Performance_Based_Statement_of_Work-FINAL.pdf

Office of Contracting and Logistics Management Revised 04 Aug 17

Performance Based Statement of Work Maintenance Support for RSPO Management Systems and Reports

Research and Sponsored Program Office Naval Postgraduate School

1.0 Background/Introduction:

The Naval Postgraduate School (NPS) located in Monterey, California supports the U.S. Navy, other military branches, and foreign military services with postgraduate education for personnel. Additionally, NPS provides significant research capabilities to the Department of Defense (DoD). The Information Technology and Communications Services (ITACS) Department at NPS supports every aspect of the school’s mission by providing all communications services, telephone support, and network support into core computing functions for the entire school.

The Research and Sponsored Programs Office (RSPO) has developed numerous management information systems to administer research and sponsored programs and related supporting processes. These include

• RRBUD: To administer and manage sponsored research, education, professional development and other support activities.

• NPS IRB: To administer and manage human subjects research as overseen by the NPS IRB (Institutional Review

Board).

2.0 Scope:

The scope of this contract is to acquire the services of contractor personnel in support of the NPS ITACS and Research and Sponsored Programs Office departments. These personnel must have the requisite computer programming and IT skills to be able to develop, customize, modify, integrate, upgrade and maintain the existing RRBUD and NPS IRB Web Application. The objectives of this contract are three-fold:

Maintenance of existing systems (RRBUD and NPS IRB) with minor modifications as may be required due to changes in technology or minor adjustments to existing displays and troubleshooting users and system errors.

Modification or enhancement to existing systems (RRBUD and NPS IRB) as required by technology advancement and business process, compliance and business rules changes.

Upgrade of NPS IRB web application into a common architecture shared by other web applications at NPS to better support evolving IRB business processes. Upgrade will include recreation of existing screens/fields in the new web application architecture and database structure and transfer of reporting functionality building upon existing canned reports within the application. Modifications and expansion to screens, data collected and functionality may be required depending on compatibility with the new architecture and recent changes in IRB business processes. Requirements will be provided at the time of contract award.

3.0 Tasks:

The contractor shall perform the following task(s) as follows:

3.1 Establishment of FY19 RRBUD database structure.

3.2 Transference of data (parameters to be provided) from FY18 RRBUD database to FY19 RRBUD database.

3.3 Modification of existing applications to support FY19 RRBUD requirements.

3.4 Continue maintenance and bug fixes of RRBUD (no application modifications will be made for FY19, unless critical to the operation of the application).

3.5 Prepare data from RRBUD for transference to Kuali Coeus.

3.6 Continue maintenance and bug fixes for the NPS IRB.

3.7 Minor systems modifications or enhancements to existing system functionality (NPS IRB) may include but are not limited to descriptive verbiage changes on web pages, occasional addition of new data fields to existing data queries and reports, and occasional addition of data displayed on web pages in order to accommodate minor data structure changes.

3.8 Upgrade of existing NPS IRB web application to C# (a .NET language) web interface and Microsoft SQL Server database back-end. The upgrade will not only include improvements to existing architecture, but also functionality to improve search efficiency, navigation and workflow.

3.8.1 Existing application will be overhauled from the existing architecture to the new C# architecture in use by other applications at NPS to make it easier to support.

3.8.2 Improvements to search functionality will include sorting and filtering by each search result heading to improve search efficiency.

3.8.3 Additional navigation and screen changes are also required, such as Previous/Next buttons when viewing records, movement of fields to new screen section, removal of unused fields, changes in auto-population settings for Fiscal Year and Protocol Number fields.

3.8.4 Workflow process changes are needed when a new record is created, to allow editing of the record after initial save.

3.9 Deliver System documentations for transfer of knowledge and disaster recovery to Government by the termination of the period of performance. Documents shall include all source code for ASP.NET code and Crystal Reports BOE, database structure and locations, and documentation explaining source code compilation and data source connections.

3.10 Create monthly reports that provide update on status, work completed, work in progress, short-term goals, and other relevant project information.

4.0 Deliverables:

The contractor shall be responsible for providing the following deliverables:

4.1 FY19 RRBUD Database populated with FY18 RRBUD data as described in tasks 3.1 and 3.2

4.2 Changes to NPS IRB Application in task 3.8

4.3 System documentation upon request as described in task 3.9

4.4 Monthly status reports

Performance Measurement - Quality Assurance Plan

Task Deliverable that will be inspected

Acceptable Quality Level (AQL)

Method Frequency

3.1-3.7 The functionality of the system, reliability of data and reports

95% or better system up time; 24 hours or less response time to bug reports

Daily use of system, observation and feedback

Continuous through period of performance

3.2 Completeness and

transferability of data

100% duplication of existing data

Observation and feedback Upon receipt of requested data

3.8 The functionality of the

systems, reliability of data and reports

100% of implementation of requirements

Observation and feedback Within four months of receipt of requirements

3.9 Documentation delivered Provide updated

documentation within 1 month of code modification to include code author, date of change, purpose and explanation of complex

Observation and feedback At termination of the period of performance

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:

The contractor can propose one or more individuals who individually, or collectively, meet all of the following requirements

Required Educational Requirements:

Bachelor’s degree from an accredited college or university with a curriculum or major field of study which provides substantial knowledge useful in managing large, complex AIS projects, is closely related to the work to be automated, and/or in a computer science, information system, a physical science, engineering or a mathematics intensive discipline, or an applicable training certificate from an accredited training institution.

Required Technical Skills:

• Software knowledge required o At least 5 years’ experience in/with:

o software design and development o C#, ASP.NET MVC and Web Forms, Entity Framework o Apache, JSP, Oracle server o Web front end development (jQuery, HTML5, CSS, JavaScript, Bootstrap and Telerik/Kendo frameworks, etc.)

o MS Access 2007/2010 and MS SQL Server o Crystal Reports including design, publishing and management using SAP Web intelligence planform version

4.2 o Business Objects Enterprise (BOE) o Data connectivity and integration of external data sources o At least 2 years’ experience with:

o SVN revision control software o Familiarity with NPS’ business processes o Familiarity with:

o Kuali Coeus (KC) o JIRA issue management software o SVN revision control software

• Technical skills required o Server hosting process/procedures o Web development o Database configuration and programming o Software architecture design/development

6.0 Period of Performance: 1 September 2018 to 31 August 2019

7.0 Place of Performance:

Contractor Site and Naval Postgraduate School as required. The majority of the work will be performed at the Naval Postgraduate School, Monterey CA 93943.

algorithms

8.0 Government Furnished Property:

The Government shall provide computer resources including access to workstations, printers, software, data, communication networks, etc. They shall provide initial guidance, technical information, subject matter orientation and documentation such as reference manuals and appropriate publications. The Government will provide the contractor access to systems and software required to complete the assigned tasks. The contractor shall identify and notify the Government of system documentation necessary for the proper performance of this task.

The government shall provide appropriate office space, supplies and equipment to perform tasks at NPS. Any Government-provided property and information shall be used for official Government business only. Any applicable documents that are authorized for use in performance of these services shall be provided, in accordance with security and contract terms and conditions.

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: No travel requirement.

11.0 Transition Activities:

It is essential to the Government that services required under this PWS are performed without interruption. At the conclusion of any performance period, including option periods or extensions, the services provided under this PWS may be awarded to another contractor. The contractor in place shall be required to assist in the transition activities.

12.0 Security Requirements:

Sensitive Unclassified. Security clearance is not required. Contractor Key Personnel must be U.S. Citizens or possess a SECNAV waiver.

Contractors performing on this contract are required to familiarize themselves with, and participate in, the Naval Postgraduate School’s OPSEC program. Must be familiar with and comply with NPSINST 3432.1B, the NPS Critical Information List, DoDI 5205.2E and their applicable references. The contractor will be required to complete OPSEC and counter-intelligence training within 30 days of beginning the work, or provide proof of OPSEC and counterintelligence training completed within the previous 12 months. The contractor may not publicly release any information about developmental work or curriculum at NPS without prior written approval from the Principal Investigator (PI).

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:

“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:

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:

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.