DEPARTMENT OF HOMELAND SECURITY (DHS)

June 2021 1

Federal Emergency Management Agency

STATEMENT OF OBJECTIVE (SOO) FOR:

FEMA Region 6, Mission Support Division, FRC Flat Plate Heat Exchanger Install & VSAB-1 Fan Box Rebuild

Neddra Tucker, Contracting Officer

PROCUREMENT SENSITIVE

INFORMATION

This document contains non-public information intended for use on a need-to-know basis within FEMA only.

Please protect this document as procurement sensitive and handle accordingly.

DEPARTMENT OF HOMELAND SECURITY (DHS)

Draf t

DHS Statement of Objectives (SOO)

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Statement of Objectives (SOO) For

FRC Flat Plate Heat Exchanger Install

& VSAB-1 Fan Box Rebuild

1. Purpose

The objective of this project is to enhance energy efficiency and optimize temperature control in the Federal

Regional Center (FRC) and Vehicle Storage Administration Building (VSAB) 1, located at 800 N. Loop 288, Denton, Texas 76209. The project supports HVAC requirements through two key initiatives:

• FRC Building: Installation of a flat plate heat exchanger system to improve energy efficiency, reduce power consumption, and minimize wear and tear on chillers. This system will allow chillers to be turned off during winter months, enabling cooling with outside air and two pumps.

• VSAB 1 Building: Replacement or rebuilding of fan boxes and installation of high-efficiency motors and controls in office areas to increase energy efficiency and optimize power consumption.

These upgrades will optimize power usage, improve climate control, and support continuous facility operations.

2. Scope of Work

This project will support HVAC requirements and improve energy efficiency at the FRC and VSAB 1 buildings through the following activities:

• 2.1 FRC Building – Flat Plate Heat Exchanger System

• Install a new flat plate heat exchanger unit (sizing determined by contractor), including all required pipework, valves, and controls integrated with the Metasys system.

• Remove abandoned fan units or equipment in the central plant space, including attached ductwork or pipework, to make room for new equipment.

• Note: Units may contain asbestos or lead-based paint due to the property’s pre-1989 vintage.

• Install and reroute original pipework on condenser and chilled water sides as needed; add manual valves to control the flat plate.

• Dispose of all removed items in an environmentally sustainable manner off the Region 6 site.

• Install temperature checkpoints and integrate them into the Metasys system for monitoring and control.

Minimum Performance Standards:

• Meet facility heating/cooling load requirements.

• Provide required heat transfer capacity under design conditions.

• Maintain specified supply and return water temperatures.

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• Include all required pumps, controls, valves, sensors, piping modifications, strainers, insulation, and accessories.

• Prevent cross-contamination between hydronic systems.

• Integrate with existing BAS for monitoring, trending, alarm notification, and control.

• Allow for maintenance access, cleaning, and future servicing.

• Operate within allowable pressure-drop limitations.

• 2.2 VSAB 1 Building – Fan Powered HVAC Boxes

• Replace or rebuild and balance 25 ceiling-mounted fan powered HVAC boxes to improve efficiency and workplace comfort.

• Rebuilds will include new high-efficiency motors, removal of old pneumatic controllers, rebuilding and sealing balancing dampers, thorough cleaning of boxes and coils, installation of new foam box seals and damper seals.

• Integrate all units into the Metasys system for advanced temperature control.

• Recalibrate all temperature and duct pressure sensors after rebuilding or replacement.

Equipment List:

• 25 units manufactured by MFI (Magnifow Industries), Intermittent fan unit series FPI with 277-volt motors:

o (2) 6-inch duct o (3) 8-inch duct o (11) 10-inch duct o (8) 12-inch duct

Acceptance Criteria:

• Rebuilt units must operate quietly and efficiently, deliver required airflow and temperature control, maintain occupant comfort within design parameters, integrate with BAS, and meet manufacturer operational specifications.

3. Performance Requirements

• 3.1 Performance Work Statement (PWS) Submission

• Contractor shall submit a detailed PWS prior to project commencement, including:

o Comprehensive project schedule (Gantt chart) outlining all key milestones and deliverables.

o Breakdown of tasks, schedules, and resource requirements.

o Format: Electronic PDF submission.

• 3.2 Minimizing Disruptions

• Implement provisions to minimize disruptions to building occupants and operations, including:

o Control and mitigation of noise levels during work hours.

o Prevention and management of power outages.

o Coordination with facility management to avoid interference with critical functions.

• 3.3 Physical Oversight and Management

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• Provide on-site supervision during all phases of work.

• Submit regular progress reports to the Project Officer.

• Immediately notify of any issues affecting project schedule or quality.

• 3.4 Compliance

• Comply with Build America, Buy America Act (BABAA) requirements for materials and products.

• If waiver is necessary, follow FEMA procedures and obtain written approval prior to procurement.

• 3.5 Hazardous Materials Handling

• If hazardous materials (asbestos or lead-based paint) are encountered:

o Immediately report discovery to Project Officer and FEMA Safety Officer.

o Await directions regarding additional testing or protective measures.

o Follow all applicable safety and environmental regulations for handling and disposal.

o Contractor is responsible for documentation and proof of proper disposal.

4. Period of Performance The period of performance for this statement of objectives is for 90 days from Notice to Proceed by the

Contracting Officer.

Place of Performance The primary place of performance will be FEMA Region 6, Federal Regional Center and Vehicle Storage

Administration Building 1 – 800 N. Loop 288, Denton, Texas 76209.

5. Background

The FRC (constructed in 1964) and VSAB 1 (constructed in 1984) have received various HVAC upgrades, but several critical components were not upgraded for integration with the Metasys building automation system.

Current systems lack advanced monitoring, control, and energy management capabilities. This project will address these gaps by installing and integrating new HVAC equipment and controls that fully support Metasys and meet current operational requirements.

6. Performance of Objectives

• Objective 1: Planning and Preparation

• Conduct site visit before bidding to assess project scope.

Learn more at fema.gov June 2021 5

• Coordinate with FEMA to develop comprehensive project plan and schedule.

• Confirm measurements and ensure sufficient space for new equipment.

• Provide FEMA with written Quality Assurance Plan (QASP) and PWS.

• Demolition shall include the removal of old equipment and other materials applicable to the existing system. The contractor shall remove extra material, waste, and dispose of extra material off government property.

• Objective 2: Design

• Design energy-efficient, environmentally responsible HVAC system meeting building heat load requirements.

• Ensure system is easy to maintain and capable of handling heating and cooling loads.

• Comply with all local, state, and federal HVAC and refrigerant regulations, including EPA standards.

• Objective 3: Installation

• Minimize waste sent to landfill; ensure recovery and recycling of refrigerants to minimize emissions.

• Integrate new flat plate heat exchanger and HVAC units/parts with existing system, ensuring minimal disruption during installation.

• Use durable, corrosion-resistant components for reliability and longevity.

• Provide one-year warranty on parts and labor after project completion.

• Balance initial costs and long-term energy savings, supported by cost-benefit and ROI analyses.

• Objective 4: Cleanup

• Clean work area daily and responsibly dispose of debris and surplus materials.

• Perform final cleanup and recycle metal waste; provide report to Contracting Officer’s Representative

(COR).

• Objective 5: Final Review and Inspection

• Conduct joint inspection of work area and HVAC system with FEMA.

• Submit all required reports and documentation to FEMA for final project approval.

• Supply “As-Built” prints for all new equipment and owner’s manuals with preventive maintenance schedule.

• Operating Constraints

1. Hours of Operation: Monday–Friday, 08:00–17:30. No work on weekends or federally observed holidays. Extended hours require prior approval.

2. Occupancy and Workflow: Facilities may be occupied during working hours. Plan project in phases to avoid disrupting staff workflow and critical operations. Coordinate with facility management and provide advance notice to affected personnel.

3. Noise and Disruption: Schedule high-noise tasks during periods of minimal occupancy or coordinate with facility management. Communicate anticipated noise/disruptions to staff in advance.

4. Material Handling and Reporting: Inventory all materials and chemicals brought on site; report to Project Officer and Safety Officer. Ensure safe handling and movement of materials, especially in common areas.

5. Indoor Air Quality: Maintain indoor air quality standards; ensure proper ventilation and dust control during demolition/installation. Temporary air quality monitoring may be required in sensitive areas.

6. OSHA Safety Requirements: Comply with OSHA safety standards, including PPE, hazard communication, and safe work practices.

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7. Site Storage Limitations: Limited storage capability; coordinate just-in-time delivery and remove debris/surplus materials daily. No materials/equipment left unattended in common areas or corridors.

8. Access and Security: Adhere to facility access and security protocols, including sign-in and escort requirements for restricted areas. Secure all tools/equipment when not in use.

9. Environmental and Hazardous Materials: Immediately report hazardous materials encountered

(asbestos, lead-based paint) to Project Officer. Follow all environmental regulations for handling and disposal.

10. Additional Constraints: Limited parking/loading areas may require coordination for deliveries and equipment staging. Weather conditions may impact exterior work and material deliveries. Clean and restore work areas at end of each workday.

8. Deliverables

Deliverable List:

• Project schedule (Gantt chart)

• Equipment submittals

• Shop drawings

• Product data sheets

• Startup reports

• Test and balance reports

• As-built drawings

• Operations and maintenance manuals

• Training materials

• Warranty documentation

Deliverable Schedule

TASK DELIVERABLES Completion

Timeframe

Planning and

Preparation

Project schedule, drawings, noise impacts, schematics, health/safety plan. 10 days after award date

Roster Submission List of employees on NCIC form; supervisor onsite throughout project. 5 days after award date

Design and order equipment

Design flat plate package system and VSAB-1 Fan Box Rebuild unit system, place equipment order, inform CO/COR of arrival date

30 days after award date.

Design complete and equipment ordered.

Removal and

Installation

Remove old equipment; install new flat plate system and fan boxes 30 days. After the equipment arrives.

Learn more at fema.gov June 2021 7

Cleanup

Remove damaged/unusable parts; independent disposal mechanism 1 day after completion of project.

Review and Inspection Reports: recycled product, construction debris disposition, accident reporting 2 days after completion of cleanup

9. Security

All personnel require access to unclassified information only. Contractors must ensure contractor employees receive a favorably background investigation prior to entry on duty (EOD). All individuals will be U.S. citizens. The contractor shall follow the standards established within DHS and FEMA policy.

Unauthorized Disclosure of Classified or Unclassified Information:

Contractors and Subcontractors who are working on this contract shall receive Unauthorized Disclosure of Classified or Unclassified Information training. Access to the training can be obtained at:https://securityawareness.usalearning.gov/unauthorizedrefresher/index.htm

Send the certificate of completion to the FEMA Contracting Officer Representative no later than 30 calendar days after awarded contract. New employees entering the contract must receive the briefing within ten (10) business days of joining the contract.

For Official Use Only (FOUO) Information:

In accordance with DHS Management Directive 11042.1 contractors, consultants and others to whom access is granted will abide by 11042.1; DHS policy regarding the identification and safeguarding of sensitive but unclassified information originated within DHS. It also applies to other sensitive but unclassified information received by DHS from other government and non-governmental activities.

The contractor will: Be aware of and comply with the safeguarding requirements for “For Official Use

Only” (FOUO) information as outlined in this directive.

Participate in formal classroom or computer-based training sessions presented to communicate the requirements for safeguarding FOUO and other sensitive but unclassified information.

Be aware that divulging information without proper authority could result in administrative or disciplinary action.

Contractors and Consultants shall execute a DHS Form 11000-6, Sensitive but Unclassified Information

Non Disclosure Agreement (NDA), as a condition of access to such information. Other individuals not assigned to or contractually obligated to DHS, but to whom access to information will be granted, may

Draf https://securityawareness.usalearning.gov/unauthorizedrefresher/index.htm

Learn more at fema.gov June 2021 8 be requested to execute an NDA as determined by the applicable program manager. Execution of the

NDA shall be effective upon date of the DHS Policy and not applied retroactively.

Unauthorized Disclosure of Classified or Unclassified Information

Contractors and Subcontractors who are working on this contract shall receive the Unauthorized

Disclosure of Classified or Unclassified Information training.

Access to the training can be obtained at:

https://securityawareness.usalearning.gov/unauthorizedrefresher/index.htm

Send the certificate of completion to the FEMA Contracting Officer Representative no later than 30 calendar days after awarded contract. New employees entering the contract must receive the briefing within ten (10) business days of joining the contract.

Other Clauses

HSAR 3052.240-71 CONTRACTOR EMPLOYEE ACCESS (JULY 2023) (HSAR DEVIATION 25-

12) (Effective November 3, 2025)

a. Controlled Unclassified Information (CUI) is any information the Government creates or poss esses, or an entity creates or possesses for or on behalf of the Government (other than classified information) that a law, regulation, or Governmentwide policy requires or permits a n agency to handle using safeguarding or dissemination controls. This definition includes the following CUI categories and subcategories of information:

1. Chemical-terrorism Vulnerability Information (CVI) as defined in 6 CFR part 27, “Chemical Facility Anti-Terrorism Standards,” and as further described in supplementary guidance issued by an authorized official of the Department of Homeland Security (including the Revised Procedural Manual “Safeguarding Information Designated as Chemical-Terrorism

Vulnerability Information” dated September 2008);

2. Protected Critical Infrastructure Information (PCII) as set out in the Critical

Infrastructure Information Act of 2002 (title XXII, subtitle B of the Homeland Security

Act of 2002 as amended through Pub. L. 116–283), PCII’s implementing regulations (6 CFR part 29), the PCII Program Procedures Manual, and any supplementary guidance officially communicated by an authorized official of the Department of Homeland Security, the PCII

Program Manager, or a PCII Program Manager Designee;

3. Sensitive Security Information (SSI) as defined in 49 CFR part 1520, “Protection of Sensitive

Security Information,” as amended, and any supplementary guidance officially communicated by an authorized official of the Department of Homeland Security (including the Assistant

Secretary for the Transportation Security Administration or designee), including Department of Homeland Security MD 11056.1, “Sensitive Security

Draf https://securityawareness.usalearning.gov/unauthorizedrefresher/index.htm

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Information (SSI)” and, within the Transportation Security Administration, TSA MD 2810.1, “SSI Program”;

4. Homeland Security Agreement Information means information the Department of

Homeland Security receives pursuant to an agreement with State, local, Tribal, territorial, or private sector partners that is required to be protected by that agreement. The Department receives this information in furtherance of the missions of the Department, including, but not limited to, support of the Fusion Center Initiative and activities for cyber information sharing consistent with the Cybersecurity Information Sharing Act of 2015;

5. Homeland Security Enforcement Information means unclassified information of a sensitive nature lawfully created, possessed, or transmitted by the Department of Homeland Security in furtherance of its immigration, customs, and other civil and criminal enforcement missions, the unauthorized disclosure of which could adversely impact the mission of the Department;

6. International Agreement Information means information the Department of Homeland

Security receives that is required to be protected by an information sharing agreement or arrangement with a foreign government, an international organization of governments or any element thereof, an international or foreign public or judicial body, or an international or foreign private or non-governmental organization;

7. Information Systems Vulnerability Information (ISVI) means:

i. Department of Homeland Security information technology (IT) systems data revealing infrastructure used for servers, desktops, and networks; applications name, version, and release;

switching, router, and gateway information; interconnections and access methods; and mission or business use/need. Examples of ISVI are systems inventories and enterprise architecture models. Information pertaining to national security systems and eligible for classification under Executive Order 13526 will be classified as appropriate; and/or

ii. Information regarding developing or current technology, the release of which could hinder the objectives of the Department, compromise a technological advantage or countermeasure, cause a denial of service, or provide an adversary with sufficient information to clone, counterfeit, or circumvent a process or system;

8. Operations Security Information means Department of Homeland Security information that could be collected, analyzed, and exploited by a foreign adversary to identify intentions, capabilities, operations, and vulnerabilities that threaten operational security for the missions of the Department;

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9. Personnel Security Information means information that could result in physical risk to

Department of Homeland Security personnel or other individuals whom the Department is responsible for protecting;

10. Physical Security Information means reviews or reports illustrating or disclosing facility infrastructure or security vulnerabilities related to the protection of Federal buildings, grounds, or property. For example, threat assessments, system security plans, contingency plans, risk management plans, business impact analysis studies, and certification and accreditation documentation;

11. Privacy Information includes both Personally Identifiable Information (PII) and Sensitive

Personally Identifiable Information (SPII). PII refers to information that can be used to distinguish or trace an individual’s identity, either alone, or when combined with other information that is linked or linkable to a specific individual; and SPII is a subset of PII that if lost, compromised, or disclosed without authorization could result in substantial harm, embarrassment, inconvenience, or unfairness to an individual. To determine whether information is PII, DHS will perform an assessment of the specific risk that an individual can be identified using the information with other information that is linked or linkable to the individual. In performing this assessment, it is important to recognize that information that is not PII can become PII whenever additional information becomes available, in any medium or from any source, that would make it possible to identify an individual. Certain data elements are particularly sensitive and may alone present an increased risk of harm to the individual.

i. Examples of stand-alone PII that are particularly sensitive include: Social Security numbers

(SSNs), driver’s license or State identification numbers, Alien Registration

Numbers (A-numbers), financial account numbers, and biometric identifiers.

ii. Multiple pieces of information may present an increased risk of harm to the individual when combined, posing an increased risk of harm to the individual. SPII may also consist of any grouping of information that contains an individual’s name or other unique identifier plus one or more of the following elements:

A. Truncated SSN (such as last 4 digits);

B. Date of birth (month, day, and year);

C. Citizenship or immigration status;

D. Ethnic or religious affiliation;

E. Sexual orientation;

F. Criminal history;

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G. Medical information; and

H. System authentication information, such as mother’s birth name, account passwords, or personal identification numbers (PINs).

iii. Other PII that may present an increased risk of harm to the individual depending on its context, such as a list of employees and their performance ratings or an unlisted home address or phone number. The context includes the purpose for which the PII was collected, maintained, and used. This assessment is critical because the same information in different contexts can reveal additional information about the impacted individ ual.

b. Information Resources means information and related resources, such as personnel, equipment, funds, and information technology.

c. Contractor employees working on this contract must complete such forms as may be necessary for security or other reasons, including the conduct of background investigations to determine suitability. Completed forms shall be submitted as directed by the Contracting Of ficer. Upon the Contracting Officer’s request, the Contractor’s employees shall be fingerprinted or subject to other investigations as required. All Contractor employees requiring recurring access to government facilities or access to CUI or information resources are required to have a favorably adjudicated background investigation prior to commencing work on this contract unless this requirement is waived under Departmental procedures.

d. The Contracting Officer may require the Contractor to prohibit individuals from working on the contract if the Government deems their initial or continued employment contrary to the public interest for any reason, including, but not limited to, carelessness, insubordination, incompetence, or security concerns.

e. Work under this contract may involve access to CUI. The Contractor shall access and use CUI only for the purpose of furnishing advice or assistance directly to the Government in support of the Government’s activities, and shall not disclose, orally or in writing, CUI for an y other purpose to any person unless authorized in writing by the Contracting Officer. For those

Contractor employees authorized to access CUI, the Contractor shall ensure that these persons receive initial and refresher training concerning the protection and disclosure of

CUI. Initial training shall be completed within 60 days of contract award and refresher training shall be completed every 2 years thereafter.

f. The Contractor shall include this clause in all subcontracts at any tier where the subcontractor may have access to government facilities, CUI, or information resources.

HSAR 3052.240-71 CONTRACTOR EMPLOYEE ACCESS ALT II (HSAR DEVIATION 25-12)

(Effective November 3, 2025)

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(g) Each individual employed under the contract shall be a citizen of the United States of America, or an alien who has been lawfully admitted for permanent residence as evidenced by a Permanent Resident

Card (USCIS I-551). Any exceptions must be approved by the Department's Chief Security Officer or designee.

(h) Contractors shall identify in their proposals, the names and citizenship of all non-U.S. citizens proposed to work under the contract. Any additions or deletions of non-U.S. citizens after contract award shall also be reported to the Contracting Officer.

Foreign Travel and Government-Issued Equipment

Per DHS and FEMA IT policy, FEMA employees and contractors are not authorized to take government-issued equipment, including cell phones, computers, or tablets such as iPads, outside of the

United States regardless of the reason for travel. If government-issued equipment is required for official foreign travel, FEMA government employees may request a temporary loaner device through the

Mobility Service Center.Office of the Chief Information Officer, Service Center for the duration of their trip. FEMA contractors must contact their contracting officer’s representative (COR) for further guidance.

If your device is detected as operating outside of the United States and its territories it will be disabled, and your information will be forwarded to the Office of Professional Responsibility for review.

Background Investigations

All contractor personnel who require access to DHS or FEMA information systems, routine access to

DHS or FEMA facilities, or access to sensitive information, including but not limited to Personally

Identifiable Information (PII), shall be subject to a full background investigation commensurate with the level of the risk associated with the job function or work being performed. FEMA’s Personnel

Security Division (PSD) will determine the risk designation for each contractor position by comparing the functions and duties of the position against those of a same or similar federal position, applying the same standard for evaluating the associated potential for impact on the integrity and efficiency of federal service.

Low Risk without Information System Access

Contractor personnel occupying positions or performing functions with a Low-Risk designation and who do not require access to DHS or FEMA information systems may undergo a Tier 1 investigation with a credit check and must receive a favorable adjudication thereof from FEMA PSD prior to performing work under this contract. (also reference Facility Access).

Low Risk with Information System Access

Contractor personnel occupying positions or performing functions with a Low-Risk designation and who require access to DHS or FEMA information systems shall undergo a Tier 2 Suitability Background

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Investigation (T2) and must receive a favorable adjudication thereof from FEMA PSD prior to performing work under this contract.

Moderate Risk

Contractor personnel occupying positions or performing functions with a Moderate Risk designation shall undergo a Tier 2 Suitability Background Investigation (T2) and must receive a favorable adjudication thereof from FEMA PSD prior to performing work under this contract.

High Risk

Contractor personnel occupying positions or performing functions with a High-Risk designation shall undergo a Tier 4 Suitability Background Investigation (T4) and must receive a favorable adjudication thereof from FEMA PSD prior to performing work under this contract.

Background Investigation Process

To initiate the request to process contractor personnel, the Contractor shall provide the FEMA

Contracting Officer’s Representative (COR) with all required information and comply with all necessary instructions to complete Section II of the FEMA Form 121-3-1-6, “Contract Fitness/Security

Screening Request.” The FEMA COR shall ensure that all other applicable sections of the FEMA Form

121-3-1-6 are complete prior to submitting the form to FEMA PSD for processing. The Contractor shall also provide the FEMA COR with completed OF 306, “Declaration for Federal Employment,” forms for all contractor personnel.

Contractor personnel who already have a favorably adjudicated background investigation, may be eligible to perform work under this contract without further processing by FEMA PSD if: the investigation was completed within the last five years, it meets or exceeds the minimum requirement for the position they will occupy or functions they will perform on this contract, the contractor personnel have not had a break in employment since the prior favorable adjudication, and, FEMA PSD has verified the investigation and confirmed that no new derogatory information has been disclosed which may require a reinvestigation.

FEMA PSD will notify the COR of the names of the contractor personnel eligible to work based on prior, favorable adjudication. The COR will, in turn, notify the Contractor of the names of the favorably adjudicated contractor personnel, at which time the favorably adjudicated contractor personnel will be eligible to begin work under this contract.

For those contractor personnel who do not have an acceptable, prior, favorable adjudication or who otherwise require reinvestigation, FEMA PSD will issue an electronic notification via email directly to the contractor applicant/personnel that contains the following documents, which are incorporated into this contract by reference, along with a link to the National Background Investigation Services (NBIS) e-Application (eAPP) online system and instructions for submitting the necessary information:

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Standard Form 85P, “Questionnaire for Public Trust Positions”

Optional Form 306, “Declaration for Federal Employment”

SF 87, “Fingerprint Card” (2 copies)

DHS Form 11000-6, “Non-Disclosure Agreement”

DHS Form 11000-9, “Disclosure and Authorization Pertaining to Consumer Reports Pursuant to the

Fair Credit Reporting Act”

FEMA PSD will only accept complete packages consisting of all of the above document and Standard

Form 85P, which must be completed electronically through the National Background Investigation

Services (NBIS) e-Application (eAPP) online system. The Contractor is responsible for ensuring that all contractor personnel timely and properly submit all required background information.

Once contractor personnel have properly submitted the complete package of all required background information, FEMA’s Personnel Security Division, at its sole discretion, may grant contractor personnel temporary eligibility to perform work under this contract prior to completion of the full background investigation if the Personnel Security Division’s initial review of the contractor personnel’s background information reveals no issues of concern. In such cases, FEMA’s Personnel Security

Division will provide notice of such temporary eligibility to the COR who will then notify the Prime

Contractor, at which time the identified contractor personnel will be temporarily eligible to begin work under this contract. Neither the Prime Contractor nor the contractor personnel have any right to such a grant of temporary eligibility. The grant of such temporary eligibility shall not be considered as assurance that the contactor personnel will remain eligible to perform work under this contract upon completion of and final adjudication of the full background investigation.

Upon favorable adjudication of the full background investigation, FEMA’s Personnel Security Division will update the contractor personnel’s security file and take no further action. In any instance where the final adjudication results in an unfavorable determination, FEMA’s Personnel Security Division will notify the contractor personnel directly, in writing, of the decision and will provide the COR with the name(s) of the contractor personnel whose adjudication was unfavorable. The COR will then forward that information to the Contractor. Contractor personnel who receive an unfavorable adjudication shall be ineligible to perform work under this contract. Unfavorable adjudications are final and not subject to review or appeal.

Continued Eligibility and Reinvestigation

Eligibility determinations based on a Low Risk T1, Moderate Risk T2S or High Risk T4 are valid for five years from the date that the investigation was completed and closed. Contractor personnel required to undergo a background investigation to perform work under this contract shall be ineligible to perform work under this contract upon the expiration of the background investigation unless and until the

Learn more at fema.gov June 2021 15 contractor personnel have undergone a reinvestigation and FEMA’s Personnel Security Division has renewed their eligibility to perform work under this contract.

Exclusion by Contracting Officer

The Contracting Officer, independent of FEMA’s Personnel Security Division, may direct the

Contractor be excluded from working on this contract. Any contractor found or deemed to be unfit or whose continued employment on the contract is deemed contrary to public interest or inconsistent with the best interest of the agency may be removed.

Facility Access

The Contractor shall comply with FEMA Directive 121-1 “FEMA Personal Identity Verification

Guidance,” FEMA Directive 121-3 “Facility Access,” and FEMA Manual 121-3-1 “FEMA

Credentialing Access Manual,” to arrange for contractor personnel’s access to FEMA facilities, which includes, but is not limited to, arrangements to obtain any necessary identity badges for contractor personnel.

Contractor personnel working within any FEMA facility who do not require access to DHS or FEMA

IT systems and do not qualify for a PIV Card may be issued a Facility Access Card (FAC). FACs cannot exceed 180 days; all contractors requiring access greater than 180 days will need to qualify for and receive a PIV card before being allowed facility access beyond 180 days.

Contractor personnel shall not receive a FAC until they have submitted a SF 87, “Fingerprint Card,” and an OF306, Declaration for Federal Employment, and receive approval from FEMA

PSD. Contractor personnel using a FAC for access to FEMA facilities must be escorted in Critical

Infrastructure areas (i.e., server rooms, weapons rooms, mechanical rooms, etc.) at all times.

FEMA may deny facility access to any contractor personnel whom FEMA’s Office of the Chief Security

Officer has determined to be a potential security threat.

(End of clause)

[71 FR 25773, May 2, 2006, as amended at 71 FR 48802, Aug. 22, 2006; 77 FR 50636, Aug. 22, 2012;

77 FR 54836, Sept. 6, 2012]

OPSEC Training

Contractors and Subcontractors who are working on this contract shall receive the OPSEC Awareness

Brief.

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Access to the briefing can be obtained at OPSEC Awareness for Military Members, DOD Employees and

Contractors (usalearning.gov)

Send the certificate of completion to the FEMA Contracting Officer Representative no later than 30 calendar days after awarded contract. New employees entering into the contract must receive the briefing within ten (10) business days of joining the contract.

Insider Threat Training

Insider Threat training for Contractors can be found at: Insider Threat Awareness (usalearning.gov)

Certificate of training is required for all cleared contractor employees who are working with classified or unclassified information. All certificates must be sent to the assigned FEMA Contracting Officer

Representative, before the Contractor or Subcontractor is granted access to classified or unclassified information but no later than 30 calendar days after awarded contract. All cleared contractor personnel are required to recertify Insider Threat training annually thereafter. New employees entering into the contract must receive the briefing within ten (10) business days of joining the contract.

Background Investigations

All contractor personnel who require access to DHS or FEMA information systems, routine access to

DHS or FEMA facilities, or access to sensitive information, including but not limited to Personally

Identifiable Information (PII), shall be subject to a full background investigation commensurate with the level of the risk associated with the job function or work being performed. FEMA’s Personnel Security

Division (PSD) will determine the risk designation for each contractor position by comparing the functions and duties of the position against those of a same or similar federal position, applying the same standard for evaluating the associated potential for impact on the integrity and efficiency of federal service.

Low Risk without Information System Access

Contractor personnel occupying positions or performing functions with a Low Risk designation and who do not require access to DHS or FEMA information systems may undergo a Tier 1 investigation with a credit check and must receive a favorable adjudication thereof from FEMA PSD prior to performing work under this contract. (also reference Facility Access).

Low Risk with Information System Access

Contractor personnel occupying positions or performing functions with a Low Risk designation and who require access to DHS or FEMA information systems shall undergo a Tier 2 Suitability Background

Investigation (T2) and must receive a favorable adjudication thereof from FEMA PSD prior to performing work under this contract.

Moderate Risk

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Contractor personnel occupying positions or performing functions with a Moderate Risk designation shall undergo a Tier 2 Suitability Background Investigation (T2) and must receive a favorable adjudication thereof from FEMA PSD prior to performing work under this contract.

High Risk

Contractor personnel occupying positions or performing functions with a High Risk designation shall undergo a Tier 4 Suitability Background Investigation (T4) and must receive a favorable adjudication thereof from FEMA PSD prior to performing work under this contract.

Background Investigation Process

To initiate the request to process contractor personnel, the Contractor shall provide the FEMA

Contracting Officer’s Representative (COR) with all required information and comply with all necessary instructions to complete Section II of the FEMA Form 121-3-1-6, “Contract Fitness/Security Screening

Request.” The FEMA COR shall ensure that all other applicable sections of the FEMA Form 121-3-1-6 are complete prior to submitting the form to FEMA PSD for processing. The Contractor shall also provide the FEMA COR with completed OF 306, “Declaration for Federal Employment,” forms for all contractor personnel.

Contractor personnel who already have a favorably adjudicated background investigation, may be eligible to perform work under this contract without further processing by FEMA PSD if:

§ the investigation was completed within the last five years, § it meets or exceeds the minimum requirement for the position they will occupy or functions they will perform on this contract, § the contractor personnel have not had a break in employment since the prior favorable adjudication, and, § FEMA PSD has verified the investigation and confirmed that no new derogatory information has been disclosed which may require a reinvestigation.

FEMA PSD will notify the COR of the names of the contractor personnel eligible to work based on prior, favorable adjudication. The COR will, in turn, notify the Contractor of the names of the favorably adjudicated contractor personnel, at which time the favorably adjudicated contractor personnel will be eligible to begin work under this contract.

For those contractor personnel who do not have an acceptable, prior, favorable adjudication or who otherwise require reinvestigation, FEMA PSD will issue an electronic notification via email directly to the contractor applicant/personnel that contains the following documents, which are incorporated into this contract by reference, along with a link to the National Background Investigation Services (NBIS) e-

Application (eAPP) online system and instructions for submitting the necessary information:

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§ Standard Form 85P, “Questionnaire for Public Trust Positions”

§ Optional Form 306, “Declaration for Federal Employment”

§ SF 87, “Fingerprint Card” (2 copies)

§ DHS Form 11000-6, “Non-Disclosure Agreement”

§ DHS Form 11000-9, “Disclosure and Authorization Pertaining to Consumer Reports Pursuant to the Fair Credit Reporting Act”

FEMA PSD will only accept complete packages consisting of all of the above document and Standard

Form 85P, which must be completed electronically through the National Background Investigation

Services (NBIS) e-Application (eAPP) online system. The Contractor is responsible for ensuring that all contractor personnel timely and properly submit all required background information.

Once contractor personnel have properly submitted the complete package of all required background information, FEMA’s Personnel Security Division, at its sole discretion, may grant contractor personnel temporary eligibility to perform work under this contract prior to completion of the full background investigation if the Personnel Security Division’s initial review of the contractor personnel’s background information reveals no issues of concern. In such cases, FEMA’s Personnel Security Division will provide notice of such temporary eligibility to the COR who will then notify the Prime Contractor, at which time the identified contractor personnel will be temporarily eligible to begin work under this contract. Neither the Prime Contractor nor the contractor personnel has any right to such a grant of temporary eligibility. The grant of such temporary eligibility shall not be considered as assurance that the contactor personnel will remain eligible to perform work under this contract upon completion of and final adjudication of the full background investigation.

Upon favorable adjudication of the full background investigation, FEMA’s Personnel Security Division will update the contractor personnel’s security file and take no further action. In any instance where the final adjudication results in an unfavorable determination FEMA’s Personnel Security Division will notify the contractor personnel directly, in writing, of the decision and will provide the COR with the name(s) of the contractor personnel whose adjudication was unfavorable. The COR will then forward that information to the Contractor. Contractor personnel who receive an unfavorable adjudication shall be ineligible to perform work under this contract. Unfavorable adjudications are final and not subject to review or appeal.

Continued Eligibility and Reinvestigation

Eligibility determinations based on a Low Risk T1, Moderate Risk T2S or High Risk T4 are valid for five years from the date that the investigation was completed and closed. Contractor personnel required to undergo a background investigation to perform work under this contract shall be ineligible to perform work under this contract upon the expiration the background investigation unless and until the contractor

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Exclusion by Contracting Officer

The Contracting Officer, independent of FEMA’s Personnel Security Division, may direct the Contractor be excluded from working on this contract. Any contractor found or deemed to be unfit or whose continued employment on the contract is deemed contrary to the public interest or inconsistent with the best interest of the agency may be removed.

Foreign Travel and Government-Issued Equipment

Per DHS and FEMA IT policy, FEMA employees and contractors are not authorized to take government-issued equipment, including cell phones, computers, or tablets such as iPads, outside of the United States regardless of the reason for travel. If government-issued equipment is required for official foreign travel, FEMA government employees may request a temporary loaner device through the Mobility Service

Center.Office of the Chief Information Officer, Service Center, Service Center for the duration of their trip. FEMA contractors must contact their contracting officer’s representative (COR) for further guidance.

If your device is detected as operating outside of the United States and its territories it will be disabled, and your information will be forwarded to the Office of Professional Responsibility for review.

10. Facility Access

The Contractor shall comply with FEMA Directive 121-1 “FEMA Personal Identity Verification

Guidance,” FEMA Directive 121-3 “Facility Access,” and FEMA Manual 121-3-1 “FEMA Credentialing

Access Manual,” to arrange for contractor personnel’s access to FEMA facilities, which includes, but is not limited to, arrangements to obtain any necessary identity badges for contractor personnel.

Contractor personnel working within any FEMA facility who do not require access to DHS or FEMA IT systems and do not qualify for a PIV Card may be issued a Facility Access Card (FAC). FACs cannot exceed 180 days; all contractors requiring access greater than 180 days will need to qualify for and receive a PIV card before being allowed facility access beyond 180 days.

Contractor personnel shall not receive a FAC until they have submitted a SF 87, “Fingerprint Card,” and an OF306, Declaration for Federal Employment, and receive approval from FEMA PSD. Contractor personnel using a FAC for access to FEMA facilities must be escorted in Critical Infrastructure areas (i.e., server rooms, weapons rooms, mechanical rooms, etc.) at all times.

FEMA may deny facility access to any contractor personnel whom FEMA’s Office of the Chief Security

Officer has determined to be a potential security threat.

Separation of Contract

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The Contractor shall notify the FEMA COR of all terminations/resignations within five calendar days of occurrence. The Contractor must account for all forms of Government-provided identification issued to contractor employees under a contract (i.e., the PIV cards or other similar badges) must return such identification to FEMA as soon as any of the following occurs:

• When no longer needed for contract performance.

• Upon completion of a contractor employee’s employment.

• Upon contract completion or termination.

If an identification card or building pass is not available to be returned, the Contractor shall submit a report to the FEMA COR, referencing the pass or card number, name of the individual to whom it was issued, and the last known location and disposition of the pass or card.

The Contractor or contractor personnel’s failure to return all DHS- or FEMA-issued identification cards and building passes upon expiration, upon the contractor personnel’s removal from the contract, or upon demand by DHS or FEMA may subject the contractor personnel and the Contractor to civil and criminal liability.

11. WARRANTY

The work will be guaranteed during the contract award date and result of work is accepted by the U.S.

Government. The Contractor shall give a one-year warranty on parts and labor after final acceptance by the government.

12. PROJECT OFFICER

The project officers for this work:

This information will be distributed to the company that wins the award.