RFQ_N6227119Q5049_FINAL.pdf

N622719Q5049 08/27/2019

REQUEST FOR QUOTE N6227119Q5049

This Request for Quote (RFQ), N6227119Q5049, for the Naval Postgraduate School (NPS) is prepared in accordance with the format in FAR 13 and supplemented with additional information included in this notice. This RFQ intends to result in a Firm Fixed Price (FFP) Purchase Order.

The Naval Postgraduate School has a Sole Source requirement, to be provided by Edatatech Inc., for system maintenance and support of the existing RRBUD and NPS IRB 2.0 Web Application Systems. The NAICS associated with this purchase is 541519, and the requirement has been set aside for small business. Payment to be via WAWF unless otherwise requested. The Naval Postgraduate School intends to negotiate on a Sole Source basis with Edatatech Inc., for deliverables found in the below Schedule of Supplies.

Quote will be evaluated on a Lowest-Price-Technically-Acceptable (LPTA) basis.

Sole Source Requirement: The proposed contract action is for commercial supplies or services for which the Government intends to solicit and negotiate with only one source under FAR Part 6.303-5. Interested persons may identify their interest and capability to respond to the requirement or submit proposals. This notice of intent is not a request for competitive proposals. However, all bids, proposals, or quotations received by the closing response date will be considered by the Government. A determination by the Government not to compete with this proposed contract based upon responses to this notice is solely within the discretion of the Government. Information received will normally be considered solely for the purpose of determining whether to conduct a competitive procurement.

Schedule of Supplies

CLIN Description QTY Unit of Measure

Unit Price

Total Price

Period of Performance – 09/17/2019 through 09/16/2020

0001 Maintenance Support for RSPO Management Systems and Reports

In accordance with the Statement of Work

Firm Fixed Price for an estimated 51 hours per month

12 Months

Total Price

System for Award Management (SAM). Vendors must be registered in the SAM database to be considered for award. Registration is free and can be completed on-line at http://www.sam.gov/.

INSTRUCTIONS FOR SUBMISSION OF QUOTATION:

Contractor’s proposal shall be valid for thirty (30) days and include Volume 1, and 2. Each document should contain the following language on every page: SOURCE SELECTION SENSITIVE - SEE FAR PART 2.101 AND 3.104.

Note: A complete quote in response to this RFQ shall include the following:

a. A detailed narrative description of the proposed solution for the objective set forth in the Performance Based Statement of Work.

b. Proposed labor classifications and number of labor hours in correlation to the above Estimated Firm Fixed Price Schedule of Services.

c. No relocation or commuting travel expenses will be provided to the contractor. A breakdown of the proposed price shall be provided showing how the firm fixed price costs were calculated.

http://www.sam.gov/

d. The total firm fixed price proposed for the purchase order, consisting of the elements proposed under items b. and c. All pricing information shall be provided in spreadsheet format so that calculations can be easily understood and checked.

e. A statement indicating whether you are proposing performance by one or more individuals who have previously worked for the federal government either as civilians or active duty military members, and if so, a second statement that to the best of your knowledge the individuals are eligible to perform the duties in this task order.

4. In addition to price/cost, the following factors will be used in evaluation of the quote/proposal to determine the quote/proposal that is in the best interest of the Government:

VOLUME I: TECHNICAL

The Technical Quote shall consist of the sections as detailed below. The contractor must use the same numbering scheme for the sections as the ones used below. The technical quote shall be divided into the sections for each of the below factors.

Factor 1 – Technical Approach

Factor 2 – Management Approach

Factor 3 – Quality of Personnel as referenced in Section 5.0 of the Performance Based SOW (Knowledge, Skills, and Abilities)/Experience. Contractor must submit a signed letter of commitment for each candidate.

Contractor Candidate Personnel must submit a signed statement of compliance and certification of the below statement:

I certify that I had no hand in the creation or refinement of this course development and delivery requirement and that I was not privy to any non-public information about the requirement before or after the point of solicitation. I further certify that I used no government resources in pursuit of my relationship with this proposing company for this or other government contracts. I also certify that I am eligible to perform the instructor duties in this requirement; no post-government-employment restrictions or other restrictions would prevent my performance. Additionally, I certify that should this proposing company be awarded this contract, I will renounce any status I may have as an NPS volunteer and relinquish any NPS office-space and other resources given to me on account of my volunteer status. Finally, I certify that no government resources (other than those provided pursuant to this contract) will be used in the performance of this requirement.

Contractor Management and Bid Preparation personnel must submit a signed statement of compliance and certification of the below statement

I certify that I had no hand in the creation or refinement of this requirement and that I was not privy to any non-public information about the requirement before or after the point of solicitation. I further certify that I used no government resources in pursuit of this requirement.

Factor 4 – Past Performance

VOLUME II: PRICE

The Government intends to make award based on initial quotes. Purchase order award will be made to the contractor submitting the quote determined to best meet the needs of the Government after consideration of all the evaluation factors, including price. The evaluation criteria will be Lowest Price Technically Acceptable.

a. Vendor shall provide a proposed schedule of services indicating the associated category, Hourly rates (fully burdened) and proposed hours.

b. Submitted in MS Word and / or Excel format; PDF is not acceptable. No page limitation.

c. Each page labeled with Contractor’s name and pages numbered in the following format: page ___ of ___.

***All questions regarding this requirement must be submitted via e-mail by 09/06/2019 to the below referenced point of contact.

Quotes shall be submitted via email no later than 5:00 PM PST on 09/13/2019 to the below point of contact:

Contract Specialist: Julie Rips Phone: (831) 656-3580 E-mail: jrrips@nps.edu

This request for quote does not constitute a notice to proceed, nor shall it be considered as a commitment on the part of the government. Any costs incurred prior to award of the purchase order and any proposal preparation costs are not reimbursable.

Quote Submission: Shall include all Terms and Conditions proposed to the government.

Contractors are encouraged to include any Federal and/or Educational discounts

PAPERLESS CONTRACTING:

All contractual documents (i.e. contracts, purchase orders, task orders, delivery orders and modifications) related to the instant procurement are considered to be "issued" by the government when copies are either deposited in the mail, transmitted by facsimile, or sent by other electronic commerce methods, such as email. The government's acceptance of the contractor's proposal constitutes bilateral agreement to "issue" contractual documents as detailed herein.

CLAUSES INCORPORATED BY REFERENCE

The following FAR / DFAR clauses are incorporated by reference:

52.204-99 System for Award Management Registration AUG 2012 52.209-6 Protecting the Government’s Interest When Subcontracting with Contractors

Debarred, Suspended, or Proposed for Debarment

AUG 2013

52.212-1 Instructions to Offerors - Commercial Items OCT 2018 52.212-2 Evaluation – Commercial Items OCT 2014 52.212-3 Offeror Representations and Certifications – Commercial Items OCT 2018 52.232-1 Payments APR 1984 52.213-2 Invoices APR 1984 52.213-3 Notice to Supplier APR 1984 52.222-19 Child Labor--Cooperation with Authorities and Remedies MAR 2012 52.222-21 Prohibition of Segregated Facilities FEB 1999 52.222-26 Equal Opportunity MAR 2007 52.222-36 Affirmative Action for Workers w/ Disabilities OCT 2010 52.222-50 Combating Trafficking in Persons FEB 2009 52.225-13 Restrictions on Certain Foreign Purchases JUN 2008 52.223-18 Encouraging Contractor Policies to Ban Text Messaging while Driving AUG 2011 52.227-14 Rights in Data – General MAY 2014 52.227-17 Rights in Data – Special Works DEC 2007 52.227-18 Rights in Data – Existing Works DEC 2007 52.232-1 Payments APR 1984 52.232-39 Unenforceability of Unauthorized Obligations JUN 2013 52.233-3 Protest After Award AUG 1996 52.233-4 Applicable Law For Breach Of Contract Claim OCT 2004 52.243-1 Changes—Fixed Price AUG 1987

52.249-1 Termination For Convenience Of The Government (Fixed Price) (Short Form) APR 1984

52.252-3 Alterations in Solicitation APR 1984 252.203-7000 Requirements Relating to Compensation of Former DOD Officials SEP 2011 525.203-7002 Requirement to Inform Employees of Whistleblower Rights SEP 2013 252.203-7005 Representation Relating to Compensation of Former DoD Officials NOV 2011 252.204-7003 Control of Government Personnel Work Product APR 1992 mailto:jrrips@nps.edu

252.204-7004 System for Award Management MAY 2013 252.204-7012 Safeguarding of Unclassified Controlled Technical Information NOV 2013 252.204-7015 Disclosure of Information to Litigation Support Contractors FEB 2014 252.215-7007 Notice of Intent to Resolicit JUN 2012 252.215-7008 Only One Offer JUN 2012 252.223-7001 Hazardous Warning Labels DEC 1991 252.223-7008 Prohibition of Hexavalent Chromium JUN 2013 252.225-7000 Buy American Act – Balance of Payments Program Certificate JUN 2012 252.225-7001 Buy American Act and Balance of Payments Program DEC 2012 252.225-7002 Qualifying Country Sources as Subcontractors DEC 2012 252.225-7048 Export – Controlled Items JUN 2013 252.227-7015 Technical Data - Commercial items FEB 2014 252.232-7003 Electronic Submission Of Payment Requests And Receiving Reports JUN 2012 252.232-7006 Wide Area Workflow Payment Instructions JUN 2012 252.232-7010 Levies on Contract Payments DEC 2006 252.244-7000 Subcontracts for Commercial Items JUN 2013 252.247-7023 Transportation of Supplies by Sea MAY 2002

All clauses shall be incorporated by reference in the order. Additional contract terms and conditions applicable to this procurement are:

52.252-2 CLAUSES INCORPORATED BY REFERENCE (FEB 1998)

This contract incorporates one or more clauses by reference, with the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available. Also, the full text of a clause may be accessed electronically at this/these address(es):

FAR Clauses: http://acquisition.gov/comp/far/ DFARS Clauses: http://www.acq.osd.mil/dpap/dars/dfars/

(End of clause) http://acquisition.gov/comp/far/ http://www.acq.osd.mil/dpap/dars/dfars/

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) administers research and sponsored programs and related supporting processes for NPS. RSPO has developed two management information systems to support internal processes. These systems are:

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

• NPS IRB 2.0: 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, and maintain the existing RRBUD and NPS IRB 2.0 Web Application. The objectives of this contract are two-fold:

Maintenance of existing systems (RRBUD and NPS IRB 2.0) 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 2.0) as required by technology advancement and business process, compliance and business rules changes.

3.0 Tasks:

The contractor shall perform the following task(s):

3.1 Establishment of FY20 RRBUD database structure.

3.2 Transference of data (parameters to be provided) from FY19 RRBUD database to FY20 RRBUD database.

3.3 Continue maintenance and bug fixes of RRBUD (no application modifications will be made for FY20, unless critical to the operation of the application).

3.4 Continue maintenance and bug fixes for the NPS IRB 2.0 application.

3.5 Minor systems modifications or enhancements to existing system functionality (NPS IRB 2.0) 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. List of tasks are included below. Details for each task are outlined in the IRB 2 Improvement Requirements document.

3.5.1 Add record locks when another user has the record open

3.5.2 Addition of fields to search results

3.5.3 Addition of fields to Case records for data collection

3.5.4 Add ability to search Protocol Reviews and Determinations

3.5.5 Dashboard Update

3.5.6 Email recipient update

3.5.7 Removal of unneeded reports from the user interface

3.5.8 Report results and filter update

3.5.9 Addition of new reports

3.6 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.

3.7 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 FY20 RRBUD Database populated with FY19 RRBUD data as described in tasks 3.1 and 3.2

4.2 Changes to NPS IRB 2.0 application in task 3.4-3.5

4.3 System documentation upon request as described in task 3.6

4.4 Monthly status reports

Performance Measurement - Quality Assurance Plan

Task Deliverable that will be inspected

Acceptable Quality Level (AQL)

Method Frequency

3.1-3.2 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

3.4-3.5 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

3.6 Documentation delivered Provide updated

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

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 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 platform 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 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 2019 to 31 August 2020

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.

In cases where teleworking is allowable, the contractor may work remotely in accordance with FAR 7.108.

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.

18.0 Points of Contact:

NPS Contracting Officer Representative (COR):

Kamil Marcinka IT Specialist

ITACS

1 University Way Monterey, CA 93943 Phone: 831-656-3880 E-mail: kmarcink@nps.edu

NPS Technical POC:

Kamil Marcinka IT Specialist

ITACS

1 University Way Monterey, CA 93943 Phone: 831-656-3880 E-mail: kmarcink@nps.edu

IRB 2.0 Management System Application Changes

List of Improvements

1. Record Locking

2. Additional Fields

a. Protocol Search additions

b. Grants/Contracts review field

c. SharePoint or archive URL link field

d. Review Status field

3. Additional Search Functionality

a. Protocol Reviews

b. Determinations

c. Grid Columns to customize search results display

4. Dashboard Update

5. Email Recipient Update

6. Reports to be Removed

7. Report Update

a. IRB Report – All (New)

8. Report Additions

a. IRB Report – Approved (Condensed)

b. IRB Report – Open Expired Protocols

c. IRB Report – Protocol PI and Participant Roster

d. IRB Report – Protocols by Reviewer

e. IRB Report – CITI Training Report

f. IRB Report – Determinations Report

g. Quick Stats Report

Improvements Description:

1. Record Locking Users would like some sort of notification if another user is modifying a record by either on screen notification (banner) stating that another user is currently viewing/editing the record, or by displaying the record in read-only format, or both.

2. Additional Fields

a. Protocol Search additions

i. Add filters for:

1. Expiration/Closing Date range

2. Participant Names (displays all protocols where person is PI, Co-I or Other Researcher associated with the Case).

3. Application Status (allow multiple selections, or display completed or not equal to completed)

ii. Display in search results: Application Status

b. Grants/Contracts review field

i. On the determination record, we need to add a series of checkboxes:

1. IIA (Individual Investigator Agreement)

2. IAIR (Institutional Agreement for Institutional Review Board

Review)

3. HRPO Review (Human Research Protections Official Review)

c. SharePoint or archive URL link field

i. Add new tab called “Links”

ii. On that tab include a field that will collect a URL to local SharePoint or another archive location and a description field. Once the item is added, display the description field will show as a hyperlink that will open in a new window.

iii. This tab should be available at the beginning of the case creation like the Determinations, Waivers, Abstract/Notes and Activity Log tabs.

d. Review Status field

i. Add new drop-down menu to the Protocol Reviews tab for each review

ii. Values:

1. Documentation Requested

2. Awaiting Investigator Action

3. Returned for Investigator Action

4. With IRB Reviewer

5. Routed to IO

6. Sent to DON HRPP

7. Complete

3. Additional Search Functionality Users have requested two new searches in the application. One thought is to change the Find IRB Records button at the top to a menu which would allow the user to select which of the three searches s/he wishes to enter. If this is done, the current search can be renamed Protocol Search.

a. Protocol Reviews Search

Duplicate the current Protocol search, but the search results will display all Protocol Review records in the application. Protocol/Tracking Numbers and Titles will be repeated in this search, so the main identifier will be the Protocol Reviews -> Protocol field.

New fields to add to display:

i. Protocol Review (identifying field on Protocol Reviews tab in the case)

ii. Reviewer

iii. Review Status

Note: Exporting to Excel could replace the need for Protocol by Reviewer report to be made separately.

b. Determinations Search

Duplicate the current Protocol search, but the search results will display all Determination records in the application. The main identifier will be the Determinations -> Determination Num since a Protocol/Tracking Number may not be present for many cases.

New fields to add to display:

i. Determination Num

ii. Determination Date

iii. System Generated (True when Comments field = HSR Determination Added via Case Editor, False when determination is manually added)

Note: Exporting to Excel could replace the need for Determinations report to be made separately.

c. Grid Columns to customize search results display

Users would like to add “Grid Columns” functionality to add/remove items from the search results display. As more fields are being added to the display, the results may become cluttered. This functionality will allow users to customize the display to those fields s/he is interested in yet maintain the ability to add the information in later.

4. Dashboard Update Add Determination/Protocol (Tracking) number to all lists on the dashboard.

5. Email Recipient Update Change email notification recipient address to IRB Exp Notice@nps.edu vice emailing individual users. This will allow office personnel to manage the recipients without needing a programmatic change in the future.

6. Reports to be Removed – Remove the following reports from the user interface. They are no longer needed.

a. IRB Report - Select by Approval Date - with coPI

b. IRB Report - Approved and Expired to Date

c. IRB Report - Select by Expiration Date

d. IRB Report - Select by Expiration Date - with coPI

e. IRB Report - Missing Required Data

f. IRB Report - Delinquent Protocols

g. IRB Report - Outstanding and Open Protocols

h. IRB Report - Onboard NPS Personnel

i. IRB Report - Student coPIs

7. Report Update – The following report needs additional fields and filters added (changes are highlighted in yellow, all fields displayed to represent order). It should also be renamed.

a. IRB Report – All (New) (Rename report to IRB Report – Approved (Extensive))

i. Fields to include

1. Fiscal Year

2. Protocol #

3. Protocol Ext

4. PI

5. Dept

6. Other Researchers (with Researcher Type next to name)

7. Title

8. Abstract

9. Risk Level

10. Local Command

11. Location of Work

12. JON

13. Application Status

14. Review Status

15. Expiration Date

16. Approval Date

17. Reviewer

ii. Data and Parameters

1. Returns a list of all protocols where data appears in either the case, or the latest Protocol Review record, filtered by any criteria described below.

iii. Filters

1. Search by date ranges (Expiration, Approval)

2. Search by Fiscal Year

3. Search by PI

4. Search by Department

5. Search by Local Command or Location of Work

6. Search by Reviewer

8. Report Additions – The following reports need to be added to the user interface on the Reports screen.

a. IRB Report – Approved (Condensed)

i. Fields to include

1. Fiscal Year

2. Protocol #

3. Protocol Ext

4. PI

5. Dept

6. Co-PI

7. Student

8. Title

9. Application Status

10. Review Status

11. Expiration Date

12. Approval Date

ii. Data and Parameters

1. Returns a list of all protocols where data appears in either the case, or the latest Protocol Review record, filtered by any criteria described below.

iii. Filters

1. Search by date ranges (Expiration, Approval)

2. Search by Fiscal Year

3. Search by PI

4. Search by Department

b. IRB Report – Open Expired Protocols (note, this report could be replaced by adding an expiration date (closing date) range and application status filters on the Find IRB Records screen and allowing Excel export)

i. Fields to include

1. Fiscal Year

2. Protocol #

3. Protocol Ext

4. Title

5. PI

6. Approval Date

7. Expiration Date

ii. Data and Parameters

1. Returns a list of all protocols where Expiration Date is less than or equal to “Today’s Date” and Status is not equal to “Closed” and filtered by any criteria described below.

iii. Filters

1. Search by date ranges (Expiration, Approval)

2. Search by Fiscal Year

c. IRB Report – Protocol PI and Participant Roster

i. Fields to include

1. Fiscal Year

2. Protocol #

3. Protocol Ext

4. Title

5. PI

6. Participants (list of all personnel from the Other Researchers tab for each Protocol)

ii. Data and Parameters

1. Returns a list of all protocols, filtered by any criteria described below.

iii. Filters

1. Search by FY

2. Search by Protocol #

4. Search by Participant Name

d. IRB Report – Protocols by Reviewer (note, this report could be replaced by adding the Protocol Reviews Search screen and allowing Excel export)

1. Fiscal Yr

2. Protocol #

3. Protocol Ext

4. Reviewer Name

ii. Data and Parameters

1. Returns a list of all protocols grouped by Reviewer Name in ascending order, filtered by any criteria described below.

iii. Filters

1. Search by FY

2. Search by Reviewer Name

e. IRB Report – CITI Training Report

1. Participant Name

2. Training Completed

3. Training Expiration (calculated value)

ii. Data and Parameters

1. Returns a list of all participants (PI, Co-I, other researchers) on cases, filtered by any criteria described below. Note trainings are good for 3 years after the completion date. Training expiration will be a calculated date.

iii. Filters

1. Search by date range (Expiration)

2. Search by Participant name

f. IRB Report – Determinations Report (note, this report could be replaced by adding the Determinations Search screen and allowing Excel export)

i. Fields to include

1. Fiscal Yr

2. Determination #

3. PI

4. Dept

5. Title

6. Determination Date

7. IIA

8. IAIR

9. HRPO Office

ii. Data and Parameters

1. Returns a list of all determinations where comments do not equal

“HSR Determination Added via Case Editor,” and filtered by any criteria described below.

iii. Filters

1. Search by date ranges (Determination)

2. Search by FY

3. Search by PI

4. Search by Department

5. Search by IIA, IAIR, and/or HRPO Office equal True

g. Quick Stats Report (note, this report could be replaced by a stand-alone screen that displays stats over a specified time period rather than running through Crystal Reports if that is easier.)

i. Fields to include

1. Total number of Determinations

2. Total number of Initial Reviews

3. Total number of Amendment Reviews

4. Total number of Continuing Reviews

5. Total number of Final Reports

6. Total number of Active Protocols

ii. Data and Parameters

1. Determinations

a. Returns a count of all determinations where comments do not equal “HSR Determination Added via Case Editor,” filtered by date range described below.

2. Initial Reviews

a. Returns a count of all Protocol Reviews where the Protocol

Number contains “IR,” filtered by date range described below.

3. Amendment Reviews

a. Returns a count of all Protocol Reviews where the Protocol

Number contains “AM,” filtered by date range described below.

4. Continuing Reviews

a. Returns a count of all Protocol Reviews where the Protocol

Number contains “CR,” filtered by date range described below.

5. Final Reports

a. Returns a count of all Protocol Reviews where the Protocol

Number contains “FR,” filtered by date range described below.

6. Active Protocols

a. Returns a count of all Protocols with Approved status that have not expired, filtered by date range described below.

iii. Filters

1. Search by date range (search will need to look at the following date fields to generate totals: Determination date, Application date, Expiration date)