PWS.docx

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R499--ENTERPRISE RISK MANAGEMENT
Solicitation number
36C10D24Q0133
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This document is a Performance Work Statement (PWS) for a federal contract opportunity to provide Enterprise Risk Management (ERM) maturation services to the Department of Veterans Affairs (VA) Veterans Benefits Administration (VBA).

The PWS outlines the scope of work to develop and deliver ERM training to VBA senior analysts and executives, including creating course materials, providing ERM process support, and developing analytical tools and risk assessment capabilities. The contractor must also provide program management support, including a kickoff meeting, weekly status updates, monthly reports, and a quality control plan. The contract is a one-year base period with four one-year option periods. Pricing is on a firm-fixed-price basis. Key personnel requirements include a project manager with ERM experience and qualified training instructors. The government will provide access to VBA facilities and policies, but the contractor must furnish all other facilities, equipment, and supplies. Contractor personnel require a background investigation and security clearance. The PWS is attached to a pre-solicitation notice for this upcoming contract opportunity.

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B.2 PERFORMANCE WORK STATEMENT (PWS)

A. GENERAL INFORMATION

1. Contract Title: Continuation of Enterprise Risk Management Maturation

2. Background: The Office of Management and Budget (OMB) Circular No. A-123, Management’s Responsibility for Enterprise Risk Management (ERM) and Internal Control, requires agencies to integrate risk management and internal control functions. This Circular defines management’s responsibilities for ERM and internal control. The Circular provides updated implementation guidance to Federal managers to improve accountability and effectiveness of Federal programs as well as mission-support operations through implementation of ERM practices. The Circular emphasizes the need to integrate and coordinate risk management in existing business activities and as an integral part of managing an Agency. This Circular is issued under the authority of the Federal Managers' Financial Integrity Act (FMFIA) of 1982 as codified in 31 U.S.C. 3512, and the Government Performance Results Act (GPRA) Modernization Act, Public Law 111-352.

Veterans Benefits Administration (VBA) has an approved charter for its risk governance structure and is seeking to further develop and implement a robust, integrated risk management program that will inform decision making and resource allocation. In support of this goal, the Contractor shall develop and provide products and services designed to meet the risk management goals of VBA’s Senior Analysts and Executives under the direction of VBA’s (CRO) or their designee. Such support shall require a contract team with adaptable and significant expertise in ERM.

3. Scope of Work: Under this contract, the Contractor ERM Subject Matter Expert shall create, deliver, and facilitate training to VBA Senior Analysts and Executives for the implementation of industry best practices associated with establishing an ERM program. Training shall be conducted in a classroom setting, small groups or individually as appropriate for each learning objective. In-person training is most preferred, but contractor shall deliver virtual training if VBA determines it is impractical to deliver in person training to employees located outside the Washington, D.C. metropolitan area. Contractor shall provide classroom facilities for up to 70 people in coordination with the VBA Chief Risk Officer (CRO) or his designee.

Instruction shall be phased to support VBA leadership and employees in assessing VBA’s current risk culture, designing and facilitating risk assessment workshops, developing risk appetite statements, analyzing risks, identifying risk metrics, risk reporting, communications and culture change, and integrating the principles of risk management to support decision making and resource allocation. Instruction shall emphasize practical application of theory, tools and techniques using real-world risks facing VBA and build upon the work done in VBA to date. Instruction will consist of three major areas:

· Encouraging Culture Change to Improve ERM Effectiveness

· Maturing the ERM Process

· Developing the Required Analytical Tools and Risk Assessment Capabilities

4. Performance Period: The period of performance (POP) for this contract is (1) one-year period plus (4) option years, from date of award.

5. Recognized Holidays:

The Contractor is not required to perform services on Federal holidays. Any work to be performed at the Government site shall not take place on Federal holidays or weekends unless directed by the Contracting Officer (CO) or in support of National Guard and Reserve. There are eleven (11) Federal holidays set by law (United States Code (USC) Title 5 Section 6103) that VA follows:

Under current definitions, five are set by date:

New Year's Day January 1 Juneteenth Day June 19 Independence Day July 4 Veterans Day November 11 Christmas Day December 25 If any of the above falls on a Saturday, then Friday shall be observed as a holiday. Similarly, if one falls on a Sunday, then Monday shall be observed as a holiday.

The other six are set by a day of the week and month:

Martin Luther King's Birthday Third Monday in January Presidents’ Day Third Monday in February Memorial Day Last Monday in May Labor Day First Monday in September Columbus Day Second Monday in October Thanksgiving Fourth Thursday in November

6. Hours of Operation: The Contractor is responsible for conducting business that meets the needs of VBA. The Contractor shall be available 7:30 a.m.to 4:30 pm EST.

7. Type of Contract: Firm Fixed-Price (FFP)

8. Place of Performance: Tasks associated with this contract shall be performed at VBA, 1800 G St, NW, Washington. There could be occasional travel, up to two (2) times each location during the POP, to VBA Districts located in St. Louis, MO, Nashville, TN, Lakewood, CO and Phoenix, AZ and one (1) VBA Executive Leadership Symposium at a location to be determined.

B. POST AWARD/KICKOFF CONFERENCE

The Contractor shall attend any post award/kickoff conference convened by the contracting activity or contract administration office in accordance with FAR Subpart 42.5. The Government intends to convene a Post Award/Kickoff Conference with the Contractor within five business days after contract award. The Contracting Officer Representative (COR) will notify the Contractor of the specific date, location and agenda.

C. GENERAL REQUIREMENTS

1. Non-Personal Services: The Government will neither supervise Contractor employees nor control the method by which the Contractor performs the required tasks. Under no circumstances shall the Government assign tasks to, or prepare work schedules for, individual Contractor employees. It shall be the responsibility of the Contractor to manage its employees and to guard against any actions that are of the nature of personal services or give the perception of personal services. If the Contractor feels any action constitutes, or is perceived to constitute personal services, it shall be the Contractor’s responsibility to notify the Contracting Officer immediately. These services shall not be used to perform work of a policy, decision making or management nature, i.e. inherently Government functions. All decisions relative to programs supported by the Contactor shall be the sole responsibility of the Government.

2. Contractor Travel: Prior to travel, the Contractor shall coordinate with and receive Government authorization from the COR for all travel. Reimbursement of travel costs will be in accordance with the Federal Travel Regulation and Federal Acquisition Regulation 31.205-46. The Contractor shall travel using the lower cost mode transportation commensurate with the mission requirements. When necessary to use air travel, the Contractor shall use the tourist class, economy class or similar lodging accommodations to the extent they are available and commensurate with the mission requirements. VA will not reimburse Contractor’s local travel. Local travel is defined as travel within fifty (50) miles of Washington, DC. All other travel will be reimbursed on a cost reimbursable basis; no profit or fee will be paid. All receipts will be submitted within 30 days from when travel occurred.

3. Contractor shall not release any pre-decisional or deliberative information generated in the course of the instructional activities

D. Specific Mandatory Tasks and Associated Deliverables:

Contractor shall provide and facilitate VBA staff interactions with Senior Executives throughout the period of performance, to include best industry standards, guidance, recommendations, and support for a mature ERM program. Contractor shall leverage VA’s existing ERM activities to mature and support VBA’s ERM.

Task 1. Course Development

Under this contract, the Contractor shall expand upon existing ERM training. The Contractor shall deliver training and subject matter expertise to VBA Senior Analysts and Executives for the implementation of industry best practices associated with maturing an ERM program. The contractor shall develop course content that include Expanding Organizational Awareness; Strengthening ERM Governance; Integration with Lines of Business/Staff Offices and their Business Processes; Developing ERM policies and processes and Demonstrate the Value of ERM in the category of maturing the ERM Process. Content shall include measurable learning objectives, metrics to assess student learning and provisions to collect student feedback. The curriculum shall be comprehensive and include well established and valid references and learning models as well as learning objectives. The contractor shall incorporate risk into existing functions and specifically integrate risk into budget process and strategic decisions.

The Contractor shall provide access to any associated online learning platforms if applicable. All training locations will be in coordination and with approval of Government PM or COR. Training space must be able to accommodate NTE 70 people.

Deliverables:

1a. Course Materials 1b. Support and mature Risk, Executive Risk Council (ERC), Risk Liaison Meetings, Community of Practice (CoP) Meetings, Risk Management Project Lifecycle Activities, ad hoc Training & Culture Efforts 1c. Communication and Awareness Campaigns to include presentations, magazine/news letters 1d. Integrate with ERM with VBA management processes (Long Range Plan, Strategy Plan, Budget integration, Internal Controls, etc)

Task 2. Training

The Contractor shall develop course content to include Risk Registry and Key Driver Analysis; Management Interviews; Design and Facilitation coaching – Risk Assessment workshop as specified below in the category of Developing the Required Analytical Tools and Risk Assessment Capabilities. Content shall include measurable learning objectives, metrics to assess student learning and provisions to collect student feedback. The curriculum shall be comprehensive and include valid references, learning models, and learning objectives. The Contractor shall provide instructional material and learning activities tailored to reflect the VBA operational environment to include, materials specific to business lines and staff offices. The Contractor shall also provide Change Management Leadership Skills – including change management support, assistance with implementation, and obtaining buy-in/understanding from stakeholders to ensure successful implementation. The contractor shall develop course content for Change Management to include measuring objectives, student materials and mechanism to collect student feedback. The Contractor shall provide technical and methodological support and conduct an environmental survey to determine current risk culture, identify gaps, and provide analysis and recommendations. Contractor shall conduct Executive risk interview support to glean organizational insight to better understand the evolving risk environment, support resource allocation and other leadership decisions. The Contractor shall provide Risk Management Interviews and Interview report. Contractor shall provide a plan to continue to integrate ERM with lines of business/staff offices processes; build on existing risk registry and create related analytical products and support management deliberation on risk prioritization; develop risk reporting processes and identify key risk indicators and key performance indicators ; conduct related testing and validation activities of internal controls and other management functions and provide analysis reports; and support development and deployment of risk prioritization tools and techniques. The contractor shall update the current Governance model, that includes development of integrated departmental risk strategy; Supports development of risk management policy and guidelines; Assesses departmental and project-level ERM program maturity; and Aligns risk appetite to strategic priorities. The contractor will update the VBA ERM Playbooks that includes course content, materials; and Risk Culture analysis report with actionable recommendations.

The contractor shall develop a "Train-the-Trainer" curriculum focused on the ERM program/processes. The scope will include comprehensive training content to cover the entirety of the ERM process, ensuring thorough preparation for trainers in these key areas:

Training will consist of the creation of ERM materials for meetings and briefings, the development of documents, the establishment of a risk registry/profile, VBA annual budget submissions, and all other elements integral to the ERM program.

Deliverables:

2a. Enhance Enterprise Risk Assessment (ERA) Capabilities
2b. Change Management and Leadership Skills

2c. Updated ERM Playbook 2d. Risk Management Process Lifecycle Products (Risk Register, Risk Assessment, Risk Prioritization, Risk Response, Risk Monitoring, Risk Communication) 2e. Create Train-the-Trainer materials for ERM Program

Task 3. Program Management

Status Meetings: The CO, COR and other Government personnel, as appropriate may meet periodically with the Contractor to review Contractor performance, requirement status, etc. At these meetings, the Contracting Officer will apprise the Contractor of how the Government views the Contractor’s performance or progress of the requirement. The Contractor shall apprise the Government of problems, if any, being experienced. Appropriate action shall be taken to resolve outstanding issues. These meetings shall be at no additional cost to the Government. Post award conference and subsequent meetings will be held in person.

The Contractor shall provide an updated detailed Project Management/Implementation Plan (PMP) (original is submitted as part of their quote) and briefing for the project team, within fourteen (14) days after award effective date which presents the Contractor’s plan for completing the contract describing the technical approach, management plan, organizational structure and resources, and management controls that will meet the objectives of this Performance Work Statement (PWS). The Contractor's plan shall be responsive to this PWS and describe, in further detail, the approach to be used for each aspect of the contract as defined in the proposal. The Contractor shall keep the PMP up to date throughout the period of performance, specifically; the Contractor shall provide recommended updates in the form of tracked changes in Microsoft Word, on a monthly basis. Negative response indicating no updates are made is required. The Contractor shall use artifacts and processes determined at time of award. Further, the Government may, at any time, request additional updates that will be completed by the Contractor and delivered to the Government no more than ten (10) days after the request. The Contractor shall attend a project post award/kick-off briefing with VA project team. The post award/kick-off briefing will be held within ten (10) calendar days after contract award or as agreed upon between VA Government PM, COR, and Contractor. At the post award/kick-off meeting, the Contractor shall brief the details of the project management plan (PMP), which shall include the Contractor’s intended approach, work plan, and project schedule including deliverables, tasks, and subtasks, with major milestones. Weekly Operations Meeting with Weekly Status Reports (WSR) The Contractor shall participate and facilitate weekly update meetings. Weekly meetings shall be set up after the post award/kickoff meeting, considering availability of VA project team, providing phone dial in and/or web conferencing. The weekly status report shall highlight risks and issues as well as any outstanding items. The WSR shall be delivered via email to both the COR and PM. The Contractor shall track action items and provide WSR within (1) hour of the meeting. The Contractor shall provide a Monthly Status Report (MSR)

The Contractor shall establish and maintain a complete Quality Control Program that shall ensure services are performed in accordance with this contract. The Contractor shall develop and implement procedures to identify, prevent, and ensure non reoccurrence of defective services. The Contractor’s quality control program is the means by which assures that the work complies with the requirements of the contract. The Contractor shall provide the associated Quality Control Plan.

Deliverables:

3a. Develop and Utilize Key Performance Indicators (KPIs) and Key Risk Indicators (KRIs) 3.b Project Management Plan 3.c . Kickoff Meeting, weekly update and agenda, monthly operations report 3d. Quality Control Plan (QCP) 3e. Assess Risk Visualization/Use of IT Tools (Data Analytics, Predictive Modeling, AI, Automation, etc.)

3f. Review Maturity Model and Develop Implementation Roadmap

E. SCHEDULE FOR DELIVERABLES

If for any reason the scheduled time for a deliverable cannot be met, the contractor is required to explain why (include the original deliverable due date) in writing to the COR or the designee and CO, including a firm commitment of when the work shall be completed. This notice to the COR or the designee and CO shall cite the reasons for the delay, and the impact on the contract and provide a get-well date. The COR or the designee will then review the facts and issue a response in accordance with applicable regulations.

Task
Deliverable Number
Delivered Format
Estimated Due Date
1. Course Development
See below
See below
See below

Course Materials

1a.
Electronic / Power Point Presentation / SharePoint / 508 complaint
Monthly
Support and mature Risk, Executive Risk Council (ERC), Risk Liaison Meetings, Community of Practice (CoP) Meetings, Risk Management Project Lifecycle Activities, ad hoc Training & Culture Efforts
1b.
Electronic / Power Point Presentation / SharePoint / 508 complaint
Monthly
1.Communication and Awareness Campaigns
1.c
Electronic / Power Point Presentation / Magazine/ Newsletter/ SharePoint / Video Support 508 complaint
Bi-Monthly

Integrate with Enterprise process and support functions

1d.
Electronic / Power Point Presentation / SharePoint / 508 complaint
One Job to be Delivered Upon Completion
Task
Deliverable Number
Delivered Format
Due Date
2. Training
See below
See below
See below
Enhance Enterprise Risk Assessment (ERA) Capabilities
2a.
Electronic / Power Point Presentation / Excel / SharePoint / 508 complaint
One Job to be Delivered Upon Completion
Change Management and Leadership Skills
2b.
Electronic / Power Point Presentation / Excel / SharePoint / 508 complaint
One Job to be Delivered Upon Completion
Update ERM Playbook
2c.
Electronic / Power Point Presentation / Excel / SharePoint / 508 complaint
Monthly

Risk Management Process Lifecycle Products (Risk Register, Risk Assessment, Risk Prioritization, Risk Response, Risk Monitoring, Risk Communication)

2d.
Electronic / Power Point Presentation / Excel / SharePoint / 508 complaint
One Job to be Delivered Upon Completion
Create Train-the-Trainer material for ERM program
2e.
Electronic / Power Point Presentation / Excel / SharePoint / 508 complaint
Bi-Monthly
Task
Deliverable Number
Delivered Format
Due Date
3. Program Management
See below
See below
See below

Develop and Utilize Key Performance Indicators (KPIs) and Key Risk Indicators (KRIs)

3a.
Electronic / Power Point Presentation / Excel / SharePoint / 508 complaint
One Job to be Delivered Upon Completion
Project Management Plan
3b.
Electronic / Word Document / Power Point Presentation / Excel / SharePoint / 508 complaint
One Job to be Delivered Upon Completion
Kickoff Meeting, weekly update and agenda, monthly operations report
3c.
Electronic / Word Document / Power Point Presentation / Excel / SharePoint / 508 complaint
Monthly
Quality Control Plan (QCP)
3d.
Electronic / Word Document / Power Point Presentation / Excel / SharePoint / 508 complaint
Bi-Monthly
Assess Risk Visualization/Use of IT Tools
3e.
Electronic / Word Document / Power Point Presentation / Excel / SharePoint / 508 complaint
One Job to be Delivered Upon Completion
Review Maturity Model and Develop Implementation Roadmap
3f.
Electronic / Word Document / Power Point Presentation / Excel / SharePoint / 508 complaint
One Job to be Delivered Upon Completion

F. TRANSITION

The Contractor shall ensure no breaks in service availability. The transition management requirements are designed to ensure that, at commencement of this contract, the Contractor conducts analysis, creates the strategy, and develops the plans, deliverables, and products needed to successfully transition the provision of services.

The Contractor shall:

1. Minimize transition impact to the ERM user community, to include Executive Risk Council, Risk Liaisons, and Community of practice members.

2. Maintain existing service quality and performance levels.

3. Ensure a transparent and seamless transition.

4. Maintain support and meet delivery milestones of ongoing projects.

5. Minimize operations and maintenance (O&M) cost overlaps.

6. Ensure that the IT security posture during transition is maintained at current levels without creating gaps and/or vulnerabilities.

7. Ensure no service disruption or degradation during transition.

The Contractor shall develop and implement the detailed transition strategies and processes needed to enable a transfer of products and services from the incumbent service provider to the service platform required under this PWS without disruption to ongoing contract support levels.

The Contractor shall develop and implement detailed transition strategies and processes needed to maintain continuity of operations and quality of service during the transition in period.

The Contractor shall implement and manage the activities necessary to transition service from the existing service provider(s) with no breaks in current service levels and no delays in support for new and ongoing projects.

For planning purposes, the overall transition period shall not exceed ninety (90) days. Transition of operational capabilities is to be completed within thirty (30) days.

The Contractor shall recruit, assign, and manage the staff and resources in a quick and efficient manner to meet the transition requirements, schedule, and milestones.

The Contractor shall perform the analyses needed to develop the plans for transitioning the contract services and appropriate GFE/GFI to their operational environment as required under this TO and to ensure that all required systems, data, information, domain knowledge, licenses, maintenance contracts, documentation, and other relevant items are identified and transitioned.

The Contractor shall ensure that all necessary personnel actions, training (including any required certifications), and domain knowledge transfer are accomplished.

The Contractor shall also consider non-personnel issues, such as materials and supplies, equipment, facilities, sub-contracts, leases, environmental issues, safety and security, etc.

The Contractor shall identify an implementation strategy and perform critical tasks needed to obtain employee security clearances in the most expeditious manner possible during the transition period; At the request of VA Office of Performance Analysis and Integrity (PA&I), the Contractor shall conduct an inventory of Government Furnished Equipment (GFE) and IT assets; establish management processes and controls; and other tasks the Contractor and/or the COR deem necessary to support the transition process.

G. REPORTING REQUIREMENTS

The contractor shall provide the Government Project Manager an end of project report. The report shall include a summary recommendations and scalable plan for implementation. These are due to the Government Project Manager within thirty (30) calendar days of the final day of the course. Report will be submitted electronically.

H. GOVERNMENT RESPONSIBILITIES

The Government shall provide the contractor with access to VBA facilities and personnel as required.

I. CONTRACTOR EXPERIENCE REQUIREMENTS – KEY PERSONNEL

Skilled experienced professional and/or technical personnel are essential for successful contractor accomplishment of the work to be performed under this contract. These are defined as key personnel. The contractor agrees that the key personnel shall not be removed, diverted, or replaced from work without approval of the CO and Government Project Manager (GPM).

Any personnel the Contractor offers as substitutes shall have the ability and qualifications equal to or better than the key personnel being replaced. Requests to substitute personnel shall be approved by the GPM and the CO. All requests for approval of substitutions in personnel shall be submitted to the GPM and the CO within 30 calendar days prior to making any change in key personnel. The request shall be written and provide a detailed explanation of the circumstances necessitating the proposed substitution. The Contractor shall submit a complete résumé for the proposed substitute, and any other information requested by the CO needed to approve or disapprove the proposed substitution. The CO will evaluate such requests and promptly notify the contractor of approval or disapproval thereof in writing.

Key Personnel are as follows:

Project Manager (PM): The PM is defined as an individual with 2+ years of relevant ERM experience. Skills/Experience: Experience relevant to the PWS of successfully directing and controlling the activities of one or more large ERM programs. The Project Manager shall have a proven track record of engaging with large organizations at a senior level.

Training Instructors: The Training Instructor(s) shall provide training & support to the VA Executive Leadership Level Enterprise Risk Management training. At minimum, all instructors shall meet the following qualifications:

· Certified Risk Management Professional certification (RIMS)

· Association for Federal Enterprise Risk Management (AFERM) Member

J. GOVERNMENT FURNISHED PROPERTY, SERVICES OR INFORMATION

1. Government Property, Services: The Government will not provide any equipment or services.

2. Information: The Government will provide access to the necessary procedures and policies. Copies of required materials may be provided to the Contractor in hard copy or soft copy. All materials will remain the property of the Government and will be returned to the COR upon request or at the end of the contract period.

K. CONTRACTOR FURNISHED ITEMS AND SERVICES

The Contractor shall furnish, all facilities, equipment and supplies required to perform the work under this contract that are not listed under Government Furnished Property and Services.

1. Contractor Responsibilities: The Contractor shall only conduct business with the designated Government COR and/or Project Manager. Names will be provided to the Contractor in writing and updated as necessary throughout the contract period.

U.S. Government records, copies of original results and reports, verified original data, corrected data and corrected supporting final reports which are maintained by the Contractor remain the property of the U.S. Government. These files/results must be surrendered to the COR.

2. Contractor Personnel: The Contractor shall provide a Project Manager who shall be responsible for the performance of work. An alternate shall also be designated to act in the absence of the Project Manager. These Contractor Project Manager(s) are considered Key Personnel by the Government. The Project Manager or alternate shall have full authority to act on all contact matters relating to daily operations of this contract. Accordingly, at a minimum, the Project Manager shall have the technical knowledge of the requirement and be in the position to receive assignment, guidance and direction from the COR, GPM and CO. The Project Manager or alternate shall be available between the hours of 7:30am to 4:30pm, Monday through Friday EST, except Federal Holidays or when the Government facility is closed for administrative reasons.

3. Identification of Contractor Employees: All Contractor/subcontractor personnel shall wear company picture identification badges as to distinguish themselves from Government employees. When conversing with Government personnel during business meetings, over the telephone or via electronic mail, Contractor/subcontractor personnel shall identify themselves as such to avoid situations arising where sensitive topics might be better discussed solely between Government employees. Contractors/subcontractors shall identify themselves on any attendance sheet or any coordination documents they may review. Electronic mail signature blocks shall identify their company affiliation. Where practicable, Contractor/subcontractors occupying collocated space with their Government program customer shall identify their work space area with their name and company affiliation, or as a minimum, “Contractor” after name.

6. Contractor Facility: Contractor must provide classroom facilities for up to 70 people in coordination with the VBA Chief Risk Officer (CRO) or the designee.

L. SECURITY REQUIREMENTS

Contractor Personnel Security

a. Any individual who requires access to the VA site(s), personally identifiable information (PII) and/or access to VA local area network (LAN) systems shall be the subject of a background investigation and must receive a favorable adjudication from the VA Security and Investigations Center (SIC). These requirements are applicable to all sub-contractor personnel requiring the same NACI Background Investigation.

b. The level of background security investigation will be in accordance with VA Directive 0710 dated June 4, 2010 and is available at http://www.va.gov/vapubs/viewPublication.asp?Pub_ID=487&FTyp.

Background Investigation: The Contractor employee level of background investigation required for this effort is: Low Risk (NACI)

Investigation Documents: Immediately after contract award, the COR will provide the Contractor with the following background investigation documents to be completed by the Contractor and returned to the COR to begin the background investigations process for all contract employees working on the contract who will have access to VA facilities, VA systems, or privacy data:

1. Background Investigation Request Worksheet;

2. Optional Form 306 – Declaration of Federal Employment;

3. Fingerprint Request Form;

4. VA Form 0710 – Authorization for Release of Information; and

5. Self-Certification of Continuous Service (if applicable) Submitting Completed Package: Upon receipt of documents listed in Part 11.9 from the COR, the COR will submit the background investigation package to VBA’s Security Specialist for processing through SIC. Upon notification of favorable fingerprint results, the Contractor may begin work while the background investigation is ongoing. Thereafter, the Contractor shall receive an email notification from the SIC identifying the website link that includes detailed instructions regarding completion of the background clearance application process in the Electronic Questionnaires for Investigations Processing (e-QIP) system. E-QIP is an online, internet accessible system, where the Contractor employee shall complete the security questionnaire required for OPM to process background investigation.

Reciprocation: Contractors who have current favorable background investigation previously conducted by OPM or Defense Security Service (DSS) may be accepted through reciprocation. When a previous clearance is currently held, it does not preclude the Contractor form submitting a complete Background Investigation Package as stated in Part 11.9 to the COR immediately after contract award for all Contractor employees who will be working on the contract.

Pre Screen: The Contractor shall prescreen all personnel who require access to VA site(s) and/or access to VA LAN systems to ensure they maintain a U.S. citizenship or Alien Registration that authorizes them to work in the U.S., and are able to read, write, speak and understand the English language.

Contractor Performance: Contract performance shall not commence before A. The VBA has confirmed favorable fingerprint results, or B. SIC confirms that it has received the Contractor’s investigative documents, The documents are complete, and that the investigation information has been released to OPM for scheduling of the background investigation, or C. VSC or the SIC has confirmed that the verified investigation will be reciprocated.

Copy of Certificate of Investigation (COI): The COR will notify and forward the Contractor a copy of the Certificate of Investigation when the background investigation has been favorably completed or a Certificate of Eligibility (Form 4236) if the investigation has been reciprocated. The Contractor, if notified, of an unfavorable adjudication by the Government, shall withdraw the employee from consideration from working under the contract. Failure to comply with the Contractor personnel security requirements may result in termination of the contract for default.

Responsibility: The Contractor shall be responsible for the actions of those contract and subcontract employees it provides to perform work for the VA. In the event damage arises from work performed by Contractor personnel the Contractor will be responsible for resources necessary to remedy the incident.

Vendor Selection: Should the Contractor use a vendor other than OPM or DSS to conduct investigation, the investigative company must be certified by OPM/DSS to conduct Contractor investigations. The Vendor Cage Code number must be provided to the VA SIC, which will verify the information and conclude whether access to the Government’s site(s) and/or VA LAN systems can be granted.

Investigative History: The investigative history for Contractor personnel working under this contract must be maintained in the databases of either OPM or the Defense Industrial Security Clearance Organization (DISCO).

Government Responsibilities:

• After the SIC has adjudicated the background investigation package from the Contractor, the SIC will send an e-mail notification to the Contractor and their POC identifying the e-QIP website link that includes detailed instructions regarding completion of the background clearance application process and the level of background that was requested.

• Upon receipt of required investigative documents, SIC will review the investigative documents for completion and initiate the background investigation by forwarding the investigative documents to OPM to conduct the background investigation. If the investigative documents are not complete, the SIC will notify the vendor of deficiencies and include corrective instructions.

• VA will pay for investigations and reciprocals processed through the VA SIC and conducted by OPM in advance.

• The COR will notify and forward the Contractor a copy of the Certificate of Investigation when the background investigation has been favorably adjudicated or a Certificate of Eligibility (Form 4236) if the investigation has been reciprocated. The COR will also notify the Contractor of an unfavorable adjudication by the Government.

Confidentiality and Nondisclosure

It is agreed that:

1. The preliminary and final deliverables and all associated working papers, application source code, and other material deemed relevant by the VA which has been generated by the contractor in the performance of this task order are the exclusive property of the U.S. Government and shall be submitted to the COR at the conclusion of the task order.

2. The CO will be the sole authorized official to release verbally or in writing, any data, the draft deliverables, the final deliverables, or any other written or printed materials pertaining to this task order. No information shall be released by the contractor. Any request for information relating to this task order presented to the contractor shall be submitted to the CO for response.

3. Press releases, marketing material or any other printed or electronic documentation related to this project, shall not be publicized without the written approval of the CO.

File details come from the government source that posted it. Updated .