SOW - Common Fund Budget Management.pdf

Statement of Work

1. Common Fund Budget Management

US Department of Health and Human Services, National Institutes of Health (NIH), Office of the Director, Division of Program Coordination, Planning and Strategic Initiatives (DPCPSI), Office of Strategic Coordination (OSC) – The NIH Common Fund

2. Background

OSC oversees the NIH Common Fund – an over $575 million annual appropriation that supports research in areas of emerging scientific opportunities, rising public health challenges, and knowledge gaps that deserve special emphasis that would benefit from strategic coordination and planning across the NIH

Institutes and Centers (ICs). Common Fund programs are administered by Working Groups (WGs) comprising staff across the 27 ICs. There are nearly 30 unique WGs – one for each Common Fund program. Careful budget management across these programs and across the ICs is critical to the success of the Common Fund. This requirement demands budget management and equivalent to a GS-15 budget officer, and the knowledge of IT and relational databases.

3. Objectives

The NIH Office of the Director/Office of Strategic Coordination (OD/OSC) has a need for a Contractor with the skills to manage the federal budget processes of formulation, presentation, and execution for the NIH Common Fund. OSC also has a need for a Contractor with expertise in the administration of databases used for budget tracking, budget reporting, budget planning, and cost accounting for federal grant programs. The Contractor shall develop, coordinate, monitor, and communicate the budget details to other budget officers and high-level government officials.

4. Contract Type

Firm Fixed Price contract for all tasks.

5. Services to be performed

5.1 Specific Tasks

5.1.1 Task 1 - Provide daily management of the NIH Common Fund budget.

Formulation

• Use Office of Management and Budget (OMB), Department of Health and Human Services

(HHS), and NIH guidance to develop the projected commitment base for different budget mechanisms for future fiscal years.

• Develop mechanism tables and initiative tables that convey current and future funding.

• Work closely with programmatic staff to predict and explain increases and decreases in program budgets.

Presentation

• Work with OSC and NIH staff to prepare the annual OMB Justification and Congressional

Justification submissions for the Common Fund.

Execution

• Help coordinate responses to members of Congress on budgets questions regarding the

Common Fund.

• Coordinate the process of setting annual operating budgets for each of the approximately 30

Common Fund programs

• Assist ICs in identifying Research Management Support (RMS) and Intramural Research Program

(IRP) needs to run each Common Fund program. Coordinate the transfer of these funds to ICs via dozens of interagency agreements.

• Advise OSC and IC staff on the availability of funds in each program and provide guidance on how to adjust program budgets to shift funds between projects.

• Evaluate each request to pay new awards to ensure the awards are within budget. Identify opportunities to reclaim or shifts funds when needed.

• Ensure the entire Common Fund budget has been spent by carefully tracking each obligation and working with IC staff to identify last minute options to spend funds.

• Monitor expenditures; prepare and present budget reports.

• Gather budget information from NIH Institutes and Centers.

• Respond to budget data calls from various internal and external audiences.

• Report from other NIH-wide grant, budget, and accounting systems.

• Guide and train members of the OSC staff to assist in the tracking and management of Common

Fund programs.

5.1.2 Task 2 – Administer online budget tracking tools.

• Serve as Administrator of the C-Fund$ and SID databases and other budget resources. Ensure all data is up-to-date and accurate.

• On a daily basis, load new data from NIH systems in our budget databases. Check for and resolve any discrepancies that occur across these databases.

• Enter data that is not managed by other NIH systems.

• Ensure that awards and other data are coded correctly in the various NIH systems.

• Resolve issues, especially end-of-year issues, associated with loading grants and awards into the database.

• Make recommendations on how to improve or redesign the data architecture of the C-Fund$ and SID databases in order to take advantage of new NIH resources or changes in OSCs tracking needs.

• Assist with C-Fund$ and SID table modifications when new programs and activity codes are established.

• Design and serve as data architect on other budget tracking tools and databases. Design table structures and relationships, queries, forms, and reports.

• Create new reports as needed to assist OSC staff in tracking the budget of the Common Fund.

• Instruct NIH staff on the use of these databases o Tracking number of submitted applications, accepted applications, number of applications in various stages.

o Provide summary data, e.g. Totals and Summaries.

5.1.3 Task 3 – Coordinate and Communicate across IC leadership.

• Coordinate budget communications with NIH Institutes and Centers. Interact regularly with IC budget officers, budget staff, and WG leadership to explain the Common Fund budget processes and assist with resolving budgetary issues.

• Provide regular reports to IC colleagues on the status of their program budgets, expenses, and funds available.

• Participate in NIH Budget Officer meetings to provide insight as to how IC systems and processes may intersect with Common Fund systems and processes.

• Coordinate with the Office of the Director (OD) budget office on issues involving the entire OD budget (including the Common Fund).

• Remain apprised of changes regarding NIH budget management by participating in trainings, conferences, and workshops.

• Represent the perspective of the OD/OSC in budget working groups, committees, and meetings.

5.2 Period of Performance:

The base period of performance is one year (12 months) from the date of contract award. There are four option periods of one year (12 months) each. Option periods are subject to availability of funds and may be unilaterally exercised by the Government. (Dates subject to changes based on award)

Base Period: September 30, 2020 through September 29, 2021

Option Period 1: September 30, 2021 through September 29, 2022

Option Period 2: September 30, 2022 through September 29, 2023

Option Period 3: September 30, 2023 through September 29, 2024

Option Period 4: September 30, 2024 through September 29, 2025

5.3 Deliverables:

Deliverable Required Due Dates

Standards-Criteria for Acceptable

Quality Level

The Contractor shall provide daily updates to budget tracking databases

Daily reports from systems reflect recent budget decisions.

100% compliance with Government requirements and

Technical Monitor

The Contractor shall provide monthly updates to IC colleagues on the status of project budgets.

Delivered by the last business day of every month.

100% compliance with Government requirements and

Technical Monitor

The Contractor shall develop spreadsheets and databases to help manage and communicate budget and award data.

Delivered as needed by request of OSC staff.

100% compliance with Government requirements and

Technical Monitor

The Contractor shall provide monthly status reports

Delivered by the 15th of every month

100% compliance with Government requirements and

Technical Monitor

6. Program Management and Control Requirements

6.1 Contractor Requirements

All work shall be performed in a professional manner and meet or exceed the government standards for performance. Contractor agrees to use its best efforts to undertake, carry out and complete for

Government, in a satisfactory and competent manner, all work and services described in the scope of work. Contractor agrees to maintain liaison with the Government to ensure a well-integrated project effort.

All information and materials developed pursuant to this contract are the property of the U.S.

Government and fall within the purview of the Freedom of Information Act. The Contractor is enjoined against unauthorized release of the facts, findings, and written materials from this contract without the expressed, written authorization of the Contracting Officer’s Representative. The Contractor and any employees, consultants, or subcontractors shall be required to sign and abide by a non-disclosure agreement before commencing work.

Pursuant to FAR 7.5, the Contractor shall not perform any inherently Governmental actions under this contract. No Contractor employee shall hold him or herself out to be a Government employee, agent, or representative. No Contractor employee shall state orally or in writing at any time that he or she is acting on behalf of the Government. In all communications with third parties in connection with this contract, Contractor employees shall identify themselves as Contractor employees and specify the name of the company for which they work. In all communications with other Government contractors in connection with this contract, the Contractor employee shall state that they have no authority to in any way change the contract and that if the other contractor believes this communication to be a direction to change their contract, they should notify the Contracting Officer for that contract and not carry out the direction until a clarification has been issued by the Contracting Officer.

The Contractor shall ensure that all of its employees working on this contract are informed of the substance of this article. Nothing in this article shall limit the Government’s rights in any way under the other provisions of the contract, including those related to the Government’s right to inspect and accept the services to be performed under this contract. The substance of this article shall be included in all subcontracts at any tier.

6.2 Privacy Act

The Contractor shall gather, process, maintain, analyze, and report data in accordance with Privacy Act guidelines and requirements and in accordance with the Office of Management and Budget (OMB) restrictions on information collection (see Paperwork Reduction Act at 44 U.S.C. 3501 et seq.). This

Statement of Work requires the Contractor to access data covered under Privacy Act System of Records to include but not limited to:

09-25-0036, Extramural Awards and Chartered Advisory Committees (IMPAC 2), Contract Information

(DCIS), and Cooperative Agreement Information, HHS/NIH).

09-25-0156, Records of Participants in Programs and Respondents in Surveys Used to Evaluate Programs of the National Institutes of Health

The Contractor agrees to comply with the policies and practices defined in the System of Records listings for this data and any other Privacy Act system the Contractor may have access to, and to the Privacy Act clauses for FAR 52.224.1 and 52.224-2, herein incorporated by reference. All data collected and datasets created shall be provided to the U.S. Government at the conclusion of this contract or upon request. The Contractor shall retain no copies of data or other information collected or created under this contract. Furthermore, the Contractor shall strive to minimize the resulting burden placed on respondents when collecting data from Budget Officers or individuals.

6.3 Security

6.3.1 Homeland Security Presidential Directive (HSPD)-12

To perform the work specified herein, Contractor personnel are expected to have routine (1) physical access to an HHS-controlled facility; (2) physical access to an HHS-controlled information system; (3) https://oma.od.nih.gov/Forms/privacy%20Documents/pafiles/0036.htm https://oma.od.nih.gov/Forms/privacy%20documents/pafiles/0156.htm access to sensitive HHS data or information, whether in an HHS-controlled information system or in hard copy; or (4) any combination of circumstances (1) through (3).

To gain routine physical access to an HHS-controlled information system, and/or access to sensitive data or information, the Contractor and its employees shall comply with Homeland Security Presidential

Directive (HSPD)-12, Policy for a Common Identification Standard for Federal Employees and

Contractors; Office of Management and Budget Memorandum (M-05-24); and Federal Information

Processing Standards Publication (FIPS PUB) Number 201; and with the personal identity verification and investigations procedures contained in the following documents:

1. HHS Information Security Program Policy ( https://www.hhs.gov/about/agencies/asa/ocio/cybersecurity/index.html )

2. HHS Office of National Security, Personnel Security/Suitability Handbook, dated February 1, 2005 ( http://www.hhs.gov/ohr/manual/pssh.pdf )

3. HHS HSPD-12 Policy Document, v. 2.0 ( http://www.whitehouse.gov/sites/default/files/omb/assets/omb/memoranda/fy2005/m05- 24.pdf )

The Contractor shall include language similar to this "HHS Controlled Facilities and Information Systems

Security" language in all subcontracts that require subcontractor personnel to have the same frequency and duration of (1) physical access to an HHS-controlled facility; (2) logical access to an HHS-controlled information system; (3) access to sensitive HHS data/information, whether in an HHS-controlled information system or in hard copy; or (4) any combination of circumstances (1) through (3).

The Contractor shall direct inquiries, including requests for forms and assistance, to the Contracting

Officer.

6.3.2 Federal Information Security Management Act

The Federal Information Security Management Act of 2002 (P.L. 107-347) (FISMA) requires each agency to develop, document, and implement an agency-wide information security program to safeguard information and information systems that support the operations and assets of the agency, including those provided or managed by another agency, contractor (including subcontractor), or other source.

The National Institute of Standards and Technology (NIST) has issued a number of publications that provide guidance in the establishment of minimum-security controls for management, operational and technical safeguards needed to protect the confidentiality, integrity and availability of a Federal information system and its information.

This Statement of Work requires the Contractor to perform one, or any combination, of the following:

Develop, have the ability to access or host and/or maintain a Federal information system(s).

https://www.hhs.gov/about/agencies/asa/ocio/cybersecurity/index.html http://www.hhs.gov/ohr/manual/pssh.pdf http://www.whitehouse.gov/sites/default/files/omb/assets/omb/memoranda/fy2005/m05-24.pdf http://www.whitehouse.gov/sites/default/files/omb/assets/omb/memoranda/fy2005/m05-24.pdf http://www.whitehouse.gov/sites/default/files/omb/assets/omb/memoranda/fy2005/m05-24.pdf

Pursuant to Federal and HHS Information Security Program Policies the following requirements apply to this Work Order: Federal Information Security Management Act of 2002 (FISMA), Title III, E-Government

Act of 2002, Pub. L. No. 107-347 (Dec. 17, 2002); http://csrc.nist.gov/drivers/documents/FISMA-final.pdf

6.4 Place of Performance and Government Furnished Equipment

Office space, computer equipment (desktop and laptop), and specialized software will be provided by the OSC. The Contractor may also regularly work offsite. The Contractor shall meet with OSC and IC staff regularly, so regular trips to the NIH Main Campus and off-campus offices are expected.

7. Post-Award Administration

Performance Evaluations will be completed annually at the end of each contract year.

8. Key Personnel

Budget expert consultant/IT Consultant

8.1 Skills and Knowledge

Skilled, experienced personnel are essential for accomplishing the work to be performed. Key personnel shall be identified by name and title/job classification in Contractor proposals.

The Contractor must possess administrative management skills and the ability to coordinate complex projects in a very short time frame.

The Contractor must possess expert knowledge of federal grants policies, federal budget procedures, and research grant mechanisms.

The Contractor must have experience in designing the data architecture of federal budget databases that focus on grants management. In particular, the Contractor should have experience setting up tables, relationships, queries, forms, and reports for relational databases.

The Contractor must have experience responding to Congressional and OMB requests.

The Contractor must have experience communicating budget information to high-level government officials.

http://csrc.nist.gov/drivers/documents/FISMA-final.pdf

8.2 Substitutions

The Contractor agrees that key personnel shall not be removed from the contract effort, replaced or added to the contract without a compelling reason. The Government will not approve substitutions for the sole convenience of the Contractor.

If any change to the key personnel position becomes necessary (substitutions or additions), the

Contractor shall immediately notify the Contracting Officer in writing, accompanied by the resume of the proposed replacement personnel who shall be of at least substantially equal ability and qualifications as the individuals currently approved for that category.

No substitution or replacement of the key personnel shall be approved within the first ninety (90) days after contract award.

All requests for approval of changes hereunder must be in writing, via email, and provide a detailed explanation of circumstances necessitating the proposed change. Request for changes should be made whenever the need is identified. Beside the resume, the request must also provide:

• A comparison of skills and qualifications to those set forth in the accepted resume proposed for substitution;

• A signed employee procurement integrity agreement;

• Number of hours the Contractor shall provide at his/her own expense to train the proposed replacement, and

• Any other information requested by the Contracting Officer to reach a decision.