02._Performance_Based_Statement_of_Work.pdf

Office of Contracting and Logistics Management Revised 04 Aug 17

Performance Based Statement of Work

Instruction of Institutional Integrity Modules Within International Maritime Border Security Short Courses

Defense Analysis Department

Naval Postgraduate School

1.0 Background/Introduction: Naval Postgraduate School (NPS) has a requirement for contractual services to deliver Building

Integrity modules during multiple iterations of in-resident International Maritime Border Security (IMBS) and Land Border Security & Terrorism (LBS&T) short courses.

2.0 Scope: These courses, delivered under Export and Related Border Security (EXBS), consist of multiple modules covering various topics within the IMBS curriculum.

Contractor support is needed for an instructor to facilitate the Institutional Integrity and Strengthening the Professional Force modules, which include the following topics: “Foundations: Ethics & Public Policy” (Personal Choices and Public Ethics – Stimulating Moral Imaginations; Game Theory, Social Contracts and Institutional Integrity), “Geometric Integrity” (Personnel Integrity, Transparency and Accountability), and “Service, Solicitude & Sovereignty.” Initial course material (PowerPoint files, background material, readers, etc.) will be provided to the instructor and may be modified by the instructor for future iterations.

Module summaries are included with this request for vendor reference.

The course attendees will consist of approximately 20 O-5/O-6 level military students and their civilian agency counterparts, primarily military, customs, and police officials. Students are anticipated to possess limited English language ability. The course will be delivered in English with consecutive interpretation via an on-site interpretation team.

3.0 Tasks:

The contractor shall perform the following tasks as follow:

3.1 Content Revisions

3.1.1 The contractor/instructor shall take prior student feedback into consideration when determining whether to modify “Institutional Integrity” and “Strengthening the Professional Force” module content for future iterations.

3.1.2 The contractor/instructor shall tailor said module content, if necessary, to reflect challenges specific to the country in question (i.e., Egypt, Algeria, Tunisia, Morocco, Vietnam, Yemen, Indonesia, or Cambodia), focusing on the military and border security applications of the material.

3.1.3 The contractor/instructor shall provide any revisions to the NPS Technical POC no less than 30 days prior to the subject iteration in order to have revisions reviewed by faculty leads.

3.2 Course Delivery

3.2.1 The contractor/instructor shall deliver/facilitate approximately sixteen (16) hours of “Institutional Integrity” and “Strengthening the Professional Force” course material and roundtable discussion to international students from various countries in North Africa and/or Southeast Asia over a two-day period in support of IMBS courses.

3.2.2 The contractor/instructor shall deliver/facilitate approximately eight (8) hours of course material and roundtable discussion to international students from various countries in North Africa and/or Southeast Asia over a half-day period in support of LBS&T courses.

3.2.3 The contractor/instructor shall employ knowledge of religions prevalent in North Africa and/or Southeast Asia to deliver course content to students in a non-offensive, relatable manner.

3.2.4 The contractor/instructor will use personal experiences to illustrate the application of theories discussed in course modules.

3.3 Iteration Summary

3.3.1 The contractor/instructor shall provide a written after-action summary of the perceived success/failure/progress/etc., of each iteration, as well as the anticipated incorporation of lessons learned into future iterations (if applicable). A template will be provided for contractor/instructor use

4.0 Deliverables:

The contractor shall be responsible for providing the following deliverables:

4.1 Content Revisions

4.1.1 Electronic format of any revised modules delivered to the NPS Technical POC no less than 30 days prior to iterations.

4.2 Course Delivery

4.2.1 Delivery of approximately 16 hours of course material and roundtable discussions for IMBS courses.

4.2.2 Delivery of approximately four hours of course material and roundtable discussions for LBS&T courses.

4.3 Iteration Summary

4.3.1 Completed after-action template for each iteration.

The contractor shall be responsible for preparing deliverables in support of the tasks identified in this SOW

Performance Measurement - Quality Assurance Plan

Task Deliverable that will be inspected

Acceptable Quality Level (AQL)

Method Frequency

3.1 3.2

“Institutional Integrity” and “Strengthening the Professional Force” modules

Contains PowerPoint presentations or other electronic media tailored to a regional audience that meets the course objectives

Personal inspection by Faculty Leads

Inspection 30 days prior to delivery to students in the classroom

3.2 Illustrative examples to

relate course content to students in a relevant manner

Student understanding and identification with material is enhanced by application examples

Personal observation by NPS Technical Point of Contact and Faculty Leads; feedback from students

Daily

3.3 Iteration After-Action

Summary

Completed template with detailed feedback on iteration progress, with future implementation of any lessons learned

Personal inspection by NPS Technical Point of Contact

Once per iteration; submitted no more than five business days after conclusion

If performance falls below the AQL defined above, the Contracting Officer’s Representative (COR) shall document the instance(s), coordinate with the Contracting Officer and advise the Contractor. The Contractor will be requested to review the documentation and provide a written response on how performance will be corrected in the future. Re-performance of any work for failure to perform in accordance with the specified AQL or task requirement shall be completed at the Contractor’s own expense and at no additional cost to the Government.

5.0 Minimum Technical Requirements:

• In order to relate course material to real-world experience, Contractor is required to have applicable professional background in at least one of the major areas covered in the course such as law enforcement, customs, border patrol, immigration, counter-trafficking (drugs, humans, weapons of mass destruction [WMDs], etc.), counter-piracy, or interagency cooperation.

• Contractor is required to have a Master’s Degree or Ph.D., with no less than 12 graduate credit hours in one or a combination of applicable subject areas (Philosophy, Theology, Ethics, Institutional Integrity, Government, etc.)

• Contractor must be experienced at delivering condensed educational material to international military officers and their civilian equivalents.

• Contractor shall demonstrate, via resume support and/or published academic material, an extensive knowledge of all topics and have the necessary skills to provide two-way discussion opportunities during instruction. Contractor should be familiar and comfortable with speaking adjustments required for instruction via interpreters

6.0 Period of Performance: Initial period of performance is April 20, 2018 – April 19, 2019. Period of performance for options are

April 20, 2019 – April 19, 2020 and April 20, 2020 - April 19, 2021

7.0 Place of Performance:

Course shall be delivered on-site at the Naval Postgraduate School with the exception of defined mobile education delivery. The exact times and room numbers for NPS courses will be verified as courses approach. Contractor must be on-site for in-person delivery to participant groups.

8.0 Government Furnished Property:

8.1 Contractor will be provided with a complete set of electronic material to use for instruction of these modules.

Contractor will be permitted to alter said electronic modules for purposes of tailoring course content to each respective audience

9.0 Work Week and Hours of Operation:

The Contractor shall provide services during normal working hours excluding federal holidays. Normal working hours are 0730- 1630, Monday through Friday, unless requirements dictate otherwise. Exceptions can be permitted by the COR upon request and at the COR’s discretion.

Following is a list of holidays observed by the Government.

Name of Holiday Time of Observance New Year’s Day 1 January Martin Luther King Jr. Day Third Monday in January President's Day Third Monday in February Memorial Day Last Monday in May Independence Day 4 July Labor Day First Monday in September Columbus Day Second Monday in October Veteran's Day 11 November Thanksgiving Day Fourth Thursday in November Christmas Day 25 December

If any of the above holidays occur on a Saturday or a Sunday, then such holiday shall be observed by the Contractor in accordance with the practice as observed by the assigned Government employees at the using activity

10.0 Travel: Travel is not anticipated for this contract.

11.0 Transition Activities: None.

12.0 Security Requirements:

All instruction under this contract is to be performed at an UNCLASSIFIED level. Contractor Key Personnel must be U.S.

Citizens or possess a SECNAV waiver.

13.0 Human Subject Research:

Contractor personnel performing work under this contract may not support, advise, or conduct research involving human subjects.

If at any time during the period of performance of this contract the tasks involve human subject research, the Contractor shall immediately notify the Contracting Officer. The contract must be amended in accordance with DoDD 3216.02 and DFAR 252.235-7004 in the event human subject research is proposed.

14.0 Privacy Act Statement: (No action required, leave this statement)

“Pursuant to Title 5 United States Code 552a(m)(l), the contractor and all employees of the contractor working under this contract are required to comply with the requirements of 5 U.S.C. 552a (“The Privacy Act of 1974”).”

15.0 Identification of Contractor Employees: (No action required, leave this statement)

In accordance with DFAR 211.106, there shall be a clear distinction between Government employees and service contractor employees. Service contractor employees shall identify themselves as contractor personnel by introducing themselves or being introduced as contractor personnel. Contractor personnel will be required to obtain and wear badges or other visible identification for meetings with Government personnel to provide a clear distinction between service contractor employees and Government personnel. In addition, contractor personnel shall appropriately identify themselves as contractor employees in telephone conversations and in formal and informal written correspondence. They must also ensure that all documents or reports produced by contractors are suitably marked as contractor products or that contractor participation is appropriately disclosed.

16.0 Non-Personal Services Statement: (No action required, leave this statement)

Contractor employees performing services under this order will be controlled, directed, and supervised at all times by management personnel of the contractor. Contractor management will insure that employees properly comply with the performance work standards outlined in the SOW. Contractor employees will perform their duties independent of, and without the supervision of, any Government official or other Defense Contractor. The tasks, duties, and responsibilities set forth in the task order may not be interpreted or implemented in any manner that results in any contractor employee creating or modifying Federal policy, obligating the appropriated funds of the United States Government, overseeing the work of Federal employees, or otherwise violating the prohibitions set forth in Parts 7.5 and 37.1 of the Federal Acquisition Regulation (FAR). The Government will control access to the facility and will perform the inspection and acceptance of the completed work.

17.0 SUPTXT 204-9400 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:

• SF-86 Questionnaire for National Security Positions (or equivalent OPM investigative product)

• Two FD-258 Applicant Fingerprint Cards (or an electronic fingerprint submission)

• Original Signed Release Statements

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 Navy 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:

• Must be either a US citizen or a US permanent resident with a minimum of 3 years legal residency in the United States (as required by The Deputy Secretary of Defense DTM 08-006 or its subsequent DoD instruction) and

• Must have a favorably completed National Agency Check with Written Inquiries (NACI) or T1 investigation equivalent including a FBI fingerprint check prior to installation access.

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

• SF-85 Questionnaire for Non-Sensitive Positions

• Two FD-258 Applicant Fingerprint Cards (or an electronic fingerprint submission)

• Original Signed Release Statements

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.

18.0 Points of Contact:

NPS Contracting Officer Representative (COR): Rebecca Smith, Faculty Associate, 831-656-6228, rksmit1@nps.edu

NPS Technical POC: Rebecca Smith, Faculty Associate, 831-656-6228, rksmit1@nps.edu

NPS POC for Acceptance of Deliverables: Rebecca Smith, Faculty Associate, 831-656-6228, rksmit1@nps.edu

NPS Financial POC: Charlotte Miller, Sponsored Program Financial Analyst, 831-656-3056, chmiller@nps.edu mailto:rksmit1@nps.edu mailto:chmiller@nps.edu