date shall result in delaying the individual's start date. Background investigations shall be reinitiated as required to ensure investigations remain current (not older than 10 years) throughout the contract performance period. The Contractor's Security Representative shall contact the Command Security Manager for guidance when reinvestigations are required.

Regardless of their duties or IT access requirements ALL contractor employees shall in-process with the Command's Security Manager upon arrival to the command and shall out-process prior to their departure at the completion of the individual's performance under the contract. Employees requiring IT access shall also check-in and check-out with the Navy Command's Information Assurance Manager. Completion and approval of a System Authorization Access Request Navy (SAAR-N) form is required for all individuals accessing Navy Information Technology resources. The SAAR-N shall be forwarded to the Navy Command's Security Manager at least 30 days prior to the individual's start date. Failure to provide the required documentation at least 30 days prior to the individual's start date shall result in delaying the individual's start date.

The contractor shall ensure that each contract employee requiring access to IT systems or networks complete annual Information Assurance (IA) training, and maintain a current requisite background investigation. Contractor employees shall accurately complete the required investigative forms prior to submission to the Command Security Manager. The Command's Security Manager will review the submitted documentation for completeness prior to submitting it to the Office of Personnel Management (OPM); Potential suitability or security issues identified may render the contractor employee ineligible for the assignment. An unfavorable determination is final (subject to SF-86 appeal procedures) and such a determination does not relieve the contractor from meeting any contractual obligation under the contract. The Command's Security Manager will forward the required forms to OPM for processing. Once the investigation is complete, the results will be forwarded by OPM to the DoD Central Adjudication Facility (CAF) for a determination.

If the contractor employee already possesses a current favorably adjudicated investigation, the contractor shall submit a Visit Authorization Request (VAR) via the Joint Personnel Adjudication System (JPAS) or a hard copy VAR directly from the contractor's Security Representative. Although the contractor will take JPAS "Owning" role over the contractor employee, the Command will take JPAS "Servicing" role over the contractor employee during the hiring process and for the duration of assignment under that contract. The contractor shall include the IT Position Category per SECNAV M-5510.30 for each employee designated on a VAR. The VAR requires annual renewal for the duration of the employee's performance under the contract.

BACKGROUND INVESTIGATION REQUIREMENTS AND SECURITY APPROVAL PROCESS FOR CONTRACTORS ASSIGNED TO OR PERFORMING NON-SENSITIVE DUTIES Contractor employee whose work is unclassified and non-sensitive (e.g., performing certain duties such as lawn maintenance, vendor services, etc.) and who require physical access to publicly accessible areas to perform those duties shall meet the following minimum requirements:

To be considered for a favorable trustworthiness determination, the Contractor's Security Representative must submit for all employees each of the following:

The contractor shall ensure each individual employee has a current favorably completed National Agency Check with Written Inquiries (NACI) or T1 equivalent investigation, or ensure successful FBI fingerprint results have been gained and investigation has been processed with OPM

Failure to provide the required documentation at least 30 days prior to the individual's start date may result in delaying the individual's start date.

* Consult with your Command Security Manager and Information Assurance Manager for local policy when IT-III (non-sensitive) access is required for non-US citizens outside the United States.

14. Enterprise-wide Contractor Manpower Reporting Application (ECMRA)

The contractor shall report ALL contractor labor hours (including subcontractor labor hours) required for performance of services provided under this contract for the DON Financial Improvement Program via a secure data collection site. The contractor is required to completely fill in all required data fields using the following web address – https://doncrma.nmci.navy.mil.

Reporting inputs will be for the labor executed during the period of performance during each Government fiscal year (FY), which runs October 1 through September 30. While inputs may be reported any time during the FY, all data shall be reported no later than October 31 of each calendar year. Contractors may direct questions to the help desk, linked at https://doncmra.nmci.navy.mil.

QASP

QUALITY ASSURANCE SURVEILLANCE PLAN

(QASP)

1 INTRODUCTION

This Quality Assurance Surveillance Plan (QASP) has been developed pursuant to the requirements listed in the Performance Work Statement (PWS) for the DON Financial Improvement Program (FIP). This QASP serves as the plan for surveillance of performance and identifies the performance indicators, standards, inspections, methods, and procedures to be used in monitoring performance. The plan sets forth the agreed upon procedures and guidelines NAVSUP and FMO will utilize to ensure the required performance standards and Acceptance Quality Levels (AQL) are achieved by the Contractor.

Purpose This QASP describes the systematic quality assurance methods that will be used to evaluate whether the Contractor is meeting the performance standards/levels identified in the PWS. Included are procedures for evaluating Contractor performance as well as procedures to be taken against the Contractor for unacceptable or noncompliant performance.

The intent is to ensure that the Contractor performs in accordance with performance metrics set forth in the contract documents, that the Government receives the quality of services called for in the contract, and that the Government only pays for the acceptable level of services received.

2 RESPONSIBILITIES

Contracting Officer’s Representative (COR) Responsibility The COR is designated in writing by the Procuring Contracting Officer (PCO) to act as his or her authorized representative to assist in administering a contract, however, specific limitations are identified in their written appointment letter. The COR is not empowered to make any contractual commitments or to authorize any contractual changes on the Government’s behalf. Any changes that the Contractor deems may affect contract price, terms, or conditions shall be referred to the PCO for action.

The COR is responsible for the technical administration of the contract and ensures proper Government surveillance of the Contractor’s performance. The COR will have the responsibility for completing the monthly Quality Assurance (QA) Surveillance Checklist (Enclosure 1) used to document the inspection and evaluation of the Contractor’s work performance and adherence to performance standards/ Acceptable Quality Limits (AQL). The COR is also responsible to assess contractor performance for the Contractor Performance Assessment Reporting System (CPARS) with input from FM&C Leadership. Government surveillance may occur under the inspection of services clause for any service relating to the contract.

Contractor Responsibility The Contractor is responsible for the management and quality control actions necessary to meet the terms of the contract. The quality expectation is that the Contractor will provide sufficient oversight of the work products (i.e., an internal independent validation and verification) that is validated by a senior partner (or designee's) signature.

Work products or support that contributed to deficiencies identified by the IPA review will be annotated and may be used to support/justify ratings in the associated contractors annual CPARS.

FM&C’s expectation is for the Contractor to collaborate as a partner with DON in audit. As such, the Contractor shall provide guidance, strategies, and quality work products that transform the DON’s business environment to achieve an unmodified (i.e., clean) audit opinion.

3 IDENTIFICATION OF REQUIRED PERFORMANCE STANDARDS

The required performance standards and quality levels are identified in the PWS and herein with the method of surveillance. This QASP and the QA Surveillance Checklist (Enclosure 1) will identify the deliverable (CDRL, work products, tasks) against the contract performance standards and AQLs. All deliverables of the performance standards are equal in weight.

NOTE: Contractors must utilize Government Templates for deliverables when provided.

Schedule Quality

Quality Schedule

Quality

Schedule

Quality

4 METHODOLOGIES TO MONITOR PERFORMANCE

Surveillance Techniques The COR will utilize a combination of surveillance methods to adequately monitor the Contractor’s performance. The three principal methods of surveillance are listed below, however, any surveillance technique (i.e., random work product samples, performance interviews, site visits, meeting drop-ins, other or ad hoc customer feedback, and surveys) can be used at the Government’s discretion. The principal methods of surveillance are as follows:

· CDRL Inspection – Each month, the COR, shall track the quality of the CDRLs delivered and supporting documentation provided as a basis for their inputs into the Quality Assurance Surveillance Checklist (Enclosure 1). Particular attention will be paid on how the contractor is managing CDRLs and the intent and objectives of the monthly planning and status reporting process.

· Monthly Status Report (MSR) (A003) and – This report should establish clear traceability between vendor performance related to the tasks set forth in the PWS.

· Senior Leadership, Government Technical Lead, or Technical Assistant Feedback – The Contractor is expected to establish reasonable and cooperative behavior, and maintain professional communication with its customers. Feedback received by the COR on the performance of the Contractor will be documented and should be discussed at the monthly planning meetings. Customer compliments sent to the COR may be an indicator of success, but may not necessarily indicate overall program success.

5 CONTRACTOR AWARDS

The regulations that authorize awards to government employees do not apply to contractor personnel. DOD Manual 1400.25-V451 (2013) states that “awards, awards programs, ceremonies or receptions to acknowledge contributions by organizations or companies having a commercial or profit-making relationship with DoD must not be established.”

6 MONITORING FORMS

The Government’s surveillance will be documented using the QA Surveillance Checklist (Enclosure 1) and will be included in the Contractor’s submission of A004 each month. The checklist will document the Government’s assessment of the Contractor in meeting the required performance standards and AQLs. The QA Surveillance Checklists will support the Government’s annual CPARS assessment; however, they are not the only input to the contractor’s performance assessment. The COR will retain a copy of all completed QA surveillance checklists.

7 QUALITY ASSURANCE ASSESSMENT AND REMEDIES

Determining Performance - The Government shall use the monitoring methods cited in this QASP to determine whether the performance standards/AQLs have been met. The Performance Standards, AQLs, and level of effort are the expected and required levels of performance. Meeting these contract requirements will result in a CPARS rating of satisfactory. To achieve above a “Satisfactory” CPARs rating, the contractor must provide support and timely (as agreed during the monthly planning meetings) work products that further DON financial statement auditability based upon COR surveillance. FM&C senior executive leadership maintains final authority for contractor performance assessments.

Corrective action - If either the level of support or work products are deemed insufficient or out of scope, the COR will request a written corrective action plan that contains both a proposed adjustment and/or solution, and commensurate updated milestones.

Reporting - The COR will complete the Quality Assurance Surveillance Checklist on a monthly basis. This checklist will be made available to the PCO. Performance discussions are encouraged in the Monthly Planning Meetings and shall be documented in the meeting minutes (A003). CPARs will be conducted, at a minimum, on an annual basis.

Reviews and Resolution - The COR may require the Contractor’s project manager to meet with the PCO, Program Manager (PM), and other Government personnel as deemed necessary to discuss performance evaluation.

ENCLOSURE 1 - QUALITY ASSURANCE SURVEILLANCE CHECKLIST

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Schedule

Quality Schedule

Quality

Schedule

Quality

SUBMISSION AND EVALUATION

I. GENERAL

The quoter’s quote shall be in the form prescribed by, and shall contain a response to each of the areas identified in, this solicitation section. The following instructions are provided in addition to instructions to quoters contained elsewhere in this solicitation.

Initial quotes and any modifications thereto are to be submitted to the Contracting Officer on or before the closing date and time cited elsewhere in the solicitation. Quotes shall be submitted via email to Stephanie Murphy at the following email address: stephanie.m.murphy@navy.mil. Responses through NECO are not acceptable. Quoters are strongly encouraged to confirm receipt of their quote via a separate email prior to the solicitation closing.

Quoters shall submit their quotes in two separate volumes as follows:

Volume I Non-Price Quote

Volume II Price Quote

In addition to the Price Quote, Quoters shall include the following in Volume II:

Solicitation cover sheet with appropriate blocks completed by the quoter.

Acknowledgement of solicitation amendments pursuant to FAR 52.215-1 (if not previously provided).

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