PWS_CSI_ACAF_Final.docx

Performance Based Statement of Work Advanced Climate Analysis and Forecasting Support Department of Meteorology Naval Postgraduate School

1.0 Background/Introduction:

The Department of Meteorology at the Naval Postgraduate School (NPS) conducts research and development (R&D) on climate analysis and forecasting. Software development and database implementation services are needed to support that R&D. These services will improve the analysis and forecasting capabilities of the Advanced Climate Analysis and Forecasting system (ACAF).

2.0 Scope:

ACAF is an online application for analyzing large multi-decadal, multi-level global and regional environmental data sets, and developing climate analyses and forecasts at subseasonal and longer lead times. ACAF provides users with tools for accessing and analyzing the data, visualizing the data and analysis results, developing forecasts and other products based on the data and analysis results, and downloading data and user generated results. Upgrades to ACAF are needed to: (a) implement newly available databases; (b) compute and display additional variables; (c) enable additional visualization, analysis, forecasting, and plotting capabilities.

The tasks described below will be conducted in three phases. These phases and their periods of performance (PoPs) are as follows:

Phase 1 / Base PoP: Date of award through 31 December 2019 Phase 2 / Option One PoP: 01 January 2020 through 30 June 2020 Phase 3 / Option Two PoP: 01 July 2020 through 31 December 2020

3.0 Tasks:

The contractor will perform the following tasks.

Phase 1 / Base PoP: Date of award through 31 December 2019

3.1.1. Download and assemble data files from the ERA5 reanalysis database and provide to NPS in netCDF format. NPS will inform contractor of the needed: (a) data parameters; and (b) time period, grid, vertical levels, spatial and temporal resolution, and data file format. The contractor will download the specified data, convert data to the requested data file format, transfer data to an external hard drive readable by a PC with a Windows operating system, and send the drive to NPS. NPS will perform periodic checks of the contractor’s preliminary results to confirm proper execution of the task, and the contractor will provide NPS with the necessary preliminary data files and other results to enable these checks.

3.1.2. Enable ACAF to provide users with environmental input files that contain climatological near-surface modified refractivity profiles from the evaporation duct climatology (EDC) datasets. The files will be formatted for use in the Interactive Scenario Builder application and will provide the following main types of information: (a) long term mean (LTM) climate information, including medians and percentiles of the evaporation duct height; and (b) user-defined composite means and percentiles (for example, conditional composites based on El Niño-La Niña or other climate variations, or on other user defined conditions). The ACAF user must be able to specify the month, hour, grid point and specific parameter to be included in the environmental input files. NPS will provide the contractor with NAVSLaM v1.2 and additional Fortran or MATLAB codes, and will assist with and verify the translation to Python and the proper implementation of these codes and overall methodology in ACAF. The contractor will convert the NAVSLaM v1.2 and additional codes into Python and incorporate into ACAF the resulting code and the method for producing Builder input files. The contractor will provide the translated codes to NPS. NPS will perform periodic checks of the contractor’s preliminary results to confirm proper execution of the task, and the contractor will provide NPS with the necessary preliminary data files and other results to enable these checks.

3.1.3. Enable ACAF to include pre-blended EDC and upper air ducting climatology (UADC) modified refractivity profiles in Builder environmental input data files according to user specifications for appropriate island and coastal UADC radiosonde stations (i.e., close to the ocean and near sea level). NPS will perform the blending of EDC and UADC refractivity profiles for selected stations and will provide these blended data to the contractor for inclusion in ACAF. NPS will provide necessary MATLAB codes and a description of the methodology to be used to the contractor, and will assist with the proper translation of codes and the implementation of codes and overall methodology. The contractor will translate MATLAB codes into Python, and implement these codes and overall blending methodology within ACAF. The contractor will provide the translated codes to NPS. NPS will perform periodic checks to ensure the proper execution of this task by the contractor, and the contractor will provide NPS with the necessary preliminary data files and other results to perform these checks.

3.1.4. Conduct research in coordination with NPS to increase the automation of the processes used to develop, test, and operate the NPS tropical cyclone (TC) long range forecasting system. This includes automation of the processes for: (a) statistical model development, testing, and validation, including obtaining data sets for model development and assessing and selecting model predictors (i.e., large scale environmental factors (LSEFs)); (b) obtaining and applying dynamical model forecasts of LSEFs; (c) generating and distributing system forecasts; and (d) verification of system forecasts. The main objectives for this task are to: (1) reduce the need for manual inputs to the processes; and (2) prepare the system for transitioning to operational use. NPS will perform periodic checks of the contractor’s preliminary results to confirm proper execution of the task, and the contractor will provide NPS with the necessary preliminary results to enable these checks.

3.1.5. Conduct research in coordination with NPS to develop, test, and implement methods for improving the efficiency, accuracy, and scope of the NPS tropical cyclone (TC) long range forecasting system via use of improved: (a) data sets; (b) statistical modeling; (c) dynamical model inputs; (d) validation methods; (e) bias correction methods; (f) ensembling methods; (g) verification methods; and (h) other approaches to the development, testing, and application of the system. This includes improved applications of the system to the forecasting of TC formations, tracks, and intensities for the major TC basins. This task also includes research on the use of dynamical model forecasts of LSEFs from multiple dynamical modeling systems. NPS will perform periodic checks of the contractor’s preliminary results to confirm proper execution of the task, and the contractor will provide NPS with the necessary preliminary results to enable these checks.

3.1.6. Conduct research in coordination with NPS to apply and test ACAF capabilities and potential capabilities by applying these capabilities to analyze and forecast climate variations and climate change, and to meet operational needs. The analyses will focus on identifying characteristic patterns and processes associated with climate variations and change, in particular: (a) climate anomalies related to subseasonal to interannual variations; and (b) decadal and longer changes related to both natural and human-induced climate change. Research may include the application of machine learning and related methods. NPS will perform periodic checks of the contractor’s preliminary results to confirm proper execution of the task, and the contractor will provide NPS with the necessary preliminary results to enable these checks.

3.1.7. Provide online access for NPS personnel to existing and forthcoming ACAF data sets, and analysis and forecasting tools, including data sets and Python code in Jupyter notebook format for simulating the analyses and forecasting that can be performed in ACAF. Provide training and sample code to NPS personnel to assist them in the use of the online access system. NPS will perform periodic checks of the contractor’s preliminary results to confirm proper execution of the task, and the contractor will provide NPS with the necessary preliminary results to enable these checks.

OPTIONAL TASKS TO BE COMPLETED VIA TWO CONTRACT OPTIONS

Phase 2 / Option One PoP: 01 January 2020 through 30 June 2020

3.2.1. Compute a global EDC dataset based on ERA5 data and integrate into ACAF. NPS will provide MATLAB codes to perform the calculations (including NAVSLaM V1.2 or V2.0), a description of the methodology to be used, and guidance to the contractor. NPS will perform periodic checks to ensure proper execution of the task by the contractor at various stages of completion, and the contractor will provide NPS with the necessary preliminary data files to enable these checks. The contractor will translate the MATLAB codes provided by NPS into Python or another language as necessary, and use the translated codes and the methods developed by NPS to compute the global ERA5 EDC dataset. The contractor will integrate the EDC dataset into ACAF with capabilities similar to those included now for the regional EDC datasets, and those capabilities being implemented as part of this contract (including Task 3.1.2). The contractor will provide the computed data files to NPS in netCDF format and on an external hard drive readable by a PC with a Windows operating system. The contractor will also provide the translated Python (or other language) codes to NPS if requested.

3.2.2. Compute a global near-surface optical turbulence (Cn2) climatology dataset based on ERA5 data and integrate into ACAF. NPS will provide MATLAB codes to perform the calculations (including NAVSLaM V2.0), a description of the methodology to be used, and guidance to the contractor. NPS will perform periodic checks to ensure proper execution of the task by the contractor at various stages of completion, and the contractor will provide NPS with the necessary preliminary data files to enable these checks. The contractor will translate the MATLAB codes provided by NPS into Python or another language as necessary, and use the translated codes and the methods developed by NPS to compute the global ERA5 near-surface optical turbulence (Cn2) climatology dataset. The contractor will integrate the near-surface optical turbulence (Cn2) climatology dataset into ACAF with capabilities similar to those included now for the regional EDC datasets, and in ways that support related tasks (including Task 3.3.1). The contractor will provide the computed data files to NPS in netCDF format and on an external hard drive readable by a PC with a Windows operating system. The contractor will also provide the translated Python (or other language) codes to NPS.

3.2.3. Conduct research in coordination with NPS to extend the automation of the processes used to develop, test, and operate the NPS tropical cyclone (TC) long range forecasting system. This includes automation of the processes for: (a) statistical model development, testing, and validation, including obtaining data sets for model development and assessing and selecting model predictors (i.e., large scale environmental factors (LSEFs)); (b) obtaining and applying dynamical model forecasts of LSEFs; (c) generating and distributing system forecasts; and (d) verification of system forecasts. The main objectives for this task are to: (1) reduce the need for manual inputs to the processes; and (2) prepare the system for transitioning to operational use. NPS will perform periodic checks of the contractor’s preliminary results to confirm proper execution of the task, and the contractor will provide NPS with the necessary preliminary results to enable these checks.

3.2.4. Extend research in coordination with NPS to develop, test, and implement methods for improving the efficiency, accuracy, and scope of the NPS tropical cyclone (TC) long range forecasting system via use of improved: (a) data sets; (b) statistical modeling; (c) dynamical model inputs; (d) validation methods; (e) bias correction methods; (f) ensembling methods; (g) verification methods; and (h) other approaches to the development, testing, and application of the system. This includes improved applications of the system to the forecasting of TC formations, tracks, and intensities for the major TC basins. This task also includes research on the use of dynamical model forecasts of LSEFs from multiple dynamical modeling systems. NPS will perform periodic checks of the contractor’s preliminary results to confirm proper execution of the task, and the contractor will provide NPS with the necessary preliminary results to enable these checks.

3.2.5. Extend research in coordination with NPS to apply and test ACAF capabilities and potential capabilities by applying these capabilities to analyze and forecast climate variations and climate change, and to meet operational needs. The analyses will focus on identifying characteristic patterns and processes associated with climate variations and change, in particular: (a) climate anomalies related to subseasonal to interannual variations; and (b) decadal and longer changes related to both natural and human-induced climate change. Research may include the application of machine learning and related methods. NPS will perform periodic checks of the contractor’s preliminary results to confirm proper execution of the task, and the contractor will provide NPS with the necessary preliminary results to enable these checks.

3.2.6. Continue online access for NPS personnel to existing and forthcoming ACAF data sets, and analysis and forecasting tools, including data sets and Python code in Jupyter notebook format for simulating the analyses and forecasting that can be performed in ACAF. NPS will perform periodic checks of the contractor’s preliminary results to confirm proper execution of the task, and the contractor will provide NPS with the necessary preliminary results to enable these checks.

Phase 3 / Option Two PoP: 01 July 2020 through 31 December 2020

3.3.1. Enable ACAF to provide users with environmental input files that contain climatological near-surface optical turbulence (Cn2) profiles from the near-surface optical turbulence (Cn2) climatology datasets produced in Task 3.2.2. The files will be formatted for use by, and input to, EO imaging and HEL laser performance prediction tools and systems, including TrueView, HELTDA, ANCHOR, HELCOMES, LEEDR, and others. The files will provide the following main types of information: (a) long term mean (LTM) climate information, including medians and percentiles of Cn2; and (b) user-defined composite means and percentiles (for example, conditional composites based on El Niño-La Niña or other climate variations, or on other user defined conditions). The ACAF user must be able to specify the month, hour, grid point, wavelength and specific parameter to be included in the environmental input files. NPS will provide the contractor with NAVSLaM v2.0 and additional Fortran or MATLAB codes as needed, and will assist with and verify the translation to Python and the proper implementation of these codes and overall methodology in ACAF. The contractor will convert the NAVSLaM v2.0 and additional codes into Python and incorporate into ACAF the resulting code and the method for producing Builder input files. The contractor will provide the translated codes to NPS. NPS will perform periodic checks of the contractor’s preliminary results to confirm proper execution of the task, and the contractor will provide NPS with the necessary preliminary results to enable these checks.

3.3.2. Conduct research in coordination with NPS to extend the automation of the processes used to develop, test, and operate the NPS tropical cyclone (TC) long range forecasting system. This includes automation of the processes for: (a) statistical model development, testing, and validation, including obtaining data sets for model development and assessing and selecting model predictors (i.e., large scale environmental factors (LSEFs)); (b) obtaining and applying dynamical model forecasts of LSEFs; (c) generating and distributing system forecasts; and (d) verification of system forecasts. The main objectives for this task are to: (1) reduce the need for manual inputs to the processes; and (2) prepare the system for transitioning to operational use. NPS will perform periodic checks of the contractor’s preliminary results to confirm proper execution of the task, and the contractor will provide NPS with the necessary preliminary results to enable these checks.

3.3.3. Extend research in coordination with NPS to develop, test, and implement methods for improving the efficiency, accuracy, and scope of the NPS tropical cyclone (TC) long range forecasting system via use of improved: (a) data sets; (b) statistical modeling; (c) dynamical model inputs; (d) validation methods; (e) bias correction methods; (f) ensembling methods; (g) verification methods; and (h) other approaches to the development, testing, and application of the system. This includes improved applications of the system to the forecasting of TC formations, tracks, and intensities for the major TC basins. This task also includes research on the use of dynamical model forecasts of LSEFs from multiple dynamical modeling systems. NPS will perform periodic checks of the contractor’s preliminary results to confirm proper execution of the task, and the contractor will provide NPS with the necessary preliminary results to enable these checks.

3.3.4. Extend research in coordination with NPS to apply and test ACAF capabilities and potential capabilities by applying these capabilities to analyze and forecast climate variations and climate change, and to meet operational needs. The analyses will focus on identifying characteristic patterns and processes associated with climate variations and change, in particular: (a) climate anomalies related to subseasonal to interannual variations; and (b) decadal and longer changes related to both natural and human-induced climate change. Research may include the application of machine learning and related methods. NPS will perform periodic checks of the contractor’s preliminary results to confirm proper execution of the task, and the contractor will provide NPS with the necessary preliminary results to enable these checks.

3.3.5. Continue online access for NPS personnel to existing and forthcoming ACAF data sets, and analysis and forecasting tools, including data sets and Python code in Jupyter notebook format for simulating the analyses and forecasting that can be performed in ACAF. Provide training and sample code to NPS personnel to assist them in the use of the online access system. NPS will perform periodic checks of the contractor’s preliminary results to confirm proper execution of the task, and the contractor will provide NPS with the necessary preliminary results to enable these checks.

4.0 Deliverables:

The contractor shall be responsible for providing the following deliverables:

Phase 1 / Base PoP: Date of award through 31 December 2019

Phase 2 / Option One PoP: 01 January 2020 through 30 June 2020

Phase 3 / Option Two PoP: 01 July 2020 through 31 December 2020

Performance Measurement - Quality Assurance Surveillance Plan

3.1.1

3.1.2

3.1.3

3.1.4

3.1.5

3.1.6

3.1.7

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:

5.1 Master’s of science degree or higher degree in climate science, meteorology, and/or physical oceanography.

5.2 Minimum of ten years of experience in successfully developing code to process, analyze, visualize, and archive four dimensional, multi-decadal global and regional scale environmental data sets, including code to develop dynamical and statistical climate analyses and/or forecasts based on these data sets.

5.3 Minimum of five years of experience in successfully developing ACAF code, including code to:

5.3.1 access and process ACAF data sets

5.3.2 implement dynamical, statistical, and visualization capabilities within ACAF

5.3.3 implement ACAF graphical user interfaces (GUIs)

5.3.4 implement capabilities for user downloading of ACAF visualizations and data

5.3.5 maintaining and troubleshooting ACAF

6.0 Period of Performance:

Phase 1 / Base PoP: Date of award through 31 December 2019 Phase 2 / Option One PoP: 01 January 2020 through 30 June 2020 Phase 3 / Option Two PoP: 01 July 2020 through 31 December 2020

7.0 Place of Performance:

Contractor’s place of business.

8.0 Government Furnished Property:

The required data sets and existing ACAF code will be provided.

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.

Government holidays include the following and any other day determined to be a holiday by the President of the United States:

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 is required.

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:

This requirement is unclassified. Contractor Key Personnel must be U.S. Citizens. 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, DOD Directive 5205.02E 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.

Office of Contracting and Logistics Management Revised 04 Aug 17