15B41624Q00000003.pdf

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SOLICITATION,OFFER,

AND AWARD

(Construction, Alteration, or Repair)

1. SOLICITATION NUMBER

15B41624Q00000003

SEALED BID (IFB)

INVITATION FOR BID

NEGOTIATED (RFP)

REQUEST FOR PROPOSAL

2. TYPE OF SOLICITATION 3. DATE ISSUED

02/01/2024

PAGE OF PAGES

1 180

IMPORTANT -The "offer" section on the reverse must be fully completed by offeror.

4. CONTRACT NUMBER 5. REQUISITION/PURCHASE REQUEST NUMBER

15B41624PR000077

6. PROJECT NUMBER

24Z4AS3

CODE 15B416

Federal Bureau of Prisons FPC Yankton 1016 Douglas Avenue Yankton, SD 57078

7. ISSUED BY

Alexija Hunt a1xhunt@bop.gov yan-businessoffice-s@bop.gov

8. ADDRESS OFFER TO

9. FOR

INFORMATION CALL:

a. NAME

Alexija Hunt a1xhunt@bop.gov

b. TELEPHONE NUMBER (Include area code) (NO COLLECT CALLS)

605-668-1044

SOLICITATION

NOTE: In sealed bid solicitations "offer" and "offeror" means "bid" and "bidder".

10. THE GOVERNMENT REQUIRES PERFORMANCE OF THE WORK DESCRIBED IN THESE DOCUMENTS (Title, identifying number, date)

The selected contractor will remove the existing mechanically fastened Ethylene Propylene Diene Monomer (EDPM) roof and insulation from Durand Hall housing unit and reinstall 1 layer of 1-1/2" insulation and fully adhered 60 mil EDPM rubber roofing system over the combined 9700 sq ft roof. The contractor will also add 2 decks and curbing for replacing both new two-ton heat pump/AC units. These unit will be purchased and installed utilizing in-house labor. Fall protection will be installed by contractor and will be closely monitored by facility staff.

The contractor will load all waste and debris and will remove the construction debris generated during construction and renovation properly and in according to state laws, regulations and ordinances. All material will be installed per manufacturer's specifications. The selected contractor will also provide and install all metal flashing for edges and penetrations. All flashings and edge metal shall be gauged according to building code and local and state ordinances. Additionally, contractor shall prepare to access roof by aerial lift only. FPC Yankton will not assist the selected contractor in carrying and handling any materials from the ground to the roof work site. The contractor will ensure that rehabilitation of Federally-owned historic buildings utilizing best practices and technologies in retrofitting to promote long-term viability of the building. Work shall be performed and completed per the Statement of Work.

***************************************************(SEE CONTINUATION PAGE)

PLEASE COMPLETE THE FOLLOWING ITEMS:

UNIQUE ENTITY IDENTIFIER (FORMERLY DUNS): ______________________________

TAX IDENTIFICATION NUMBER: __________________________________

CAGE CODE: ________________________________

CONTRACTOR EMAIL: _________________________________

11. The Contractor shall begin performance within calendar days and complete it within calendar days after receiving10 60 award, X notice to proceed. This performance period is X mandatory negotiable. (See __________________________.)

12a. THE CONTRACTOR MUST FURNISH ANY REQUIRED PERFORMANCE AND PAYMENT BONDS? (If "YES," indicate within how many calendar days after award in Item 12b).

X YES NO

12b. CALENDAR DAYS copies to perform the work required are due at the place specified in item 8 by (hour) local time (date). If this is a sealed bid solicitation, offers will be publicly opened at that time. Sealed envelopes containing offers shall be marked to show the offeror's name and address, the solicitation number, and the date and time offers are due.

Sealed offers are not required, however 1 14:00US/ Central a.

03/21/2024

b. An offer guarantee X is, is not required.

All offers are subject to the (1) work requirements, and (2) other provisions and clauses incorporated in the solicitation in full text or by reference.c.

d. Offers providing less than 10 calendar days for Government acceptance after the date offers are due will not be considered and will be rejected.

13. ADDITIONAL SOLICITATION REQUIREMENTS:

STANDARD FORM 1442 (REV. 12/2022)

Prescribed by GSA - FAR (48 CFR) 53.236-1(d)

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OFFER (Must be fully completed by offeror)

14. NAME AND ADDRESS OF OFFEROR (Include ZIP Code) 15. TELEPHONE NUMBER (Include area code)

16. REMITTANCE ADDRESS (Include only if different than Item 14.)

CODE FACILITY CODE

The offeror agrees to perform the work required at the prices specified below in strict accordance with the terms of this solicitation, if this offer is accepted by the Government in writing within ___________ calendar days after the date offers are due. (Insert any number equal to or greater than the minimum requirement stated in Item 13d. Failure to insert any number means the offeror accepts the minimum in Item 13d.)

17.

AMOUNTS

18. The offeror agrees to furnish any required performance and payment bonds.

19. ACKNOWLEDGMENT OF AMENDMENTS

(The offeror acknowledges receipt of amendments to the solicitation -- give number and date of each)

AMENDMENT

NUMBER

DATE.

20a. NAME AND TITLE OF PERSON AUTHORIZED TO SIGN OFFER (Type or print)

20b. SIGNATURE 20c. OFFER DATE

AWARD (To be completed by Government)

21. ITEMS ACCEPTED:

22. AMOUNT 23. ACCOUNTING AND APPROPRIATION DATA

24. SUBMIT INVOICES TO ADDRESS SHOWN IN

(4 copies unless otherwise specified)

ITEM

10 U.S.C. 3204(a) ( ) 41 U.S.C. 3304(a) ( )

25. OTHER THAN FULL AND OPEN COMPETITION PURSUANT TO THE

UNITED STATES CODE AT

26. ADMINISTERED BY 15B416

Federal Bureau of Prisons FPC Yankton 1016 Douglas Avenue Yankton, SD 57078

Alexija Hunt

(O) 605-665-3262 a1xhunt@bop.gov yan-businessoffice-s@bop.gov

Federal Bureau of Prisons FPC Yankton 1016 Douglas Avenue Yankton, SD 57078

Stephanie Rivera

(O) 605-665-3262 srivera@bop.gov yan-businessoffice-s@bop.gov

27. PAYMENT WILL BE MADE BY

CONTRACTING OFFICER WILL COMPLETE ITEM 28 OR 29 AS APPLICABLE

28. NEGOTIATED AGREEMENT (Contractor is required to sign this document and return __________ copies to issuing office.) Contractor agrees to furnish and deliver all items or perform all work requirements identified on this form and any continuation sheets for the consideration stated in this contract. The rights and obligations of the parties to this contract shall be governed by (a) this contract award, (b) the solicitation, and (c) the clauses, representations, certifications, and specifications incorporated by reference in or attached to this contract.

X 29. AWARD (Contractor is not required to sign this document.) Your offer on this solicitation is hereby accepted as to the items listed. This award consummates the contract, which consists of (a) the Government solicitation and your offer, and (b) this contract award. No further contractual document is necessary.

30a.NAME AND TITLE OF CONTRACTOR OR PERSON AUTHORIZED TO SIGN (Type or print)

Alexija Hunt

31a. NAME OF CONTRACTING OFFICER (Type or print)

30b. SIGNATURE 30c. DATE 31b. UNITED STATES OF AMERICA

BY 02/01/2024

31c. DATE

STANDARD FORM 1442 (REV. 12/2022) BACK

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Table of Contents

Section Description Page Number

A Government Works Continuation Section 1 Solicitation, Offer and Award 2 Commodity or Services Schedule 3 Special Contract Requirements

DOJ-05 Security of Department Information and Systems DOJ-05 (OCT 2023) FAO-0001 Bonds FAO-0002 Magnitude FAO-0003 Required Insurance FAO-0004 Pre-Construction Conference FAO-0005 Submittals FAO-0006 Contractor Use of Premises FAO-0007 Payment Services FAO-0008 Request for Final Inspection FAO-0009(a) Construction Contract Security FAO-0010 Assignment of Contract Administration Office and Functions FAO-0011 Schedule of Values FAO-0012 Progress Meetings FAO-0013 Contract Closeout Procedures (for construction contracts exceeding $150,000) 2852.223-70 Unsafe Conditions Due to the Presence of Hazardous Material (NOV 2020)

4 Contract Clauses 52.246-12 Inspection of Construction (Aug 1996) 52.236-15 Schedules for Construction Contracts (Apr 1984) 52.211-10 Commencement, Prosecution, and Completion of Work (Apr 1984) 52.211-12 Liquidated Damages-Construction (Sept 2000) 52.211-13 Time Extensions (Sept 2000) 52.211-18 Variation in Estimated Quantity (Apr 1984) 52.242-14 Suspension of Work (Apr 1984) 2852.201-70 Contracting Officer's Representative (COR) (NOV 2020) 52.222-40 Notification of Employee Rights Under the National Labor Relations Act (Dec 2010) 52.223-6 Drug-Free Workplace (May 2001) 52.249-2 Alt I Termination for Convenience of the Government (Fixed-Price) (Apr 2012) - Alternate I (Sept 1996) 52.225-10 Notice of Buy American Requirement-Construction Materials (May 2014) 52.222-23 Notice of Requirement for Affirmative Action to Ensure Equal Employment Opportunity for Construction (Feb 1999) 52.202-1 Definitions (Jun 2020) 52.219-6 Notice of Total Small Business Set-Aside (Nov 2020) 52.236-1 Performance of Work by the Contractor (Apr 1984) 52.236-2 Differing Site Conditions (Apr 1984) 52.236-3 Site Investigation and Conditions Affecting the Work (Apr 1984) 52.236-4 Physical Data (Apr 1984) 52.236-5 Material and Workmanship (Apr 1984) 52.236-7 Permits and Responsibilities (Nov 1991) 52.236-6 Superintendence by the Contractor (Apr 1984) 52.236-8 Other Contracts (Apr 1984) 52.236-9 Protection of Existing Vegetation, Structures, Equipment, Utilities, and Improvements (Apr 1984) 52.236-10 Operations and Storage Areas (Apr 1984) 52.236-11 Use and Possession Prior to Completion (Apr 1984) 52.236-12 Cleaning Up (Apr 1984) 52.236-13 Accident Prevention (Nov 1991) 52.236-16 Quantity Surveys (Apr 1984) 52.236-17 Layout of Work (Apr 1984) 52.236-19 Organization and Direction of the Work (Apr 1984)

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52.236-21 Specifications and Drawings for Construction (Feb 1997) 52.236-26 Preconstruction Conference (Feb 1995) 52.222-6 Construction Wage Rate Requirements (Aug 2018) 52.222-10 Compliance with Copeland Act Requirements (Feb 1988) 52.222-4 Contract Work Hours and Safety Standards--Overtime Compensation (May 2018) 52.222-55 Minimum Wages for Contractor Workers Under Executive Order 14026 (Jan 2022) 52.222-62 Paid Sick Leave Under Executive Order 13706 (Jan 2022) 52.222-7 Withholding of Funds (May 2014) 52.222-8 Payrolls and Basic Records (Jul 2021) 52.222-9 Apprentices and Trainees (July 2005) 52.222-11 Subcontracts (Labor Standards) (May 2014) 52.222-12 Contract Termination - Debarment (May 2014) 52.222-13 Compliance with Construction Wage Rate Requirements and Related Regulations (May 2014) 52.222-14 Disputes Concerning Labor Standards (Feb 1988) 52.222-15 Certification of Eligibility (May 2014) 52.222-1 Notice to the Government of Labor Disputes (Feb 1997) 52.232-25 Prompt Payment (Jan 2017) 52.228-15 Performance and Payment Bonds-Construction (Jun 2020) 52.204-9 Personal Identity Verification of Contractor Personnel (Jan 2011) DOJ-02 Contractor Privacy Requirements (JAN 2022) 52.243-6 Change Order Accounting (Apr 1984) 52.243-4 Changes (June 2007) 52.243-5 Changes and Changed Conditions (Apr 1984) 52.249-1 Termination for Convenience of the Government (Fixed-Price) (Short Form) (Apr 1984) 52.204-2 Alt I Security Requirements (Mar 2021) - Alternate I (Apr 1984) 52.204-4 Printed or Copied Double-Sided on Postconsumer Fiber Content Paper (May 2011) 52.204-10 Reporting Executive Compensation and First-Tier Subcontract Awards (Jun 2020) 52.204-13 System for Award Management Maintenance (Oct 2018) 52.204-14 Service Contract Reporting Requirements (Oct 2016) 52.204-18 Commercial and Government Entity Code Maintenance (Aug 2020) 52.204-19 Incorporation by Reference of Representations and Certifications (Dec 2014) 52.204-23 Prohibition on Contracting for Hardware, Software, and Services Developed or Provided by Kaspersky Lab Covered Entities (Dec 2023) 52.209-6 Protecting the Government's Interest When Subcontracting with Contractors Debarred, Suspended, or Proposed for Debarment (Nov 2021) 52.209-9 Updates of Publicly Available Information Regarding Responsibility Matters (Oct 2018) 52.209-10 Prohibition on Contracting with Inverted Domestic Corporations (Nov 2015) 52.214-26 Audit and Records-Sealed Bidding (Jun 2020) 52.219-8 Utilization of Small Business Concerns (Sep 2023) 52.219-14 Limitations on Subcontracting (Oct 2022) 52.219-28 Post-Award Small Business Program Rerepresentation (Sep 2023) 52.222-3 Convict Labor (June 2003) 52.222-21 Prohibition of Segregated Facilities (Apr 2015) 52.222-26 Equal Opportunity (Sept 2016) 52.222-27 Affirmative Action Compliance Requirements for Construction (Apr 2015) 52.222-37 Employment Reports on Veterans (Jun 2020) 52.222-50 Combating Trafficking in Persons (Nov 2021) 52.222-54 Employment Eligibility Verification (May 2022) 52.223-2 Affirmative Procurement of Biobased Products Under Service and Construction Contracts (Sep 2013) 52.223-5 Pollution Prevention and Right-to-Know Information (May 2011) 52.223-11 Ozone-Depleting Substances and High Global Warming Potential Hydrofluorocarbons (Jun 2016)

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52.223-17 Affirmative Procurement of EPA-designated Items in Service and Construction Contracts (Aug 2018) 52.223-18 Encouraging Contractor Policies to Ban Text Messaging While Driving (Jun 2020) 52.223-21 Foams (Jun 2016) 52.223-20 Aerosols (Jun 2016) 52.225-13 Restrictions on Certain Foreign Purchases (Feb 2021) 52.227-1 Authorization and Consent (Jun 2020) 52.227-2 Notice and Assistance Regarding Patent and Copyright Infringement (Jun 2020) 52.227-4 Patent Indemnity-Construction Contracts (Dec 2007) 52.228-2 Additional Bond Security (Oct 1997) 52.228-5 Insurance-Work on a Government Installation (Jan 1997) 52.228-11 Individual Surety-Pledge of Assets (Feb 2021) 52.228-12 Prospective Subcontractor Requests for Bonds (Dec 2022) 52.228-14 Irrevocable Letter of Credit (Nov 2014) 52.229-3 Federal, State and Local Taxes (Feb 2013) 52.229-12 Tax on Certain Foreign Procurements (Feb 2021) 52.232-5 Payments under Fixed-Price Construction Contracts (May 2014) 52.232-17 Interest (May 2014) 52.232-23 Assignment of Claims (May 2014) 52.232-27 Prompt Payment for Construction Contracts (Jan 2017) 52.232-33 Payment by Electronic Funds Transfer-System for Award Management (Oct 2018) 52.232-39 Unenforceability of Unauthorized Obligations (Jun 2013) 52.232-40 Providing Accelerated Payments to Small Business Subcontractors (Mar 2023) 52.233-1 Disputes (May 2014) 52.233-3 Protest after Award (Aug 1996) 52.233-4 Applicable Law for Breach of Contract Claim (Oct 2004) 52.236-14 Availability and Use of Utility Services (Apr 1984) 52.246-21 Warranty of Construction (Mar 1994) 52.248-3 Value Engineering-Construction (Oct 2020) 52.249-2 Termination for Convenience of the Government (Fixed-Price) (Apr 2012) 52.249-10 Default (Fixed-Price Construction) (Apr 1984) 52.214-27 Price Reduction for Defective Certified Cost or Pricing Data-Modifications-Sealed Bidding (Jun 2020) 52.214-28 Subcontractor Certified Cost or Pricing Data-Modifications-Sealed Bidding (Jun 2020) 52.236-21 Alt II Specifications and Drawings for Construction (Feb 1997) - Alternate II (Apr 1984) 52.253-1 Computer Generated Forms (Jan 1991) 52.203-8 Cancellation, Rescission, and Recovery of Funds for Illegal or Improper Activity (May 2014) 52.203-10 Price or Fee Adjustment for Illegal or Improper Activity (May 2014) 52.203-12 Limitation On Payments to Influence Certain Federal Transactions (Jun 2020)... 134 52.203-17 Contractor Employee Whistleblower Rights (Nov 2023) 52.203-19 Prohibition on Requiring Certain Internal Confidentiality Agreements or Statements (Jan 2017) 52.203-3 Gratuities (Apr 1984) 52.203-5 Covenant Against Contingent Fees (May 2014) 52.203-6 Restrictions on Subcontractor Sales to the Government (Jun 2020) 52.203-7 Anti-Kickback Procedures (Jun 2020) 52.244-6 Subcontracts for Commercial Products and Commercial Services (Dec 2023) FAO-0016 Equitable Adjustments: Waiver and Release of Claims FAO-0015 Changes 52.204-21 Basic Safeguarding of Covered Contractor Information Systems (Nov 2021) 52.215-21 Alt IV Requirements for Certified Cost or Pricing Data and Data Other Than Certified Cost or Pricing Data-Modifications (Nov 2021) - Alternate IV (Oct 2010) 52.222-35 Equal Opportunity for Veterans (Jun 2020)

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52.222-36 Equal Opportunity for Workers with Disabilities (Jun 2020) 52.225-9 Buy American-Construction Materials (Oct 2022) BOP 2852.201-71 Contracting Officer's Representative (COR) (June 2012) 52.24-403-70 Notice of Contractor Personnel Security Requirements (OCT 2005)

BOP 2852.242-71 EVALUATION OF CONTRACTOR PERFORMANCE UTILIZING CPARS

(APR 2011)

DOJ-01 Whistleblower Information Distribution (Oct 2021) DOJ-03 Personnel Security Requirements For Contractor Employees (Nov 2021) DOJ-08 Continuing Contract Performance During a Pandemic Influenza or other National Emergency (OCT 2007)

5 Attachments 6 Solicitation Provisions

52.214-19 Contract Award-Sealed Bidding-Construction (Aug 1996) 52.214-34 Submission of Offers in the English Language (Apr 1991) 52.228-17 Individual Surety-Pledge of Assets (Bid Guarantee) (Feb 2021) 52.236-27 Alt I Site Visit (Construction) (Feb 1995) -- Alternate I (Feb 1995) 52.228-1 Bid Guarantee (Sept 1996) 52.204-7 System for Award Management (Oct 2018) 52.204-6 Unique Entity Identifier (Oct 2016) 52.204-16 Commercial and Government Entity Code Reporting (Aug 2020) 52.204-22 Alternative Line Item Proposal (Jan 2017) 52.214-3 Amendments to Invitations for Bids (Dec 2016) 52.222-5 Construction Wage Rate Requirements - Secondary Site of the Work (May 2014) 52.233-2 Service of Protest (Sept 2006) 52.214-6 Explanation to Prospective Bidders (Apr 1984) 52.214-7 Late Submissions, Modifications, and Withdrawals of Bids (Nov 1999) 52.214-4 False Statements in Bids (Apr 1984) 52.214-5 Submission of Bids (Dec 2016) 52.214-18 Preparation of Bids-Construction (Apr 1984) 2852.233-70 Protests Filed Directly with the Department of Justice (NOV 2020) 52.216-1 Type of Contract (Apr 1984) 52.222-23 Notice of Requirement for Affirmative Action to Ensure Equal Emplyment Opportunity for Construction (Feb 1999) 52.212-2 Evaluation-Commercial Products and Commercial Services (Nov 2021)

7 Representations and Certifications 52.204-24 Representation Regarding Certain Telecommunications and Video Surveillance Services or Equipment (Nov 2021) 52.209-13 Violation of Arms Control Treaties or Agreements-Certification (Nov 2021) 52.229-11 Tax on Certain Foreign Procurements--Notice and Representation (Jun 2020)... 173 52.204-3 Taxpayer Identification (Oct 1998) 52.204-8 Annual Representations and Certifications (Mar 2023) 52.209-7 Information Regarding Responsibility Matters (Oct 2018) 52.209-12 Certification Regarding Tax Matters (Oct 2020)

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Government Works Continuation Section

THE GOVERNMENT REQUIRES PERFORMANCE OF THE WORK DESCRIBED IN THESE DOCUMENTS (Title, identifying number, date) CONTINUATION

Offers will be negotiated and award will be made on the basis of the lowest evaluated price of proposals meeting or exceeding the acceptability standards for non-cost factors. Evaluation will be based on a scale of 90 points. Factor 1. TECHNICAL APPROACH. The proposal will be evaluated on how the offeror intends to organize, staff and manage the contract and the means that will be used to accomplish the contract requirements. The degree to which the proposal demonstrates an understanding of the requirements will be evaluated, as well as the offeror's planned management of consultants and subcontractors, if applicable. Earn up to 30 points. Factor 2 - EXPERIENCE. The offeror's background, experience, and qualifications will be assessed to determine the likelihood that that offeror can successfully perform the contract requirements and the degree of the risk of non-performance. Earn up to 30. Factor 3. PAST PERFORMANCE EVALUATIONS. Provide past performance evaluations that identify similar requirements to include project cost, entity requiring services, and ratings. Earn up to 30 points. If you do not have any past performance evaluations, please provide (3) describe up to four similar requirements that you have completed within the last 2 years, references, to include contact information (phone number and email), pictures and cost of requirement.

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Section 2 - Commodity or Services Schedule

Cost/price should be supported with an itemized schedule to support the Schedule of Supplies/Services below.

Firm Fixed Price

SCHEDULE OF SUPPLIES/SERVICES

CONTINUATION SHEET

ITEM NO. SUPPLIES/SERVICES QUANTITY UNIT UNIT PRICE AMOUNT

0001 Cost of labor hours devoted to the demolition and removal of the existing mechanically fastened EDPM roof and insulation

A breakdown of labor hours will be required to support this requirement.

PSC: 5650

0 HR $________ $_________________

ITEM NO. SUPPLIES/SERVICES QUANTITY UNIT UNIT PRICE AMOUNT

0003 Cost of labor hours for the Installation of 1 layer of 1-1/2” insulation and fully adhered 60 mil EDPM rubber roofing system over the combined 9700 sq ft roof and 2 decks.

Breakdown of labor hours will be required to support requirement.

PSC: 5650

0 HR $________ $_________________

ITEM NO. SUPPLIES/SERVICES QUANTITY UNIT UNIT PRICE AMOUNT

0004 Cost of rental equipment (i.e Boom Lifts, Telehandlers, Air Compressors, Air Coil Roof Nailers, Pressure Washers, Light Towers, Utility Trailers, Generators, Roll-off Dumpsters, Dump Trailers, Ladders, etc.)

Itemized break down of equipment cost will be required.

PSC: W056

0 EA $________ $_________________

ITEM NO. SUPPLIES/SERVICES QUANTITY UNIT UNIT PRICE AMOUNT

0005 Cost of Direct Materials and Indirect Materials.

Itemized break down of cost of materials will be required to support this requirement.

PSC: 5680

0 EA $________ $_________________

ITEM NO. SUPPLIES/SERVICES QUANTITY UNIT UNIT PRICE AMOUNT

0006 Waste management cost devoted to the construction and demolition materials and debris generated for the construction and renovation of the roof (i.e. Transfer Station Fee anticipated)

Do not include the cost for dumpster rental.

PSC: 5650

0 LB $________ $_________________

ITEM NO. SUPPLIES/SERVICES QUANTITY UNIT UNIT PRICE AMOUNT

0007 Overhead Cost, to include, cost of insurance, and bonds.

Breakdown of cost will be required to support requirement.

PSC: 5650

0 $________ $_________________

ITEM NO. SUPPLIES/SERVICES QUANTITY UNIT UNIT PRICE AMOUNT

0008 Profit

Breakdown of cost will be required to support requirement.

PSC: 5650

0 C5 $________ $_________________

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Note: The successful contractor shall be responsible for all applicable federal, state, and local taxes. No tax exemption certification will be issued by the Federal Bureau of Prisons. The TOTAL PRICE SHALL BE WRITTEN ON LINE ITEM 17 OF THE STANDARD

FORM.

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Section 3 - Special Contract Requirements

Clauses By Full Text

DOJ-05 Security of Department Information and Systems DOJ-05 (OCT 2023)

I. Applicability to Contractors and Subcontractors Section 2839.102 of the Justice Acquisition Regulation (JAR), (48 C.F.R. § 2839.102), applies to this contract. Accordingly, all contractors are obligated to comply with all applicable DOJ security policies, directives, or guidance documents, including the security requirements in the provisions in this contract clause. This contract clause applies to all contractors and subcontractors, including cloud service providers (“CSPs”), and personnel of the contractors and subcontractors (hereinafter collectively, “Contractor”) that may access, collect, store, process, maintain, use, share, retrieve, disseminate, transmit, or dispose of DOJ Information. The security requirements set forth herein are in addition to those required by the Federal Acquisition Regulation (“FAR”), and any other applicable laws, mandates, contract clauses, DOJ policies, directives or guidance documents and Executive Orders pertaining to the development and operation of Information Systems and/or the protection of Government Information. This clause does not alter or diminish any existing rights, obligations, or liability under any other civil and/or criminal law, rule, regulation, or mandate.

II. General Definitions The following general definitions apply to this clause. Specific definitions also apply as set forth in other paragraphs.

A. Authorization to Operate (“ATO”), as defined in National Institute of Standards and Technology (“NIST”) Special Publication (“SP”) 800-37 Revision 2, is the official management decision given by a senior Federal official or officials to authorize operation of an information system and to explicitly accept the risk to agency operations (including mission, functions, image, or reputation), agency assets, individuals, other organizations, and the Nation based on the implementation of an agreed-upon set of security and privacy controls.

B. Cloud Computing, as defined in DOJ Order 0904 Cybersecurity Program, is a model for enabling ubiquitous, convenient, on-demand network access to a shared pool of configurable computing resources (e.g., networks, servers, storage, applications, and services) that can be rapidly provisioned and released with minimal management effort or service provider interaction. This cloud model is composed of five essential characteristics, three service models, and four deployment models in accordance with NIST SP 800-145.

C. Covered Contract is any contract, order or other agreement under which the contractor, or a subcontractor at any tier, including a cloud service provider, may access, collect, store, process, maintain, use, share, retrieve, disseminate, transmit, or dispose of DOJ Information (as defined below) in the course of providing a product or service to the Department, with the exception of acquisitions under the micro-purchase threshold.

D. Covered Information System means any information system used for, involved with, or allowing, the processing, storing, or transmitting of DOJ Information under a Covered Contract.

E. Data means recorded information, regardless of form or the media on which it may be recorded. The term includes technical data, computer software, and personally identifiable information (PII) (defined below). The term does not include information incidental to contract administration, such as financial, administrative, cost or pricing, or management information.

F. DOJ Information, as defined in DOJ Order 0904, means any Information that is owned, produced, controlled, protected by, or otherwise within the custody or responsibility of the DOJ, including, without limitation, information related to DOJ programs or personnel. It includes, without limitation, Information (1) provided by or generated for the DOJ, (2) managed or acquired by the Contractor for the DOJ in connection with the performance of the contract, and/or (3) acquired to perform the contract.

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G. Information, as defined in DOJ Order 0904, is any communication or representation of knowledge such as facts, data, or opinions, in any form or medium, including textual, numerical, graphic, cartographic, narrative, or audiovisual. This includes any communication or representation of knowledge in an electronic format that allows it to be stored, retrieved, or transmitted.

H. Information System, means a discrete set of information resources organized for the collection, processing, maintenance, use, sharing, dissemination, or disposition of information (44 U.S.C. 3502(8)).

I. Personally Identifiable Information (“PII”), as defined in the FAR 24.101, means information that can be used to distinguish or trace an individual's identity, either alone or when combined with other information that is linked or linkable to a specific individual. It includes but is not limited to common data elements such as names, addresses, dates of birth, and places of employment, to identity documents, Social Security numbers or other government-issued identifiers, precise location information, medical history, and biometric records.

This definition covers all PII that is created by or becomes available to the contractor, including its employees, subcontractors, or affiliates, as a result of performing under this contract. PII, as supplementally defined in DOJ Order 0904, also includes information about an individual maintained by an agency, including, but not limited to, information related to education, financial transactions, medical history, and criminal or employment history and information, which can be used to distinguish or trace an individual’s identity.

J. Private Cloud, as defined in NIST SP 800-145, is the deployment model for cloud infrastructure provisioned for exclusive use by a single organization comprising multiple consumers (e.g., business units). It may be owned, managed, and operated by the organization, a third party, or some combination of them, and it may exist on or off premises.

K. Security Breach means any security incident (as defined below) that directly relates to the loss of control, compromise, exfiltration, manipulation, unauthorized disclosure, unauthorized acquisition, unauthorized exposure or unauthorized access or any similar occurrence of any Covered Information System or any DOJ Information or any PII accessed by, retrievable from, processed by, stored on, or transmitted within, to or from any such system. This includes incidents where (1) a person other than an authorized user accesses or potentially accesses PII or DOJ Information or (2) an authorized user accesses or potentially accesses PII or DOJ Information for an unauthorized purpose.

a. Potential Security Breach (hereinafter, “Potential Breach”) means any suspected, but unconfirmed security breach (as defined above).

b. Confirmed Security Breach (hereinafter, “Confirmed Breach”) means any confirmed security breach (as defined above).

L. Security Incident means any occurrence that (1) may actually or imminently jeopardize, without lawful authority, the availability, integrity, authentication, confidentiality, or nonrepudiation of DOJ Information or a Covered Information System; or (2) may constitute a violation or imminent threat of violation of law, security policies, security procedures, or acceptable use policies.

a. Potential Security Incident means any suspected, but unconfirmed security incident (as defined above).

b. Confirmed Security Incident means any confirmed security incident (as defined above).

M. Vulnerability, as defined in DOJ Vulnerability Management Plan, and the OCIO Information Security Management Procedure, means a weakness or flaw discovered in the design of a system that, when exploited, may result in a loss of confidentially, integrity, or availability of DOJ Information or an Information System.

III. Confidentiality and Non-Disclosure of DOJ Information A. Preliminary and final contract deliverables and all associated working papers and material generated by the Contractor developed using DOJ Information, product, source code, and/or methods of operations, are the property of the U.S. Government and must be submitted to the Contracting Officer (“CO”) or the CO’s Representative (“COR”) at the conclusion of the contract. The U.S. Government has unlimited data rights to all such deliverables and associated working papers and materials in accordance with FAR 52.227-14 (Rights in Data-General). The Contractor will define a method of monitoring the development activity to include any activity associated with DOJ Information, product, source code, and methods of operations. The data rights and development details shall be defined within the Contract.

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If the Contractor intends to utilize its existing data, for which it has a patent or copyright, to develop a contract deliverable, it is incumbent upon the Contractor to negotiate with the CO the proper FAR Part 27 clauses in the contract to protect its existing data.

B. Pursuant to FAR 52.227-14(d)(2), all documents and data produced in the performance of this contract containing DOJ Information, product code, source code, and/or methods of operations are the property of the U.S. Government and, without the prior written permission of the CO, the Contractor shall neither reproduce nor release such information to any third-party at any time, including during performance or following expiration and/ or termination of the contract.

C. Any DOJ Information made available to the Contractor under this contract shall be used only for the purpose of performance of this contract and shall not be divulged or made known in any manner to any persons except as may be necessary in the performance of this contract. In performance of this contract, the Contractor assumes responsibility for the protection of the confidentiality of all DOJ Information processed, stored, or transmitted by the Contractor. The Contractor shall comply with information security responsibilities and duties throughout the contract and after expiration/termination as appropriate per contract close-out activities. When requested by the CO (typically no more than annually), the Contractor shall provide a report to the CO identifying, to the best of the Contractor’s knowledge and belief, the type, amount, and level of sensitivity of the DOJ Information processed, stored, or transmitted under the Contract, including an estimate of the number of individuals for whom PII has been processed, stored or transmitted under the Contract and whether such information includes social security numbers (in whole or in part).

IV. Compliance with Information Technology Security Policies, Procedures and Requirements A. For all Covered Information Systems, in addition to any other applicable requirements, as set forth in Part I, the Contractor shall comply with the security requirements of the Federal Information Security Modernization Act of 2014 (“FISMA”), Privacy Act of 1974, E-Government Act of 2002, National Institute of Standards and Technology (“NIST”) Special Publications (“SP”), including NIST SP 800-37, 800-53, and 800-60 Volumes I and II, Federal Information Processing Standards (“FIPS”) Publications 140-2, 199, and 200, Federal Risk and Authorization Management Program (“FedRAMP”), DOJ IT Security Standards as amended, and OMB Memoranda relating to the security of information and/or Federal Information Systems.

B. In addition, for all Covered Information Systems, the Contractor shall comply with the following requirements, which are listed here only to highlight certain specific applicable requirements from one of the sources identified in the first paragraph of this Section. This is not an exhaustive list of all such requirements with which the Contractor is obligated to comply, and the omission of a requirement from this list should not be construed as negating the materiality of that requirement. These requirements and those in the authorities in the prior paragraph should be read together.

1. Limiting access to DOJ Information and Covered Information Systems to authorized users and to transactions and functions that authorized users are permitted to exercise.

2. Providing security awareness training at least annually to all Contractor employees and contractors involved with the Covered Contract. Such training shall include, but not be limited to, recognizing and reporting potential indicators of insider threats to users and managers of DOJ Information and Covered Information Systems.

3. Creating, protecting, and retaining, in accordance with applicable requirements but in any event at least until the expiration of the contract, Covered Information System audit records, reports, and supporting documentation to enable reviewing, monitoring, analysis, investigation, reconstruction, and reporting of unlawful, unauthorized, or inappropriate activity related to such Covered Information Systems and/or DOJ Information.

4. Maintaining authorizations to operate any Covered Information System.

5. Performing continuous monitoring on all Covered Information Systems, to include but not be limited to, collecting, reviewing, and analyzing appropriate logs and timely investigating security alerts and potential security incidents.

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6. Establishing and maintaining baseline configurations and current inventories of Covered Information Systems, including hardware, software, firmware, and documentation, throughout the Information System Development Lifecycle, and establishing and enforcing security configuration settings for IT products employed in Covered Information Systems.

7. Ensuring appropriate contingency planning has been performed, including DOJ Information and Covered Information System backups.

8. Identifying Covered Information System users, processes acting on behalf of users, or devices, and authenticating and verifying the identities of such users, processes, or devices, using multifactor authentication or HSPD-12 compliant authentication methods as defined by NIST 800-63-3, Digital Identity Guidelines or current revision.

9. Establishing and maintaining an operational incident handling capability for Covered Information Systems that includes adequate and timely development, logging, detection, analysis, containment, recovery, and user response activities, and tracking, documenting, and timely reporting incidents to appropriate officials and authorities within the Contractor’s organization and the DOJ.

10. Performing periodic and timely maintenance on Covered Information Systems, and providing effective controls on tools, techniques, mechanisms, and personnel used to conduct such maintenance.

11. Protecting Covered Information System media containing DOJ Information, including paper, digital and electronic media, and DOJ assets under Contractor control; protecting them from environmental impacts, access, and equipment positioning requirements defined; limiting access to DOJ Information to authorized users; and sanitizing or destroying Covered Information System media containing DOJ Information before disposal, release or reuse of such media.

12. Limiting physical access to Covered Information Systems, equipment, and physical facilities housing such Covered Information Systems to authorized personnel according to DOJ 03.

13. Screening individuals prior to authorizing access to Covered Information Systems to ensure compliance with DOJ Security standards including personnel background checks.

14. Continuously assessing the risk to DOJ Information in Covered Information Systems, including scanning and remediating vulnerabilities, or implementing appropriate mitigation in accordance with DOJ policy, and ensuring the timely removal of assets no longer supported by the Contractor.

15. Continuously monitoring the application of security controls of Covered Information Systems, assessing the efficacy of such controls, and developing and implementing plans of action designed to correct deficiencies and eliminate or reduce vulnerabilities in such Covered Information Systems.

16. Monitoring, controlling, and protecting information transmitted or received by Covered Information Systems at the external boundaries and key internal boundaries of such Covered Information Systems, and employing architectural designs, software development techniques, and systems engineering principles that promote effective security.

17. Identifying, reporting, and correcting Covered Information System security flaws in a timely manner, providing protection from malicious code at appropriate locations, monitoring security alerts and advisories and taking appropriate and timely action in response.

18. Ensuring return of Government Furnished Equipment (“GFE”) and/or PIV card assets within 10 business days of notification for end of use (contract end, staff change, etc.).

19. Complying with rights in data (FAR 52.227-14) as to the development, management, and protection of DOJ Information.

20. Reporting on risks or known issues impacting DOJ Services (staffing, hardware, process, changes, etc.) through the Contractor’s CO or COR, DOJ Service Owner (“SO”), and Government Technical Manager (“GTM”) including risk mitigation activities.

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21. Reporting through the Contractor’s CO or COR on any projected or planned changes in corporate ownership, covered information system design, and/or any technical changes that could impact the confidentiality, integrity or availability of DOJ Information, data, or systems. Changes to system design must be updated through the authorization process per NIST SP 800-37 Revision 2, Step 6 (‘Continuous Monitoring”) or current NIST revision.

22. When, as part of operating within the DOJ environment, the Contractor’s covered information system is subject to review, audit, or assessment by third parties, facilitating DOJ access to information system resources, facilities, personnel, and documentation in a timely manner as required by the auditors. Should a third-party organization conduct a review of any Covered Information System, the Contractor must provide a copy of the report to DOJ, through the CO and COR.

23. Completing an attestation that meets OMB Memorandum M-22-18 for software procurements following the template attestation form developed by NIST. The attestation form must be returned to the CO and COR for sharing with the component Chief Information Officer (CIO).

24. Reporting on outages impacting DOJ Services through the Contractor’s CO, COR, and DOJ Service Owner (SO) to include event and mitigation details.

C. The Contractor shall not process, store, or transmit DOJ Information using a Covered Information System without first obtaining an ATO for each Covered Information System. The ATO shall be signed by the Authorizing Official for the DOJ component responsible for maintaining the security, confidentiality, integrity, and availability of the DOJ Information under this contract. (For Cloud Computing Systems, see Section V, below.)

D. The Contractor shall ensure compliance with DOJ-03 (Personnel Security Requirements for Contractor Employees) as to all Covered Information Systems.

E. When requested by the DOJ CO or COR as described below, the Contractor shall provide DOJ, including the Office of Inspector General (“OIG”) and Federal law enforcement components, (1) access to any and all information and records, including electronic information, regarding a Covered Information System, and

(2) physical access to the Contractor’s facilities, installations, systems, operations, documents, records, and databases. Such access may include independent validation testing of controls, system penetration testing, and FISMA data reviews by DOJ or agents acting on behalf of DOJ, and such access shall be provided within 72 hours of the request. Additionally, the Contractor shall cooperate with DOJ’s efforts to ensure, maintain, and safeguard the security, confidentiality, integrity, and availability of DOJ Information.

F. The use of Contractor-owned laptops or other portable digital or electronic media to process or store DOJ Information covered by this clause or access a Covered Information System is prohibited unless the CO approves it in writing after the Contractor has provided a letter certifying compliance with the following requirements. For any requirements which include the use or storage of PII, the Senior Component Official for Privacy must also approve. Any additional requirements set forth for the use or storage of PII under DOJ-02, Contractor Privacy Requirements, are in addition to, not superseded by, the requirements set forth here.

1. Media must be encrypted using a NIST FIPS 140-2 approved product.

2. The Contractor must develop and implement a process to ensure that security and other applications software is kept up to date.

3. Where applicable, media must utilize antivirus software and a host-based firewall mechanism.

4. The Contractor must log all computer-readable data extracts from databases holding DOJ Information and verify that each extract including such data has been erased within 90 days of extraction or that its use is still required. All DOJ Information should be treated by the Contractor as sensitive information unless specifically designated as non-sensitive by the DOJ.

5. A Rules of Behavior (ROB) form must be signed and acknowledged annually by users. These rules must address, at a minimum, authorized, and official use, prohibition against unauthorized users and use, and the protection of DOJ Information. The form also must notify the users that they have no reasonable

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6. Cybersecurity Awareness Training (CSAT) shall be provided annually by Contractor for all users of Covered Information System. This training must be submitted to, and approved by, the CO or COR in advance of being provided to users. Users must complete and acknowledge having received CSAT each year. At a minimum, CSAT provided by contractors must include:

a. Insider Threat Detection and Reporting – Importance of detecting, methodologies, indicators, and reporting

b. Privacy Awareness – Privacy Act and PII

c. General Cybersecurity – Information security, trends in advance persistent threats, social engineering/phishing, appropriate use, mobile devices, remote access, basic security best practices

G. Contractors shall not store DOJ information on Contractor-owned removable IT (e.g., media such as a thumb drive or external hard drive) unless expressly authorized in writing by the DOJ CO or COR in the performance of their contract.

H. When no longer needed, all media must be processed (sanitized, degaussed, or destroyed) in accordance with NIST SP 900-88, Guidelines for Media Sanitization.

I. The Contractor must keep an accurate inventory of digital or electronic media used in the performance of DOJ contracts.

J. The Contractor must remove all DOJ Information from Contractor media and return all such information to the DOJ within 10 days of the expiration or termination of the contract, unless otherwise extended by the CO, or waived (in part or whole) by the CO, and all such information shall be returned in a format and form acceptable to DOJ. The Contractor shall provide a written certification certifying the removal and return of all such information to the CO within 10 business days of the removal and return of all DOJ Information.

K. DOJ, at its discretion, may suspend the Contractor’s access to any DOJ Information, or terminate the contract, when DOJ suspects that the Contractor has failed to comply with any security requirement, or in the event of an Information System Security Incident or Security Breach (see definitions above), where the Department determines that either event gives cause for such action. The suspension of access to DOJ Information may last until such time as DOJ, in its sole discretion, determines that the situation giving rise to such action has been corrected or no longer exists. Any termination action taken because of the Contractor’s suspected failure to comply with any security requirement will be conducted in accordance with the applicable termination clause governing the awarded contract. The Contractor understands that any suspension or termination in accordance with this provision shall be at no cost to DOJ, and that upon request by the CO, the Contractor must immediately return all DOJ Information to DOJ, as well as any media upon which DOJ Information resides, at the Contractor’s expense. The Contractor must comply with FAR 52.227-14 (Rights in Data), FAR 52.245-1 (Government Property), DOJ 2400.3A Chapter 1 (component property procedures), and FAR 4.804-5(a)(6) (Procedures for closing out contract files).

V. Cloud Computing A. The Contractor may not utilize the Cloud system of any Cloud Service Provider (“CSP”) unless:

1. All of the following has occurred: (a) the Cloud system and CSP have been evaluated by a Third Party Assessing Organization (“3PAO”) certified under FedRAMP; (b) the Cloud system received FedRAMP authorization; (c) the Contractor has provided the most current System Security Plan (“SSP”) and Security Assessment Report (“SAR”) to the DOJ CO for consideration, and provides any subsequent SSPs and SARs within 30 days of issuance; and, (d) the Authorizing Official for the DOJ component responsible for maintaining the security confidentiality, integrity, and availability of the DOJ Information under the Covered Contract has issued an ATO; or,

2. In cases where the CSP or its offering is not FedRAMP authorized, the COR approves utilization of the Cloud System after the CSP has worked with the authorizing official, the DOJ OCIO, and the FedRAMP Program Management Office to determine that the CSP is likely to seek and receive Agency/ FedRAMP authorization within 1 year, or DOJ has authorized use as a Private Cloud or Contractor Owned, Contractor Operated system.

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B. The Contractor must ensure that the CSP allows DOJ to access and retrieve any DOJ Information processed, stored, or transmitted in a Cloud system under this Contract within a reasonable time of any such request, but in no event less than 48 hours from the request. To ensure that the DOJ can fully and appropriately search and retrieve DOJ Information from the Cloud system, access shall include any schemas, meta-data, and other associated data artifacts.

C. The Contractor must ensure that the CSP provides access and information to support and enable DOJ’s cloud security posture management, to include the current inventory of security management configuration data for services and information to confirm the Contractor has been monitoring accounts for compliance with security requirements.