1.1.4 SOW1 Janitroial Svcs_BAA Comments.pdf

Statement of Work (SOW}

EM-3442 Navajo Nation

Janitorial Services

Dated: 06/12/2020

SCOPE: The Contractor shall furnish all labor, tools, equipment, materials, consumable items and supervision to perform janitorial services at FEMA lease facility at the DODE building (Navajo Department of Education) Windowrock Arizona .

LOCATION OF WORK: The location of the facility to be serviced and The total area to be serviced may vary from a nominal space greater than or equal to 10,000 sq. ft with office space less than or equal to 5,000 sqft. Office spaces and common areas may include carpeted floors, tiled floors, plywood floors, shelving, office desks, conference rooms, waiting areas, restrooms, breakrooms, kitchenettes, and trash receptacles.

2. PERFORMANCE OF WORK ON GOVERNMENT FACILITIES:

2.1 There may be limited space to store janitorial supplies at each facility. Where designated the space available for use by the contractor is on a share basis with the Government. The contractor may use this area without cost for the purpose of storage of equipment and materials, excluding flammable materials.

Contractors will be responsible for the orderliness and cleanliness of this space.

2.2 The Government will not be responsible in any way for damage occasioned by fire, theft, accidents or otherwise, to the contractor's stored supplies, materials or equipment; the supplies, materials or equipment kept throughout the building; or the contractor's employees' personal belongings brought in to the location.

2.3 Contractor shall notify the assigned Contracting Officer Representative (COR) of any inoperative water fixtures, lights, water closets, ext., damage to buildings; as well as any insect, rodent, or other vermin.

2.4 Damage to Finishes and Appurtenance: It shall be the responsibility of the contractor to rectify any damage caused to government property by the contractor's employees during the course of this contract.

2.5 Contractor's employees shall not remain in the buildings longer than necessary to complete the job.

3. FACILITY ACCESS: The contractor shall be allowed access to the locations during the hours outlined in attached CRC location file., seven days a week except for the observance of Federal holidays.

4. SAFETY: The Contractor shall be responsible for instructing contractor employees in OSHA safety measures. The contractor shall not permit the placement or use of mops, brooms or other implements to create safety hazards and shall provide appropriate warning signs for slippery floor areas caused by cleaning or waxing operations.

5. ENVIRONMENTAL CONSIDERATIONS: Cleaning solutions shall be used in strict conformance with the product's Environmental Protection Agency (EPA) and Navajo Nation requirements. All manufactures' instructions and recommendations for the use of cleaning solutions shall be strictly followed. In addition, the contractor shall comply with all federal, state, or local laws and regulations concerning the, use, storage, and disposal of hazardous materials.

Bio-based Product Certification is required for performance under this statement of work. Bio-based products to be used or delivered in the performance of the contract, other than bio-based products that are not purchased by the offeror as a direct result of this contract shall adhere to the requirements of

Federal Acquisition Regulation (FAR) Clause 52.223-1 and 52.223-9

6. CONTRACTOR SUPERVISION: The contractor shall provide supervision of contractor employees to assure compliance and satisfactory performance. The contractor or its representative shall be available to meet with FEMA personnel within 12 hours of notification if necessary. During working hours, this representative shall be available to receive complaints and directions via telephone or fax.

6.1 The Contractor's employee attire shall be as neat and clean as practical while performing their duties. Each employee shall wear a FEMA- issued security credential clearly visible around the neck or clipped to a shirt pocket at all times.

6.2 Interference with Business: The work shall be carried on in such a manner that there will be minimal interruption to, or interference with the proper execution of Government business. All persons employed in the work, while on the premises, shall comply with all building regulations. FEMA personnel will not cause unnecessary delays (during janitorial cleaning) when offices or office areas need cleaning.

Contact the COR if there are problems.

7. INSPECTION BY THE GOVERNMENT: Inspection of the contractor's work will be made by the COR or designated task monitor. The COR or task monitor has authority to point out corrective measures, but does not have authority to alter the terms or conditions of the contract. . All discrepancies pointed out will be corrected immediately. No payment shall be made for services that are not performed in accordance with the specifications.

8. CLEANUP: The contractor shall keep all supplies, equipment and machines clear of traffic lanes, other areas where they might be hazardous. Dispose of cloths, mops, or brushes containing a residue of wax or other combustible material subject to spontaneous ignition or store outside the buildings in tight containers. After completing the work, dispose of all dirt and debris daily resulting from work under_ this contract. Place debris in dumpster located at the site.

9. INVOICES: The contractor shall submit a monthly invoice to the address in the contract.

10. OTHER CONTRACTS: The Government may undertake or award other contracts for additional work, such as painting and building and equipment repair. The contractor shall fully cooperate with such other contractors and government employees and carefully fit his own work to such additional work as may be directed by the Contracting Officer. The contractor shall not commit or permit any act which will interfere with the performance of work by any other contractor, or by government employees.

11. LOST AND FOUND: It is the responsibility of the Contractor to ensure that all articles of possible personal or monetary value found by the Contractors employees are turned in to the (COR) or Security.

12. SUPPLIES AND EQUIPMENT: The contractor shall provide all labor, equipment and supplies for the accomplishment of all janitorial work.

13. DUMPSTERS: Dumpsters are provided by the Government and may be used by the contractor at no cost. The contractor shall not dispose of any hazardous material or any item which protrudes from the container in any way.

14. PERFORMANCE STANDARDS

14.1 The contractor SHALL WIPE DOWN SOLID,HIGH CONTACT SURFACES using a disinfectant from the EPA-registered list of products identified as effective against Novel Coronavirus SARS-CoV-2 (see list) , or other product containing the same active ingredient(s) at the same or greater concentration than those on the list. Contractor shall use the product in accordance with directions provided by the manufacturer. Examples of solid, high contact surfaces include but are not limited to: handrails, door knobs, key cards, light switches, countertops, water faucets and handles, work surfaces, computer keypads and mouse, elevator buttons, sinks, toilets and control handles, restroom stall handles, toilet paper and other paper dispensers, door handles and push plates, water cooler and drinking fountain controls. Disinfected surfaces should be allowed to air dry.

14.2 VACUUMING AND SWEEPING A properly vacuumed and swept floor is free of all dirt, dust, grit, lint, and debris except imbedded dirt and imbedded grit. Vacuum and sweep to ensure the area is clean and free of trash, debris and foreign matter. No dirt shall be left in corners, crevices or where sweepings were picked up. Vacuuming and sweeping will be required daily. Spot vacuuming and sweeping will be required as needed.

14.3 MOPPING: Uncarpeted interior floor (except plywood surfaces) shall be properly cleaned after sweeping by mopping any dirt, dust, grit, line, and debris which cannot be removed by additional sweeping. Mopped surfaces shall present a uniform, clean appearance free of debris, dirt, dust, soiled water film, streaks, marks and excess water. A satisfactorily mopped floor is without- dirt and dust, marks, film streaks, debris, and standing water. Mopping shall be required daily with spot mopping being required as needed.

14.4 DUSTING: Dust all exposed air conditioning grilles, mini blinds, doors, comers, . crevices, moldings and ledges within approximately 70 inches from the floor. Dusting shall be required twice per week.

14.5 GLASS: All glass shall be clean and free of dirt, grime, dust, streaks, watermarks and spots and shall not be cloudy. Clean metal doorknobs, thresholds, kick plates, railings and other metal surfaces;

handrails, doors; clean spots and marks off walls. Assure that walls, baseboards and other surfaces remain free of finish residue and marks from equipment.

14.6 MISC.: The contractor shall vacuum or sweep carpeted, entranceways, corridors, main lobbies, hallways, and passageways daily. Mop tile or plywood entranceways, corridors, main lobbies, hallways and passageways daily. Perform surface spot cleaning and dust horizontal surfaces up to approximately 70 inches from the floor. Damp wipe the full surface area of all doors and wastepaper receptacles utilizing a multipurpose (disinfectant-deodorizer) cleaner.

14.7 TOILET ROOMS: The contractor shall clean twice a day toilet rooms and it shall have no odors;

wall and floors shall be kept free of marks at all times. Clean all fixtures, metal chrome surfaces, doorplates, urinals, washbasins, mirrors, waste receptacles, shelving, dispensers and wall surfaces, utilizing a cleaner/disinfectant. Scrub bowl/urinals clean as far into the trap as possible and under the inside rim. Cleaning shall include the seat, interior/exterior of bowl/urinal, flush valve, and polishing piping. This cleaning shall take place once per day.

14.8 EMPTYING WASTE BASKETS/RECEPTACLES: The contractor shall clean twice a day empty waste receptacle, provide paper towels, hand soap, toilet paper. Empty, clean and disinfect sanitary napkin receptacles; replace soiled bags with new ones. Check deodorizers and replace cartridges, when necessary. Collect soiled bags in separate containers for disposal wiping of baskets may be necessary to remove all debris. Reline all wastebaskets with a suitable plastic liner of the appropriate size. The existing liner may be reused if it has not been soiled. Upon completion of this operation, all wastebaskets shall be free from all foreign material. Foreign material includes, but is not limited to, coffee grounds, paper, soda, etc. This shall occur once per day.

14.9 RESTROOMS: URINALS: The urinal fixtures and rim shall be clean twice a day thoroughly cleaned.

Exposed piping, chrome-plated hardware and valves shall be cleaned with a clean damp cloth. The contractor shall install, and/or replace as necessary, deodorizing cake, in all urinals and toilets. All urinal cakes shall be attached so as to not obstruct the normal flow of water.

14.10 LAVATORIES AND SINKS: Grease and dirt shall be clean twice a day removed from all lavatory and sink surfaces. Stains that cannot be removed using soap or detergent solutions may be removed with mild cleaning power. Chrome-plated hardware shall be cleaned with a clean, damp cloth.

14.11 TOILET PAPER DISPENSERS AND PARTITIONS: Toilet paper dispensers and partitions shall be cleaned twice a day with a neutral soap or mild detergent and water solutions followed by damp wiping with a clean cloth and clean water. The interior of dispensers shall be cleaned in the same manner as for exterior surfaces followed by thorough drying if all interior surfaces. Dispensers shall be filled as necessary.

15. BUILDING CLEANING SCHEDULE: All cleaning services shall be performed between the hours of

8:00 AM to 6:00 PM, seven days a week, with the exception of the federally recognized holidays listed in paragraph 16.

16. RECOGNIZED HOLIDAYS: The contractor shall not provide janitorial services on the recognized government holidays. The recognized holidays are: New Year's Day, President's Day, Martin Luther King

Day, Memorial Day, Independence Day, Labor Day, Columbus Day, Veterans' Day, Thanksgiving and

Christmas.

17. ADDITIONAL SECURITY REQUIREMENTS: All contractor employees needing access to Government facilities or installations shall submit to a thorough background investigation. The contractor shall ensure that each employee needing a OHS security credential complete a Form SF 85 Questionnaire for Public

Trust Position and a OHS Form FF 12-62 Personal Identification Verification Credential. All contractor employees must wear a FEMA-issued security credential at all times while in a FEMA facility.

18. CONTRACTING OFFICER REPRESENTATIVE (COR) AND TASK MONITOR: The Contracting Officer

Representative (COR) and Task Monitor (TM) are government employees assigned to assist the Contracting

Officer (CO) and Project Officer (PO) in ensuring contractor performance of services in accordance with the terms and conditions of this contract. The tasks of the COR and TM include:

Notifying the Contracting Officer (CO) and Project Officer (PO) as to the timeliness of performance by the vendor employees in accordance with the terms and conditions of this contract

Performing random surveillance of the vendor employees while they are at the facility

Ensuring compliance with contract requirements insofar as the locations and facilities to be serviced

Advising the CO and PO of nonperformance or unsatisfactory performance issues

The COR and TM shall act as the onsite government representative, but will not have the authority to direct the contractor or authorize any verbal or written changes to the terms and conditions of the contract. The Contracting Officer shall maintain this authority.

The Contracting Officer Representative (COR) and Task Monitor (TM) assigned to this contract are identified in the Call Award document.

19. Period of Performance: Base Period: Three (3) Months

Option Period I: One (1) Month

Option Period II: One (1) Month

Option Period III: One (1) Month

20. Security Language: SECURITY: All personnel require access to information up to the sensitive but unclassified, for official use only (FOUO) levels. Contractor must ensure contractor employees’ receive a favorably adjudicated public trust suitability 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.

OPSEC Training:

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

Access to the briefing can be obtained at http://cdsetrain.dtic.mil/opsec

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.

Insider Threat Training:

Insider Threat training for Contractors can be found at: http://cdsetrain.dtic.mil/itawareness/index.htm.

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 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:

1. Be aware of and comply with the safeguarding requirements for “For Official Use Only” (FOUO) information as outlined in this directive.

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

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

https://securityawareness.usalearning.gov/unauthorizedrefresher/index.htm http://cdsetrain.dtic.mil/opsec http://cdsetrain.dtic.mil/itawareness/index.htm

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 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.

21: SAFEGUARDING OF SENSITIVE INFORMATION (MAR 2015)

(a) Applicability. This clause applies to the Contractor, its subcontractors, and Contractor employees (hereafter referred to collectively as “Contractor”). The Contractor shall insert the substance of this clause in all subcontracts.

(b) Definitions. As used in this clause—

“Personally Identifiable Information (PII)” means information that can be used to distinguish or trace an individual's identity, such as name, social security number, or biometric records, either alone, or when combined with other personal or identifying information that is linked or linkable to a specific individual, such as date and place of birth, or mother’s maiden name. The definition of PII is not anchored to any single category of information or technology. Rather, it requires a case-by-case assessment of the specific risk that an individual can be identified. In performing this assessment, it is important for an agency to recognize that non-personally identifiable information can become personally identifiable information whenever additional information is made publicly available—in any medium and from any source—that, combined with other available information, could be used to identify an individual.

PII is a subset of sensitive information. Examples of PII include, but are not limited to: name, date of birth, mailing address, telephone number, Social Security number (SSN), email address, zip code, account numbers, certificate/license numbers, vehicle identifiers including license plates, uniform resource locators (URLs), static Internet protocol addresses, biometric identifiers such as fingerprint, voiceprint, iris scan, photographic facial images, or any other unique identifying number or characteristic, and any information where it is reasonably foreseeable that the information will be linked with other information to identify the individual.

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

“Sensitive Information” is defined in HSAR clause 3052.204-71, Contractor Employee Access, as any information, which if lost, misused, disclosed, or, without authorization is accessed, or modified, could adversely affect the national or homeland security interest, the conduct of Federal programs, or the privacy to which individuals are entitled under section 552a of Title 5, United States Code (the Privacy Act), but which has not been specifically authorized under criteria established by an Executive Order or an Act of Congress to be kept secret in the interest of national defense, homeland security or foreign policy. This definition includes the following categories of information:

(1) Protected Critical Infrastructure Information (PCII) as set out in the Critical Infrastructure Information Act of 2002 (Title II, Subtitle B, of the Homeland Security Act, Public Law 107- 296, 196 Stat. 2135), as amended, the implementing regulations thereto (Title 6, Code of Federal Regulations, Part 29) as amended, the applicable PCII Procedures Manual, as amended, and any supplementary guidance officially communicated by an authorized official of the Department of Homeland Security (including the PCII Program Manager or his/her designee);

(2) Sensitive Security Information (SSI), as defined in Title 49, Code of Federal Regulations, Part 1520, as amended, “Policies and Procedures of Safeguarding and Control of SSI,” 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 his/her designee);

(3) Information designated as “For Official Use Only,” which is unclassified information of a sensitive nature and the unauthorized disclosure of which could adversely impact a person’s privacy or welfare, the conduct of Federal programs, or other programs or operations essential to the national or homeland security interest; and

(4) Any information that is designated “sensitive” or subject to other controls, safeguards or protections in accordance with subsequently adopted homeland security information handling procedures.

“Sensitive Information Incident” is an incident that includes the known, potential, or suspected exposure, loss of control, compromise, unauthorized disclosure, unauthorized acquisition, or unauthorized access or attempted access of any Government system, Contractor system, or sensitive information.

“Sensitive Personally Identifiable Information (SPII)” is a subset of PII, which if lost, compromised or disclosed without authorization, could result in substantial harm, embarrassment, inconvenience, or unfairness to an individual. Some forms of PII are sensitive as stand-alone elements. Examples of such PII include: Social Security numbers (SSN), driver’s license or state identification number, Alien Registration Numbers (A-number), financial account number, and biometric identifiers such as fingerprint, voiceprint, or iris scan. Additional examples include any groupings of information that contain an individual’s name or other unique identifier plus one or more of the following elements:

(1) Truncated SSN (such as last 4 digits)

(2) Date of birth (month, day, and year)

(3) Citizenship or immigration status

(4) Ethnic or religious affiliation

(5) Sexual orientation

(6) Criminal History

(7) Medical Information

(8) System authentication information such as mother’s maiden name, account passwords or personal identification numbers (PIN)

Other PII may be “sensitive” depending on its context, such as a list of employees and their performance ratings or an unlisted home address or phone number. In contrast, a business card or public telephone directory of agency employees contains PII but is not sensitive.

(c) Authorities. The Contractor shall follow all current versions of Government policies and guidance accessible at http://www.dhs.gov/dhs-security-and-training-requirements-contractors, or available upon request from the Contracting Officer, including but not limited to:

(1) DHS Management Directive 11042.1 Safeguarding Sensitive But Unclassified (for Official Use Only) Information

(2) DHS Sensitive Systems Policy Directive 4300A

(3) DHS 4300A Sensitive Systems Handbook and Attachments

(4) DHS Security Authorization Process Guide

(5) DHS Handbook for Safeguarding Sensitive Personally Identifiable Information

(6) DHS Instruction Handbook 121-01-007 Department of Homeland Security Personnel Suitability and Security Program

(7) DHS Information Security Performance Plan (current fiscal year)

(8) DHS Privacy Incident Handling Guidance

(9) Federal Information Processing Standard (FIPS) 140-2 Security Requirements for Cryptographic Modules accessible at http://csrc.nist.gov/groups/STM/cmvp/standards.html

(10) National Institute of Standards and Technology (NIST) Special Publication 800-53 Security and Privacy Controls for Federal Information Systems and Organizations accessible at http://csrc.nist.gov/publications/PubsSPs.html

(11) NIST Special Publication 800-88 Guidelines for Media Sanitization accessible at http://csrc.nist.gov/publications/PubsSPs.html

(d) Handling of Sensitive Information. Contractor compliance with this clause, as well as the policies and procedures described below, is required.

(1) Department of Homeland Security (DHS) policies and procedures on Contractor personnel security requirements are set forth in various Management Directives (MDs), Directives, and Instructions. MD 11042.1, Safeguarding Sensitive But Unclassified (For Official Use Only) Information describes how Contractors must handle sensitive but unclassified information. DHS uses the term “FOR OFFICIAL USE http://www.dhs.gov/dhs-security-and-training-requirements-contractors http://csrc.nist.gov/groups/STM/cmvp/standards.html

ONLY” to identify sensitive but unclassified information that is not otherwise categorized by statute or regulation. Examples of sensitive information that are categorized by statute or regulation are PCII, SSI, etc. The DHS Sensitive Systems Policy Directive 4300A and the DHS 4300A Sensitive Systems Handbook provide the policies and procedures on security for Information Technology (IT) resources. The DHS Handbook for Safeguarding Sensitive Personally Identifiable Information provides guidelines to help safeguard SPII in both paper and electronic form. DHS Instruction Handbook 121-01-007 Department of Homeland Security Personnel Suitability and Security Program establishes procedures, program responsibilities, minimum standards, and reporting protocols for the DHS Personnel Suitability and Security Program.

(2) The Contractor shall not use or redistribute any sensitive information processed, stored, and/or transmitted by the Contractor except as specified in the contract.

(3) All Contractor employees with access to sensitive information shall execute DHS Form 11000-6, Department of Homeland Security Non-Disclosure Agreement (NDA), as a condition of access to such information. The Contractor shall maintain signed copies of the NDA for all employees as a record of compliance. The Contractor shall provide copies of the signed NDA to the Contracting Officer’s Representative (COR) no later than two (2) days after execution of the form.

(4) The Contractor’s invoicing, billing, and other recordkeeping systems maintained to support financial or other administrative functions shall not maintain SPII. It is acceptable to maintain in these systems the names, titles and contact information for the COR or other Government personnel associated with the administration of the contract, as needed.

(e) Authority to Operate. The Contractor shall not input, store, process, output, and/or transmit sensitive information within a Contractor IT system without an Authority to Operate (ATO) signed by the Headquarters or Component CIO, or designee, in consultation with the Headquarters or Component Privacy Officer. Unless otherwise specified in the ATO letter, the ATO is valid for three

(3) years. The Contractor shall adhere to current Government policies, procedures, and guidance for the Security Authorization (SA) process as defined below.

(1) Complete the Security Authorization process. The SA process shall proceed according to the DHS Sensitive Systems Policy Directive 4300A (Version 11.0, April 30, 2014), or any successor publication, DHS 4300A Sensitive Systems Handbook (Version 9.1, July 24, 2012), or any successor publication, and the Security Authorization Process Guide including templates.

(i) Security Authorization Process Documentation. SA documentation shall be developed using the Government provided Requirements Traceability Matrix and Government security documentation templates. SA documentation consists of the following: Security Plan, Contingency Plan, Contingency Plan Test Results, Configuration Management Plan, Security Assessment Plan, Security Assessment Report, and Authorization to Operate Letter. Additional documents that may be required include a Plan(s) of Action and Milestones and Interconnection Security Agreement(s).

During the development of SA documentation, the Contractor shall submit a signed SA package, validated by an independent third party, to the COR for acceptance by the Headquarters or Component CIO, or designee, at least thirty (30) days prior to the date of operation of the IT system. The Government is the final authority on the compliance of the SA package and may limit the number of resubmissions of a modified SA package. Once the ATO has been accepted by the Headquarters or Component CIO, or designee, the Contracting Officer shall incorporate the ATO into the contract as a compliance document. The Government’s acceptance of the ATO does not alleviate the Contractor’s responsibility to ensure the IT system controls are implemented and operating effectively.

(ii) Independent Assessment. Contractors shall have an independent third party validate the security and privacy controls in place for the system(s). The independent third party shall review and analyze the SA package, and report on technical, operational, and management level deficiencies as outlined in NIST Special Publication 800-53 Security and Privacy Controls for Federal Information Systems and Organizations. The Contractor shall address all deficiencies before submitting the SA package to the Government for acceptance.

Support the completion of the Privacy Threshold Analysis (PTA) as needed. As part of the SA process, the Contractor may be required to support the Government in the completion of the PTA.

The requirement to complete a PTA is triggered by the creation, use, modification, upgrade, or disposition of a Contractor IT system that will store, maintain and use PII, and must be renewed at least every three (3) years. Upon review of the PTA, the DHS Privacy Office determines whether a Privacy Impact Assessment (PIA) and/or Privacy Act System of Records Notice (SORN), or modifications thereto, are required. The Contractor shall provide all support necessary to assist the Department in completing the PIA in a timely manner and shall ensure that project management plans and schedules include time for the completion of the PTA, PIA, and SORN (to the extent required) as milestones. Support in this context includes responding timely to requests for information from the Government about the use, access, storage, and maintenance of PII on the Contractor’s system, and providing timely review of relevant compliance documents for factual accuracy. Information on the DHS privacy compliance process, including PTAs, PIAs, and SORNs, is accessible at http://www.dhs.gov/privacy-compliance.

(2) Renewal of ATO. Unless otherwise specified in the ATO letter, the ATO shall be renewed every three

(3) years. The Contractor is required to update its SA package as part of the ATO renewal process.

The Contractor shall update its SA package by one of the following methods:

(1) Updating the SA documentation in the DHS automated information assurance tool for acceptance by the Headquarters or Component CIO, or designee, at least 90 days before the ATO expiration date for review and verification of security controls; or (2) Submitting an updated SA package directly to the COR for approval by the Headquarters or Component CIO, or designee, at least 90 days before the ATO expiration date for review and verification of security controls. The 90 day review process is independent of the system production date and therefore it is important that the Contractor build the review into project schedules. The reviews may include onsite visits that involve physical or logical inspection of the Contractor environment to ensure controls are in place.

(3) Security Review. The Government may elect to conduct random periodic reviews to ensure that the security requirements contained in this contract are being implemented and enforced. The Contractor http://www.dhs.gov/privacy-compliance shall afford DHS, the Office of the Inspector General, and other Government organizations access to the Contractor’s facilities, installations, operations, documentation, databases and personnel used in the performance of this contract. The Contractor shall, through the Contracting Officer and COR, contact the Headquarters or Component CIO, or designee, to coordinate and participate in review and inspection activity by Government organizations external to the DHS. Access shall be provided, to the extent necessary as determined by the Government, for the Government to carry out a program of inspection, investigation, and audit to safeguard against threats and hazards to the integrity, availability and confidentiality of Government data or the function of computer systems used in performance of this contract and to preserve evidence of computer crime.

(4) Continuous Monitoring. All Contractor-operated systems that input, store, process, output, and/or transmit sensitive information shall meet or exceed the continuous monitoring requirements identified in the Fiscal Year 2014 DHS Information Security Performance Plan, or successor publication. The plan is updated on an annual basis. The Contractor shall also store monthly continuous monitoring data at its location for a period not less than one year from the date the data is created. The data shall be encrypted in accordance with FIPS 140-2 Security Requirements for Cryptographic Modules and shall not be stored on systems that are shared with other commercial or Government entities. The Government may elect to perform continuous monitoring and IT security scanning of Contractor systems from Government tools and infrastructure.

(5) Revocation of ATO. In the event of a sensitive information incident, the Government may suspend or revoke an existing ATO (either in part or in whole). If an ATO is suspended or revoked in accordance with this provision, the Contracting Officer may direct the Contractor to take additional security measures to secure sensitive information. These measures may include restricting access to sensitive information on the Contractor IT system under this contract. Restricting access may include disconnecting the system processing, storing, or transmitting the sensitive information from the Internet or other networks or applying additional security controls.

(6) Federal Reporting Requirements. Contractors operating information systems on behalf of the Government or operating systems containing sensitive information shall comply with Federal reporting requirements. Annual and quarterly data collection will be coordinated by the Government.

Contractors shall provide the COR with requested information within three (3) business days of receipt of the request. Reporting requirements are determined by the Government and are defined in the Fiscal Year 2014 DHS Information Security Performance Plan, or successor publication. The Contractor shall provide the Government with all information to fully satisfy Federal reporting requirements for Contractor systems.

(f) Sensitive Information Incident Reporting Requirements.

(1) All known or suspected sensitive information incidents shall be reported to the Headquarters or Component Security Operations Center (SOC) within one hour of discovery in accordance with 4300A Sensitive Systems Handbook Incident Response and Reporting requirements. When notifying the Headquarters or Component SOC, the Contractor shall also notify the Contracting Officer, COR, Headquarters or Component Privacy Officer, and US-CERT using the contact information identified in the contract. If the incident is reported by phone or the Contracting Officer’s email address is not immediately available, the Contractor shall contact the Contracting Officer immediately after reporting the incident to the Headquarters or Component SOC. The Contractor shall not include any sensitive information in the subject or body of any e-mail. To transmit sensitive information, the Contractor shall use FIPS 140-2 Security Requirements for Cryptographic Modules compliant encryption methods to protect sensitive information in attachments to email. Passwords shall not be communicated in the same email as the attachment. A sensitive information incident shall not, by itself, be interpreted as evidence that the Contractor has failed to provide adequate information security safeguards for sensitive information, or has otherwise failed to meet the requirements of the contract.

(2) If a sensitive information incident involves PII or SPII, in addition to the reporting requirements in 4300A Sensitive Systems Handbook Incident Response and Reporting, Contractors shall also provide as many of the following data elements that are available at the time the incident is reported, with any remaining data elements provided within 24 hours of submission of the initial incident report:

(i) Data Universal Numbering System (DUNS);

(ii) Contract numbers affected unless all contracts by the company are affected;

(iii) Facility CAGE code if the location of the event is different than the prime contractor location;

(iv) Point of contact (POC) if different than the POC recorded in the System for Award Management (address, position, telephone, email);

(v) Contracting Officer POC (address, telephone, email);

(vi) Contract clearance level;

(vii) Name of subcontractor and CAGE code if this was an incident on a subcontractor network;

(viii) Government programs, platforms or systems involved;

(ix) Location(s) of incident;

(x) Date and time the incident was discovered;

(xi) Server names where sensitive information resided at the time of the incident, both at the Contractor and subcontractor level;

(xii) Description of the Government PII and/or SPII contained within the system;

(xiii) Number of people potentially affected and the estimate or actual number of records exposed and/or contained within the system; and

(xiv) Any additional information relevant to the incident.

(g) Sensitive Information Incident Response Requirements.

(1) All determinations related to sensitive information incidents, including response activities, notifications to affected individuals and/or Federal agencies, and related services (e.g., credit monitoring) will be made in writing by the Contracting Officer in consultation with the Headquarters or Component CIO and Headquarters or Component Privacy Officer.

(2) The Contractor shall provide full access and cooperation for all activities determined by the Government to be required to ensure an effective incident response, including providing all requested images, log files, and event information to facilitate rapid resolution of sensitive information incidents.

(3) Incident response activities determined to be required by the Government may include, but are not limited to, the following:

(i) Inspections,

(ii) Investigations,

(iii) Forensic reviews, and

(iv) Data analyses and processing.

(4) The Government, at its sole discretion, may obtain the assistance from other Federal agencies and/or third-party firms to aid in incident response activities.

(h) Additional PII and/or SPII Notification Requirements.

(1) The Contractor shall have in place procedures and the capability to notify any individual whose PII resided in the Contractor IT system at the time of the sensitive information incident not later than 5 business days after being directed to notify individuals, unless otherwise approved by the Contracting Officer. The method and content of any notification by the Contractor shall be coordinated with, and subject to prior written approval by the Contracting

Officer, in consultation with the Headquarters or Component Privacy Officer, utilizing the DHS Privacy Incident Handling Guidance. The Contractor shall not proceed with notification unless the Contracting Officer, in consultation with the Headquarters or Component Privacy Officer, has determined in writing that notification is appropriate.

(2) Subject to Government analysis of the incident and the terms of its instructions to the Contractor regarding any resulting notification, the notification method may consist of letters to affected individuals sent by first class mail, electronic means, or general public notice, as approved by the Government. Notification may require the Contractor’s use of address verification and/or address location services. At a minimum, the notification shall include:

(i) A brief description of the incident;

(ii) A description of the types of PII and SPII involved;

(iii) A statement as to whether the PII or SPII was encrypted or protected by other means;

(iv) Steps individuals may take to protect themselves;

(v) What the Contractor and/or the Government are doing to investigate the incident, to mitigate the incident, and to protect against any future incidents; and

(vi) Information identifying who individuals may contact for additional information.

(i) Credit Monitoring Requirements. In the event that a sensitive information incident involves PII or SPII, the Contractor may be required to, as directed by the Contracting Officer:

(1) Provide notification to affected individuals as described above; and/or

(2) Provide credit monitoring services to individuals whose data was under the control of the Contractor or resided in the Contractor IT system at the time of the sensitive information incident for a period beginning the date of the incident and extending not less than 18 months from the date the individual is notified. Credit monitoring services shall be provided from a company with which the Contractor has no affiliation. At a minimum, credit monitoring services shall include:

(i) Triple credit bureau monitoring;

(ii) Daily customer service;

(iii) Alerts provided to the individual for changes and fraud; and

(iv) Assistance to the individual with enrollment in the services and the use of fraud alerts; and/or

(3) Establish a dedicated call center. Call center services shall include:

(i) A dedicated telephone number to contact customer service within a fixed period;

(ii) Information necessary for registrants/enrollees to access credit reports and credit scores;

(iii) Weekly reports on call center volume, issue escalation (i.e., those calls that cannot be handled by call center staff and must be resolved by call center management or DHS, as appropriate), and other key metrics;

(iv) Escalation of calls that cannot be handled by call center staff to call center management or DHS, as appropriate;

(v) Customized FAQs, approved in writing by the Contracting Officer in coordination with the Headquarters or Component Chief Privacy Officer; and

(vi) Information for registrants to contact customer service representatives and fraud resolution representatives for credit monitoring assistance.

(j) Certification of Sanitization of Government and Government-Activity-Related Files and Information.

As part of contract closeout, the Contractor shall submit the certification to the COR and the Contracting Officer following the template provided in NIST Special Publication 800-88 Guidelines for Media Sanitization.

11.0 INFORMATION TECHNOLOGY SECURITY AND PRIVACY TRAINING (MAR 2015)

Applicability. This clause applies to the Contractor, its subcontractors, and Contractor employees (hereafter referred to collectively as “Contractor”). The Contractor shall insert the substance of this clause in all subcontracts.

Security Training Requirements.

All users of Federal information systems are required by Title 5, Code of Federal Regulations, Part 930.301, Subpart C, as amended, to be exposed to security awareness materials annually or whenever system security changes occur, or when the user’s responsibilities change. The Department of Homeland Security (DHS) requires that Contractor employees take an annual Information Technology Security Awareness Training course before accessing sensitive information under the contract. Unless otherwise specified, the training shall be completed within thirty (30) days of contract award and be completed on an annual basis thereafter not later than October 31st of each year. Any new Contractor employees assigned to the contract shall complete the training before accessing sensitive information under the contract. The training is accessible at http://www.dhs.gov/dhs-security-and-training-requirements-contractors. The Contractor shall maintain copies of training certificates for all Contractor and subcontractor employees as a record of compliance. Unless otherwise specified, initial training certificates for each Contractor and subcontractor employee shall be provided to the Contracting Officer’s Representative (COR) not later than thirty (30) days after contract award. Subsequent training certificates to satisfy the annual training requirement shall be submitted to the COR via e-mail notification not later than

October 31 st of each year. The e-mail notification shall state the required training has been completed for all Contractor and subcontractor employees.

The DHS Rules of Behavior apply to every DHS employee, Contractor and subcontractor that will have access to DHS systems and sensitive information. The DHS Rules of Behavior shall be signed before accessing DHS systems and sensitive information. The DHS Rules of Behavior is a document that informs users of their responsibilities when accessing DHS systems and holds users accountable for actions taken while accessing DHS systems and using DHS Information Technology resources capable of inputting, storing, processing, outputting, and/or transmitting sensitive information. The DHS Rules of Behavior is accessible at http://www.dhs.gov/dhs-security-and-training-requirements-contractors.

Unless otherwise specified, the DHS Rules of Behavior shall be signed within thirty (30) days of contract award. Any new Contractor employees assigned to the contract shall also sign the DHS Rules of Behavior before accessing DHS systems and sensitive information. The Contractor shall maintain signed copies of the DHS Rules of Behavior for all Contractor and subcontractor employees as a record of compliance. Unless otherwise specified, the Contractor shall e-mail copies of the signed DHS Rules of Behavior to the COR not later than thirty (30) days after contract award for each employee. The DHS Rules of Behavior will be reviewed annually and the COR will provide notification when a review is required.

Privacy Training Requirements. All Contractor and subcontractor employees that will have access to Personally Identifiable Information (PII) and/or Sensitive PII (SPII) are required to take Privacy at DHS:

Protecting Personal Information before accessing PII and/or SPII. The training is accessible at http://www.dhs.gov/dhs-security-and-training-requirements-contractors.

http://www.dhs.gov/dhs-security-and-training-requirements-contractors

Training shall be completed within thirty (30) days of contract award and be completed on an annual basis thereafter not later than October 31st of each year. Any new Contractor employees assigned to the contract shall also complete the training before accessing PII and/or SPII. The Contractor shall maintain copies of training certificates for all Contractor and subcontractor employees as a record of compliance. Initial training certificates for each Contractor and subcontractor employee shall be provided to the COR not later than thirty (30) days after contract award. Subsequent training certificates to satisfy the annual training requirement shall be submitted to the COR via e-mail notification not later than October 31 st of each year. The e- mail notification shall state the required training has been completed for all Contractor and subcontractor employees.

12.0 Other Applicable Clauses

FAR 52.204-9, Personal Identity Verification of Contractor Personnel (JAN 2011)

FAR 52.224-1, Privacy Act Notification (APR 1984)

FAR 52.224-2, Privacy Act (APR 1984)

HSAR Clause 3052.204-71, Contractor Employee Access