1.1.4c SOO Attachment C & D FINAL.pdf

Department of Homeland Security 1 Federal Emergency Management Agency

Acquisition Package Attachment

October 2023

ATTACHMENT C – DEC DIVISION OPERATIONS

The Disaster Emergency Communications (DEC) Division, Response Directorate, Office of

Response and Recovery, Federal Emergency Management Agency, provides operational communications before, during, and after Presidentially-declared emergencies and disasters, planned events, and for the provision of Direct Federal Assistance. Specifically, as directed and authorized, and within operational constraints, the DEC Division supplies—

Mobile voice, video, data, and offices;

Interoperable communications across organizations and jurisdictions;

Temporary restoration of damaged or destroyed public safety communications;

Augmentation of existing public safety communications networks;

Fixed and semi-fixed facility installations; and, Incident technical assistance.

The DEC Division delivers operational communications through its six (6x) Mobile Emergency

Response Support (MERS) Detachments and the Mobile Communications Office Vehicle

(MCOV) Program.

MOBILE EMERGENCY RESPONSE SUPPORT (MERS)

MERS Detachments are geographically dispersed so that three Detachments (Bothell, Denver, and Denton) are west of the Mississippi River and three Detachments (Maynard, Frederick, and

Thomasville) are east of the Mississippi (Figure 1). Five of the Detachments have primary responsibility for two FEMA Regions and the Frederick Detachment has primary responsibility for the National Capital Region. MERS also maintains communications equipment caches that speed response (Figure 2). MERS personnel include telecommunications and IT technicians.

Figure 1: MERS Detachment Locations

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Figure 2: Communications Cache and Forward-Deployed Vehicle Locations

MERS is a modular capability that scales with the needs of an incident. Force packages (Figure

3) are applied based on the level of devastation and the complexity of the incident. Flyaway packages can be deployed to provide an initial operating capability with larger packages following to provide more robust support. This can occur pre-incident (with notice) or post-incident (no-notice). Additional packages can be deployed as an incident evolves.

Figure 3: MERS Capabilities

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October 2023

MOBILE COMMUNICATIONS OFFICE VEHICLE PROGRAM (MCOV)

The MCOV fleet nominally consists of more than 60 vehicles geographically dispersed throughout the country as shown in Figure 4. The mission of the MCOV fleet is to provide a communications platform and mobile office space to support administration, operations, and human services programs in disasters. MCOVs are typically operated by DEC Cadre

Reservists with limited technical communications skills.

Figure 4: MCOV Locations

The primary mission of the MCOV is the delivery of mobile Disaster Survivor Assistance in impacted communities.

“Generation 1” MCOV providing Disaster Survivor

Assistance after Hurricane Harvey in Texas

“Generation 2” MCOV in Florida after

Hurricane Irma

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DEC DIVISION CUSTOMER SUPPORT

DEC Division customers include:

FEMA National Urban Search and Rescue (US&R) teams [lifesaving]

HHS National Disaster Medical System (NDMS) teams [lifesaving, life-sustaining]

FEMA Incident Management Assistance Teams (IMAT) [incident command element]

FEMA Disaster Emergency Response Team (DEST) [CBRN]

FEMA Disaster Survivor Assistance Teams (DSAT) [disaster survivor registration]

Other Federal Agencies [interoperability, land mobile radio, mobile offices]

State, Territorial, Tribal, and local governments [interoperability, temporary communications restoration or augmentation]

DEC Division customer support metrics:

Cellular, when available, is the primary means of mobile communications backhaul. Satellite communications are used where cellular is not available. Disasters that cause the loss of cellular coverage generally see cellular restored within 1-2 weeks in most areas. Historically, surge bandwidth has not been required for more than 1-2 months per major incident. However, in

2017, Hurricanes Harvey, Irma, and Maria required surge capacity, both guaranteed and non-reserved, from August through December.

MERS must be able to provide support in the continental United States (CONUS) within 12 hours of notification and outside the continental United States (OCONUS) within 24 hours. This is the primary reason for always-on bandwidth. Further, MERS is expected to provide onsite support within 2 hours of arrival. This is the reason engineering support for complex troubleshooting must be available within two hours. When MERS supports US&R and NDMS teams [lifesaving], the terminals providing that support require priority on the network.

MCOVs must respond within 48 hours plus drive time of notification. Initially, MCOVs support national Incident Support Bases where FEMA stages commodities (i.e. food, water, blankets, etc.) and may provide command and control support. MCOVs generally arrive in theater in large numbers after roughly 1 week and perform their disaster survivor assistance mission for approximately 1-2 months. MCOVs rarely provide OCONUS support, with the exception of the

MCOV pre-staged in Puerto Rico.

Site metrics:

The following site metrics are provided for planning purposes only. Individual sites and end-user practices vary based on the nature and complexity of an event.

MERS typically must support at 25-30 people per site with voice, video teleconferencing (VTC), fax, and data. In larger events, some sites may require support for 50 people or more. In those instances, multiple remote satellite terminals have been used to support a single site.

● Voice service is provided via Voice over Internet Protocol (VoIP) phones. On average, 6 phone calls will occur simultaneously.

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● Secure voice is provided via a Secure Terminal Equipment (STE) device or a Sectéra® vIPer™ Universal Secure Phone. STE and vIPer calls are rare.

● Voice may also be provided via a Radio over Internet Protocol (RoIP) solution.

● VTCs can occur concurrently once or twice per day and will typically include between

1-8 total sites depending on the size and complexity of the event (larger events require more concurrent VTCs). FEMA VTCs are considered synchronous traffic.

● Fax machines are still used in disaster operations.

● Access to public internet is required.

● The typical FEMA end user currently uses a Microsoft Windows Edge Enterprise-based laptop and Microsoft Office 2019 Enterprise applications, to include Microsoft Exchange for enterprise email. Word and PowerPoint documents generated at remotes sites and uploaded via email or directly to shared web-based applications (e.g. WebEOC) frequently include graphics and can be several MB in size.

● Downloading of FEMA Enterprise (FEN) required updates to field laptops can be significant as response personnel log in from disaster site locations within the first 12-96 hours. This has caused significant SATCOM network congestion in past events.

● A few end-users per site upload and download large geographic information system

(GIS) product files, digital high-definition images, recorded video files (generally once or twice per day), and interface with large, data-intensive database applications.

MCOVs typically must support at least 10 people per site with voice, fax, and data. In larger events, some sites may require support for 20 people.

● Voice service is provided via analog phones transcoded by a VG224 or VG318, along with Voice over Internet Protocol (VoIP) phones. Typically, 6 phone calls will occur simultaneously.

● Fax machines are used.

● Access to public internet is required.

● The typical FEMA end user currently uses a Microsoft Edge Enterprise-based laptop and

Microsoft Office 2019 Enterprise applications, to include Microsoft Exchange for enterprise email.

● Downloading of FEMA Enterprise (FEN) required updates to field laptops can be significant as response personnel log in from disaster site locations within the first 12-96 hours. This has caused significant SATCOM network congestion in past events.

Fixed Sites (Earth Stations and EOCs): These sites typically have very low traffic rates as satellite is a tertiary connectivity solution.

End-user Device Throughput: Internal testing provided example bandwidth usage by device as shown in Table 2. These figures represent measured throughput under controlled conditions and do not include satellite network overhead requirements. Data user inroute bandwidth was not measured; the figure was adopted from Department of Defense remote user requirements for

Afghanistan.

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C October 2023

Table 1: Bandwidth Usage by Device (No Overhead)

Device Down from Satellite (outroute)

Up to Satellite (inroute)

1 VoIP call (G.729) 62 kbps 64 kbps

1 RoIP call 60 kbps 55 kbps

1 STE call or Fax (unsecure)(G.711) 120 kbps 128 kbps

1 STE call (secure) 55 kbps 51 kbps

VTC 430 kbps 440 kbps

1 data user (laptop) down is whatever is available 30 kbps (planning factor)

TCP Acceleration: MERS and MCOVs currently use XipLink XA-500C remote appliances for

TCP acceleration and encryption for FEMA Enterprise (FEN) users. Public internet for non-

FEM users is not accelerated. A XipLink XA-30K-R appliance is installed at the FEMA Mount

Weather facility in Virginia. FEN users ride public internet via the XipLink appliance from their remote sites, through a DEC Division GEP, to the vendor data center, then to Mount Weather.

XipLink remote appliances need public routable IPs with UDP/500 open to XipLink remote whitelist IPs. See Figure 5.

Figure 5: FEMA XipLink Architecture

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Federal Emergency Management Agency October 2023

ATTACHMENT D – SAFEGUARDING OF SENSITIVE INFORMATION

(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” 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 personally identifiable information 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.

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.

“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

Department of Homeland Security 8 FEMA Form 146 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 www…, or available upon request from the Contracting Officer, including but not limited to:

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(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 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, Sensitive but Unclassified Information 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.

http://csrc.nist.gov/groups/STM/cmvp/standards.html http://csrc.nist.gov/publications/PubsSPs.html http://csrc.nist.gov/publications/PubsSPs.html

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(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, 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 9.0, April 30, 2014), or any successor publication, DHS 4300A Sensitive Systems Handbook (Version 9.0, 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 Security Requirements Traceability Matrix and

Government security documentation templates, as adapted for Contractor IT systems. 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.

Department of Homeland Security 11 FEMA Form 146 iii.Support the completion of the Privacy Threshold Analysis (PTA) when completion of a

PTA is required in the solicitation. As part of the SA process, the Contractor may be required to support 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. Information on the DHS privacy compliance process, including PTAs, PIAs, and SORNs, is accessible at http://www.dhs.gov/privacy-compliance.

(f) Renewal of ATO. Unless otherwise directed by the Contracting Officer, 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.

(g)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 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.

(h)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 140-3 Security http://www.dhs.gov/privacy-compliance

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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.

(i) Federal Reporting Requirements. Contractors operating information systems on behalf of the Government or operating systems containing sensitive information shall comply with Federal Information Security Management Act (FISMA) 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 FISMA reporting requirements for Contractor systems.

(j) 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 140-3 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).

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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.

xiv. Any additional information relevant to the incident.

(k) 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.

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

(2) 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

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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.

(l) 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.

(m) 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 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

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

(n) 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.

STANDARD SECURITY LANGUAGE

(NOT FOR USE IN CONTRACTS FOR WEAPONS-CARRYING GUARDS)

(NOT FOR USE IN CLASSIFIED CONTRACTS)

NOTE TO CONTRACTING OFFICER: The Contracting Officer, in coordination with FEMA’s Personnel Security Division (PSD), shall ensure that all solicitations and contracts comply with the following Federal Acquisition Regulations and

Homeland Security Acquisition Regulations by including the requisite clauses, as applicable:

48 C.F.R. § 4.1303 (clause at 48 C.F.R. § 52.204-9)

48 C.F.R. § 3004.470-3 (clauses at 48 C.F.R. § 3052.204-70 and 48 C.F.R. §

3052.204-71)]

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 shall undergo a National Agency Check with Inquiries (NACI) Tier 1 and a credit check and must receive a favorable adjudication thereof from FEMA PSD prior to performing work under this contract.

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

Department of Homeland Security 16 FEMA Form 146 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 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 Background Investigation (BI) 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 to the contractor personnel that contains the following

Department of Homeland Security 17 FEMA Form 146 documents, which are incorporated into this contract by reference, along with a link to the

Office of Personnel Management’s Electronic Questionnaires for Investigation

Processing (e-QIP) system and instructions for submitting the necessary information:

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 Office of

Personnel Management’s e-QIP 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 (NACI w/Credit or T1), Moderate Risk

(MBI or T2S or High Risk (BI or 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 personnel have undergone a reinvestigation and FEMA’s

Department of Homeland Security 18 FEMA Form 146

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 the 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 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.

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.

Department of Homeland Security 19 FEMA Form 146

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.