15JA05-21-Q-00000053 Solicitation.pdf

15JA0521Q00000053 Page 1 of 29

SOLICITATION/CONTRACT/ORDER FOR COMMERCIAL ITEMS

OFFEROR TO COMPLETE BLOCKS 12, 17, 23, 24 & 30

1. REQUISITION NUMBER PAGE 1 OF

5. SOLICITATION NUMBER

15JA0521Q00000053

2. CONTRACT NO. 3. AWARD/EFFECTIVE

DATE

4. ORDER NUMBER 6. SOLICITATION ISSUE

DATE

08/18/2021

7. FOR SOLICITATION

INFORMATION CALL:

a. NAME b. TELEPHONE NUMBER (No collect calls) 8. OFFER DUE DATE / LOCAL

TIME

09/01/2021 12:00 ET

CODE 15JA05

Executive Office for United States Attorney 175 N Street NE 6th Floor Washington, DC 20530-0021

9. ISSUED BY X UNRESTRICTED OR SET ASIDE: % FOR

SMALL BUSINESS

HUBZONE SMALL

BUSINESS

SERVICE-DISABLED

VETERAN-OWNED

SMALL BUSINESS

WOMEN-OWNED SMALL BUSINESS (WOSB)

ELIGIBLE UNDER THE WOMEN-OWNED

SMALL BUSINESS PROGRAM

EDWOSB

8(A)

NAICS: 511210

SIZE STANDARD: na

10. THE ACQUISITION IS

SEE

SCHEDULE

11. DELIVERY FOR FOB DESTINATION

UNLESS BLOCK IS MARKED

NET 30

12. DISCOUNT TERMS

13a. THIS CONTRACT IS A

RATED ORDER UNDER DPAS

(15 CFR 700)

13b. RATING

X RFQ IFB RFP

14. METHOD OF SOLICITATION

CODE15. DELIVER TO

Executive Office for United States Attorney 175 N Street NE Washington, DC 20002

Sunil Ohri, sunil.ohri@usdoj.gov, 202-252-6238

CODE 15JA0516. ADMINISTERED BY

Executive Office for United States Attorney 175 N Street NE 6th Floor Washington, DC 20530-0021

FACILITY

CODE

CODE

TELEPHONE NO.

17a. CONTRACTOR/

OFFEROR

CODE18a. PAYMENT WILL BE MADE BY

USAEO.OCIOAcctPayable@usa.doj.gov

17b. CHECK IF REMITTANCE IS DIFFERENT AND PUT SUCH ADDRESS IN

OFFER SEE ADDENDUM

18b. SUBMIT INVOICES TO ADDRESS SHOWN IN BLOCK 18a UNLESS BLOCK BELOW IS

CHECKED

19.

ITEM NO.

20.

SCHEDULE OF SUPPLIES/SERVICES

21.

QUANTITY

22.

UNIT

23.

UNIT PRICE

24.

AMOUNT

Document Management Solution (DMS) Integrator

See Continuation Sheet(s) (Use Reverse and/or Attach Additional Sheets as Necessary)

25. ACCOUNTING AND APPROPRIATION DATA 26. TOTAL AWARD AMOUNT (For Govt. Use Only)

X 27a. SOLICITATION INCORPORATES BY REFERENCE FAR 52.212-1, 52.212-4. FAR 52.212-3 AND 52.212-5 ARE ATTACHED. ADDENDA ARE X ARE NOT ATTACHED

27b. CONTRACT/PURCHASE ORDER INCORPORATES BY REFERENCE FAR 52.212-4. FAR 52.212-5 IS ATTACHED. ADDENDA ARE ARE NOT ATTACHED

28. CONTRACTOR IS REQUIRED TO SIGN THIS DOCUMENT AND RETURN ____ COPIES TO

ISSUING OFFICE. CONTRACTOR AGREES TO FURNISH AND DELIVER ALL ITEMS SET FORTH

OR OTHERWISE IDENTIFIED ABOVE AND ON ANY ADDITIONAL SHEETS SUBJECT TO THE

TERMS AND CONDITIONS SPECIFIED.

29. AWARD OF CONTRACT: REF. _____________________________ OFFER

DATED _________________ . YOUR OFFER ON SOLICITATION (BLOCK 5)

INCLUDING ANY ADDITIONS OR CHANGES WHICH ARE SET FORTH HEREIN,

IS ACCEPTED AS TO ITEMS:

30a. SIGNATURE OF OFFEROR/CONTRACTOR 31a. UNITED STATES OF AMERICA (SIGNATURE OF CONTRACTING OFFICER)

30b. NAME AND TITLE OF SIGNER (TYPE OR PRINT) 30c. DATE SIGNED 31b. NAME OF THE CONTRACTING OFFICER (TYPE OR PRINT)

Terri S Long-Miller

31c. DATE SIGNED

08/18/2021

AUTHORIZED FOR LOCAL REPRODUCTION

PREVIOUS EDITION IS NOT USABLE

STANDARD FORM 1449 (REV. 2/2012)

Prescribed by GSA - FAR (48 CFR) 53.212

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19.

ITEM NO.

20.

SCHEDULE OF SUPPLIES/SERVICES

21.

QUANTITY

22.

UNIT

23.

UNIT PRICE

24.

AMOUNT

32a. QUANTITY IN COLUMN 21 HAS BEEN

RECEIVED INSPECTED ACCEPTED, AND CONFORMS TO THE CONTRACT, EXCEPT AS NOTED: _________________________________

32b. SIGNATURE OF AUTHORIZED GOVERNMENT

REPRESENTATIVE

32c. DATE 32d. PRINTED NAME AND TITLE OF AUTHORIZED GOVERNMENT

REPRESENTATIVE

32e. MAILING ADDRESS OF AUTHORIZED GOVERNMENT REPRESENTATIVE 32f. TELEPHONE NUMBER OF AUTHORIZED GOVERNMENT

REPRESENTATIVE

32g. E-MAIL OF AUTHORIZED GOVERNMENT REPRESENTATIVE

PARTIAL FINAL

33. SHIP NUMBER 34. VOUCHER NUMBER 35. AMOUNT VERIFIED

CORRECT FOR

COMPLETE PARTIAL FINAL

36. PAYMENT 37. CHECK NUMBER

38. S/R ACCOUNT NUMBER 39. S/R VOUCHER NUMBER 40. PAID BY

41a. I CERTIFY THIS ACCOUNT IS CORRECT AND PROPER FOR PAYMENT 42a. RECEIVED BY (Print)

41b. SIGNATURE AND TITLE OF CERTIFYING OFFICER 41c. DATE

42b. RECEIVED AT (Location)

42c. DATE REC'D (YY/MM/DD) 42d. TOTAL CONTAINERS

STANDARD FORM 1449 (REV. 2/2012) BACK

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Table of Contents

Section Description Page Number

1 Solicitation/Contract Form 2 Commodity or Services Schedule

Section B Supplies or Services and Prices/Costs Section C Description of Services Section D Packaging and Marking Section E Inspection and Acceptance Section F Deliveries or Performance Section G Contract Administration Data

3 Contract Clauses EOUSA AI-10-1A Notice of Contractor Personnel Security Clearance Requirements (May 2016) EOUSA AI-10-1B Security of Department Information and Systems (April 2015) EOUSA AI-10-1D Continuing Contract Performance During a Pandemic Influenza or other National Emergency (October 2007) 52.204-7 System for Award Management (Oct 2018) 52.204-13 System for Award Management Maintenance (Oct 2018) 52.204-19 Incorporation by Reference of Representations and Certifications (Dec 2014) 52.204-25 Prohibition on Contracting for Certain Telecommunications and Video Surveillance Services or Equipment (Aug 2020) 52.212-4 Contract Terms and Conditions-Commercial Items (Oct 2018) 52.225-25 Prohibition on Contracting with Entities Engaging in Certain Activities or Transactions Relating to Iran--Representation and Certifications (Jun 2020) 52.232-39 Unenforceability of Unauthorized Obligations (Jun 2013) 52.232-40 Providing Accelerated Payments to Small Business Subcontractors (Dec 2013) 52.233-4 Applicable Law for Breach of Contract Claim (Oct 2004) 52.217-5 Evaluation of Options (July 1990) 52.217-8 Option to Extend Services (Nov 1999) 52.217-9 Option to Extend the Term of the Contract (Mar 2000) Electronic Signatures Electronic Signatures (May 2019)

NOTIFICATION TO EMPLOYEES OF WHISTLEBLOWER RIGHTS, REMEDIES, AND OTHER

INFORMATION

52.212-5 Contract Terms and Conditions Required to Implement Statutes or Executive Orders- Commercial Items (Jul 2021)

4 List of Attachments 5 Solicitation Provisions

Section M Evaluation Factors for Award

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Section 2 - Commodity or Services Schedule

SCHEDULE OF SUPPLIES/SERVICES

CONTINUATION SHEET

ITEM NO. SUPPLIES/SERVICES QUANTITY UNIT UNIT PRICE AMOUNT

0001 Document Management Solution (DMS) Integrator

Firm Fixed Price

PSC: DA10

Line Period of Performance: 10/01/2021 - 09/30/2022

Base Period

1 LT $________ $_________________

ITEM NO. SUPPLIES/SERVICES QUANTITY UNIT UNIT PRICE AMOUNT

1001 Document Management Solution (DMS) Integrator

Firm Fixed Price

PSC: DA10

Line Period of Performance: 10/01/2022 - 09/30/2023

Option Period 1

1 LT $________ $_________________

ITEM NO. SUPPLIES/SERVICES QUANTITY UNIT UNIT PRICE AMOUNT

2001 Document Management Solution (DMS) Integrator

Firm Fixed Price

PSC: DA10

Line Period of Performance: 10/01/2023 - 09/30/2024

Option Period 2

1 LT $________ $_________________

ITEM NO. SUPPLIES/SERVICES QUANTITY UNIT UNIT PRICE AMOUNT

3001 Document Management Solution (DMS) Integrator

Firm Fixed Price

PSC: DA10

Line Period of Performance: 10/01/2024 - 09/30/2025

Option Period 3

1 LT $________ $_________________

ITEM NO. SUPPLIES/SERVICES QUANTITY UNIT UNIT PRICE AMOUNT

4001 Document Management Solution (DMS) Integrator

Firm Fixed Price

PSC: DA10

Line Period of Performance: 10/01/2025 - 09/30/2026

Option Period 4

1 LT $________ $_________________

Section B Supplies or Services and Prices/Costs

There are 94 United States Attorneys’ Offices (USAOs) located throughout the United States, Puerto Rico, the Virgin Islands, Guam, and the Northern Mariana Islands. The USAOs serve as the nation’s principal litigators. Each USAO handles a diverse docket of criminal and civil cases.

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The Executive Office for United States Attorneys (EOUSA) provides administrative support for the 94 United States Attorneys’ Offices (USAOs). Such support includes legal education, administrative oversight, technical support, and the creation of policies.

EOUSA’s Office of the Chief Information Officer (OCIO) provides information technology (IT) systems, services, and support to USAOs.

Stakeholders within the USAO community have identified a need for a legal document management system. USAOs have cited a need for a DMS system that will enable USAOs to (among other things): (i) store common productivity files and emails in a centralized, case-centric paradigm; (ii) create, store, and track iterative versions of documents; and (iii) search for documents using both simple and more advanced text and metadata-based searching techniques.

The USAOs do not have an enterprise-wide document management system (DMS). The USAOs are in the midst of piloting a DMS at this time. At present, the vast majority of USAOs store the common productivity files (g., Microsoft Word, Microsoft Excel, Microsoft PowerPoint, and Adobe PDF) they create and modify in connection with their cases and certain case-related emails on Microsoft Windows-based shared drives. The pilot group is storing those same files in the DMS we are piloting.

At present, personal computers (PCs) used by USAO personnel run a standard image. OCIO uses Microsoft System Center Configuration Manager to re-image PCs and deploy application updates. The USAOs current desktop operating system is Windows 10 Enterprise (2019 Build 18363). The USAOs currently use Office 365 for Microsoft Word, Microsoft Excel, Microsoft PowerPoint, and also Adobe Acrobat Pro DC.

At present, OCIO operates an on-premise deployment of Microsoft Exchange to provide the USAOs email service. The USAOs currently use Outlook 365.

At present, the USAOs have a custom-developed case management system called CaseView. CaseView is an Oracle-backend system that is developed and operated by OCIO.

The EOUSA previously identified five (5) USAOs with whom a pilot implementation of the DMS has been performed. The USAO is expanding the deployment beyond the pilot to additional USAOs.

The USAOs and EOUSA require a knowledgeable, experienced, and skilled consultant to provide candid and unbiased advice and assistance to help the USAO community: deploy the DMS to additional USAOs; to continue to identify, refine, and document requirements; to perform custom development to assist in the integration of the DMS into the overall USAO architecture; to assist in evaluating and addressing potential change management issues that may arise; and evaluate and plan for the likely issues the USAOs would encounter in extending the deployment of the DMS to additional USAOs, as detailed in this Statement of Work.

To meet USAO requirements, the consultant must have expertise with: NetDocuments software, including the designing and integration of the DMS with USAO workflows and processes; custom development of applications to support the integration of the DMS with USAO systems; and with USAOs Case Management system – CaseView.

Section C Description of Services

Contractor shall provide the services detailed below must meet the requirements detailed below:

Requirements regarding Identification, Refinement, and Documentation

Contractor shall work with EOUSA and select Key Stakeholders to continue to identify, refine, and document functional and business process requirements of a DMS. These will include some combination of the following: (1) Core DMS functionality (g., version control, auditing, and integration with common office productivity applications); (2) Collaboration functionality (e.g., internal collaboration and external collaboration); (3) Security (e.g., “need to know” security models); (4) DMS workspace and folder considerations; (5) DMS metadata considerations; (6) Records Management considerations; (7) Mobility; (8) Offline functionality;

and (9) Case management system integration.

Contractor shall conduct, if required by EOUSA, interviews with members of the OCIO staffs listed in this subsection to identify, review, refine and document requirements.

* Office Automation (Desktop Configuration, Desktop Applications, Email, LAN);

* Case Management Staff (CaseView);

* Information System Security (IT Security, Secure Authentication)[1];

* Records and Information Management (Records Management); and

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* Telecommunications and Technology Development Staff (WAN, Mobility)

Contractor shall prepare and deliver to the COR, within 10 days, or less as mutually agreed to by the Contractor and the COR, a requirements summary (Requirements Summary), detailing the functional and business requirements developed based on the interviews described in Section 2.1.2.

DMS Evaluation, Planning, Refinement

Contractor shall conduct, if required, design interview and/or workshop sessions with representatives from the OCIO staffs listed in this subsection. These sessions shall be focused on the functional configuration items that OCIO would need to decide upon, establish, and/or re-configure to expand the deployment of the DMS at the USAOs.

* Office Automation (Desktop Configuration, Desktop Applications, Email, LAN);

* Case Management Staff (CaseView);

* Information System Security (IT Security, Secure Authentication);

* Records and Information Management (Records Management)

* Telecommunications and Technology Development Staff (WAN, Mobility)

Based on Contractor’s design workshops (Section 2.2.1), Contractor shall prepare and provide the COR a report (Design/Redesign Report). That report shall (at a minimum):

* Summarize the proposed configurations and/or reconfigurations required to support the expanded deployment;

* Analyze the likely the business impact of the items reflected in the Design/Redesign Report, including the key risks to user adoption, any custom development required, any related expected training, and any other support required;

* Analyze the cost components of the items reflected in the Design/Redesign Report (from Rough Order of Magnitude

(ROM) perspective) across the USAO community, including, to the extent applicable (at a minimum): DMS software costs, third-party software costs, on-premises hardware (if required), network capacity, implementation costs, training costs for implementation, and on-going support and maintenance costs necessary to support the system.

Maintenance and Support

* Contractor shall advise EOUSA regarding the DMS Government configurations (including repository settings, cabinet settings, metadata configuration, and security configuration) required to meet USAO requirements to support the remaining USAO pilot and full deployment;

* Contractor shall assist EOUSA's IT staff in troubleshooting and resolving issues with the interaction between NetDocuments Software application plug-ins and the DMS Government cloud enclave;

* Contractor shall provide Tier2 level support - not limited to Application/Plugins - includes issues related to the custom developed applications, Reporting and general technical APIs;

* Contractor shall provide technical consulting activities required for the prep, setup and establishment of the required DMS configuration for each District as they are onboarded to the system. These activities can include Cabinet setup for the District, creation of workspace templates, profile attributes, establishing users in the repository, building the required groups, creating personal workspaces with the appropriate security model, and creating District workspaces;

* Contractor shall provide consulting services regarding communication, ongoing developments, refinements, and introductions of the system and its design to additional Districts being onboarded to the system;

* Contractor shall provide monthly document usage and analysis reporting, for each active District, as part of the ongoing support and continuous improvement process.

Additional Requirements

* Must have expertise with NetDocuments Software – both Server Side and Client Applications;

* Must have a Certified NetDocuments Engineer as part of its team;

* Must have personnel who have security clearance at a Tier 4 level;

* Must have personnel who have active accounts with the USAOs;

* Must have knowledge of USAOs Case Management system, CaseView;

* Must have experience in custom development, maintenance, and support of applications receiving feeds from CaseView and incorporating them into feeds to the DMS using standard NetDocuments APIs;

* Must have expertise in custom development, maintenance, and support of applications to integrate with NetDocuments

Software for such functions (non-exhaustive) as Reporting, Data Analytics, Dashboards, Case Closing procedures;

* Must be a Certified NetDocuments Partner;

[1] EOUSA OCIO’s Information Systems Security staff will complete an independent Security Assessment of DMS technology based on NIST controls and other Federal and DOJ IT standards. EOUSA does not expect Contractor to perform such an Assessment.

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Rather, EOUSA expects Contractor to interview members of EOUSA’s Information Systems Security staff to understand key, high-level requirements and expectations for any system to be used by the USAOs.

Section D Packaging and Marking

All information and submittals, including receipts, forms, reports, and other materials provided to the CO or the COR shall be clearly marked with the contract number as follows:

CONTRACT NUMBER: 15JA05-21-P-000000xx

Section E Inspection and Acceptance

Final inspection and acceptance of work performed, reports, and other deliverables will be performed by the COR.

Section F Deliveries or Performance

F.1 Deliverables

Contractor shall submit the deliverables detailed in the table included in this section throughout the period of performance. All deliverables shall be prepared in a professional manner, to include proper sentence structure and proper grammar. Contractor shall deliver all materials to COR electronically (via email or file transfer site provided by EOUSA).

The table below details the deliverables expected by the Government. The table provides a description of the deliverable, the SOW section where the deliverable is described, and the timing associated with the deliverable.

ID Description SOW § Timing 1 Requirements Summary 2.1.3 Timing to be determined by mutual agreement of COR and Contractor

2 Design/Redesign Report 2.2.2 Timing to be determined by mutual agreement of COR and Contractor

3 Various Maintenance and Support items

2.3 Timing to be determined by

mutual agreement of COR and Contractor

F.2 Type of Contract:

Firm fixed price

F.3 Period of Performance:

The period of performance will be a base year and 4 one-year options. The total project period is anticipated to be a maximum of 60 months if the option years are exercised.

Base Year: October 01, 2021 through September 30, 2022 Option Year 1: October 01, 2022 through September 30, 2023 Option Year 2: October 01, 2023 through September 30, 2024 Option Year 3: October 01, 2024 through September 30, 2025 Option Year 4: October 01, 2025 through September 30, 2026

Exercising Options

The EOUSA reserves the sole right to exercise option(s). Option periods are contingent upon: 1) continued requirement of services; 2) successful performance by Contractor; and 3) availability of appropriated funds by the Congress.

F.4 Place of Performance:

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Executive Office for United States Attorneys 175 N Street, NE Washington, DC 20530

This space is available as a place of performance for purposes of this Statement of Work (Government Site). Contractor may perform work at the Government Site or office space provided by Contractor for purposes of performing the work outlined in the Statement of Work. If Contractor proposes using a location other than the Government Site, Contractor’s pricing proposal shall detail any and all costs to the Government for using a location other than the Government Site.

Section G Contract Administration Data

G.1 Justice Acquisition Regulation (JAR) 2852.201-70 Contracting Officer's Representative (COR) – (EOUSA modified, March 2014)

Sunil Ohri, sunil.ohri@usdoj.gov, 202-252-6238, is hereby designated to act as Contracting Officer's Representative (COR) under this contract.

(a) The COR is responsible, as applicable, for: receiving all deliverables, inspecting and accepting the supplies or services provided hereunder in accordance with the terms and conditions of this contract; providing direction to the contractor which clarifies the contract effort, fills in details or otherwise serves to accomplish the contractual Scope of Work; evaluating performance; and certifying all invoices/vouchers for acceptance of the supplies or services furnished for payment.

(b) The COR does not have the authority to alter the contractor's obligations under the contract, and/or modify any of the expressed terms, conditions, specifications, or cost of the agreement. If as a result of technical discussions, it is desirable to alter/change contractual obligations or the Scope of Work, the Contracting Officer shall issue such changes.

G.2 Contracting Officer (CO)

The Contracting Officer for this contract is:

Terri Long-Miller Executive Office for US Attorneys Acquisitions Staff 175 N Street NE, 6th floor Washington, DC 20002

Written communication shall make reference to the contract number and shall be emailed to terri.long-miller@usdoj.gov or mailed to the above address. Any action taken by the Contractor outside the terms and conditions of this order shall be deemed to have been for the Contractor’s convenience and therefore shall not obligate the Government to pay the Contractor for those efforts.

G.3 Invoice Requirements

All invoices shall be submitted to via email to: USAEO.OCIOAcctPayable@usdoj.gov.

Prompt Payment Act B In accordance with the Federal Prompt Payment Act, the U.S. Attorney’s Office is authorized 30 days from the date on which a complete, correct invoice is received to make payment.

Invoices shall be submitted with the following information:

Tax Identification Number Name and address of the contractor;

Invoice date and number;

Purchase Order /Contract number: 15JA0521P000000xx Description, price, and quantity of services/supplies actually rendered/delivered;

Delivery date/Period of Performance covered by the invoice;

Payment terms;

Name and address of the contractor’s official to whom payment is to be sent. The “Remit To” address must correspond to the remittance

15JA0521Q00000053 Page 9 of 29 address in this delivery order;

Name, title, phone number, and mailing address of contact person to be notified in the event of a defective invoice;

Invoices that are not properly submitted, or that contain incorrect data, will be returned for revision.

G.4 Section 508

All electronic and information technology (EIT) procured through this performance work statement must meet the applicable accessibility standards at 36 CFR 1194, unless an agency exception to this requirement exists. 36 CFR 1194 implements Section 508 of the Rehabilitation Act of 1973, as amended in 1998, and is viewable at: http://www.access-board.gov/508.htm.

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Section 3 - Contract Clauses

A.1 ADDENDUM TO FAR 52.212-4, Contract Terms and Conditions-Commercial Items (Oct 2018)

The terms and conditions for the following clauses are hereby incorporated into this solicitation and resulting contract as an addendum to FAR clause 52.212-4.

Clauses By Reference

52.252-2 CLAUSES INCORPORATED BY REFERENCE (FEB 1998)

This contract incorporates one or more clauses by reference, with the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available. Also, the full text of a clause may be accessed electronically at this/these address(es): www.acquisition.gov

Clause Title Fill-ins (if applicable)

52.204-7 System for Award Management (Oct 2018)

52.204-13 System for Award Management Maintenance (Oct 2018)

52.204-19 Incorporation by Reference of Representations and Certifications (Dec

2014)

52.204-25 Prohibition on Contracting for Certain Telecommunications and Video

Surveillance Services or Equipment (Aug 2020)

52.212-4 Contract Terms and Conditions-Commercial Items (Oct 2018)

52.225-25 Prohibition on Contracting with Entities Engaging in Certain Activities or Transactions Relating to Iran--Representation and Certifications

(Jun 2020)

52.232-39 Unenforceability of Unauthorized Obligations (Jun 2013)

52.232-40 Providing Accelerated Payments to Small Business Subcontractors

(Dec 2013)

52.233-4 Applicable Law for Breach of Contract Claim (Oct 2004)

Clauses By Full Text

EOUSA AI-10-1A Notice of Contractor Personnel Security Clearance Requirements (May 2016)

Notice of Contractor Personnel Security Clearance Requirements (May 2016)

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Where performance under this contract/task or delivery order/call requires contractor personnel to have access to Department of Justice (DOJ) information, systems or facilities, contractor personnel will be subject to the background clearance requirements of Homeland Security Presidential Directive (HSPD)-12, OMB Guidance Memorandum M-05-24, FIPS Publication 201 and DOJ policy implementing HSPD-12 requirements.

Background clearance requirements are determined by the risk level of each position, type of access and length of access required.

Further information on background security clearance requirements applicable to contractor personnel proposed for performance on this contract/order/call may be obtained from the Contracting Officer.

All contractor personnel must meet the DOJ Residency Requirements. He/She must have lived in the United States three of the last five years immediately prior to start of performance on this contract/order/call, and/or worked for the United States overseas in a federal or military capacity, and/or be a dependent of a federal or military employee serving overseas. Specific limited waiver request requirements - contractor personnel performing duties for a cumulative total of 14 days or less where there is a critical need for their specialized and unique skills (as solely determined by the Government) may be proposed for a waiver of the Residency Requirement by the contractor. Contractor personnel who are non-US citizens proposed for such a waiver of the Residency Requirement must be from a country allied with the United States (Since the countries on the Allied Countries List are subject to change, the contractor may review the following website for current information:

http://www.opm.gov

For contracts/orders/calls where access to DOJ information systems is involved, non-US citizens are not permitted to have access to or assist in the development, operation, management or maintenance of any DOJ IT system, unless a waiver is granted by the head of the Component, with concurrence of the Department Security Officer (DSO) and DOJ Chief Information Officer (CIO). Any such waiver must be in writing and be obtained prior to allowing any contractor employee who is the subject of the waiver request to begin work under this contract/order/call.

The above requirements apply to any and all contractor employees requiring access to DOJ information systems or facilities, including subcontractor personnel, if applicable.

(end of clause)

EOUSA AI-10-1B Security of Department Information and Systems (April 2015)

Security of Department Information and Systems (April 2015)

I. Applicability to Contractors and Subcontractors

This clause applies to all contractors and subcontractors, including cloud service providers (“CSPs”), and personnel of contractors, subcontractors, and CSPs (hereinafter collectively, “Contractor”) that may access, collect, store, process, maintain, use, share, retrieve, disseminate, transmit, or dispose of DOJ Information. It establishes and implements specific DOJ requirements applicable to this Contract. The requirements established herein are in addition to those required by the Federal Acquisition Regulation (“FAR”), including FAR 11.002(g) and 52.239-1, the Privacy Act of 1974, and any other applicable laws, mandates, Procurement Guidance Documents, and Executive Orders pertaining to the development and operation of Information Systems and the protection of Government Information. This clause does not alter or diminish any existing rights, obligation 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. Information means 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. Information includes information in an electronic format that allows it be stored, retrieved or transmitted, also referred to as “data,” and “personally identifiable information” (“PII”), regardless of form.

B. Personally Identifiable Information (or PII) means any 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, such as his or her name, 15JA0521Q00000053 Page 12 of 29 social security number, date and place of birth, mother's maiden name, biometric records, etc., including any other personal information which is linked or linkable to an individual.

C. DOJ Information 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 Contractor for the DOJ in connection with the performance of the contract, and/or (3) acquired in order to perform the contract.

D. Information System means any resources, or set of resources organized for accessing, collecting, storing, processing, maintaining, using, sharing, retrieving, disseminating, transmitting, or disposing of (hereinafter collectively, “processing, storing, or transmitting”) Information.

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

III. Confidentiality and Non-disclosure of DOJ Information

A. Preliminary and final deliverables and all associated working papers and material generated by Contractor containing DOJ Information 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.

B. All documents produced in the performance of this contract containing DOJ Information are the property of the U.S.

Government and Contractor shall neither reproduce nor release to any third-party at any time, including during or at expiration or termination of the contract without the prior written permission of the CO.

C. Any DOJ information made available to 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, Contractor assumes responsibility for the protection of the confidentiality of any and all DOJ Information processed, stored, or transmitted by the Contractor. When requested by the CO (typically no more than annually), Contractor shall provide a report to the CO identifying, to the best of 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, Contractor shall comply with all security requirements, including but not limited to the regulations and guidance found in the Federal Information Security Management 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, OMB Memoranda, Federal Risk and Authorization Management Program (“FedRAMP”), DOJ IT Security Standards, including DOJ Order 2640.2, as amended. These requirements include but are not limited to:

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 including, but not 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 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;

6. Establishing and maintaining baseline configurations and inventories of Covered Information Systems, including hardware, software, firmware, and documentation, throughout the Information System Development

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Lifecycle, and establishing and enforcing security configuration settings for IT products employed in 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 where required;

9. Establishing an operational incident handling capability for Covered Information Systems that includes adequate preparation, detection, analysis, containment, recovery, and user response activities, and tracking, documenting, and reporting incidents to appropriate officials and authorities within 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. [Reserved]

12. Protecting Covered Information System media containing DOJ Information, including paper, digital and electronic media; 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;

13. Limiting physical access to Covered Information Systems, equipment, and physical facilities housing such Covered Information Systems to authorized U.S. citizens unless a waiver has been granted by the Contracting Officer (“CO”), and protecting the physical facilities and support infrastructure for such Information Systems;

14. Screening individuals prior to authorizing access to Covered Information Systems to ensure compliance with DOJ Security standards;

15. Assessing the risk to DOJ Information in Covered Information Systems periodically, including scanning for vulnerabilities and remediating such vulnerabilities in accordance with DOJ policy and ensuring the timely removal of assets no longer supported by the Contractor;

16. Assessing the security controls of Covered Information Systems periodically to determine if the controls are effective in their application, developing and implementing plans of action designed to correct deficiencies and eliminate or reduce vulnerabilities in such Information Systems, and monitoring security controls on an ongoing basis to ensure the continued effectiveness of the controls;

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

18. 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 action in response.

B. Contractor shall not process, store, or transmit DOJ Information using a Covered Information System without first obtaining an Authority to Operate (“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. The DOJ standards and requirements for obtaining an ATO may be found at DOJ Order 2640.2, as amended. (For Cloud Computing Systems, see Section V, below.)

C. Contractor shall ensure that no Non-U.S. citizen accesses or assists in the development, operation, management, or maintenance of any DOJ Information System, unless a waiver has been granted by the by the DOJ Component Head (or his or her designee) responsible for the DOJ Information System, the DOJ Chief Information Officer, and the DOJ Security Officer.

D. When requested by the DOJ CO or COR, or other DOJ official as described below, in connection with DOJ’s efforts to ensure compliance with security requirements and to maintain and safeguard against threats and hazards to the

15JA0521Q00000053 Page 14 of 29 security, confidentiality, integrity, and availability of DOJ Information, 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 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, Contractor shall cooperate with DOJ’s efforts to ensure, maintain, and safeguard the security, confidentiality, integrity, and availability of DOJ Information.

E. The use of Contractor-owned laptops or other portable digital or electronic media to process or store DOJ Information covered by this clause is prohibited until Contractor provides a letter to the DOJ CO, and obtains the CO’s approval, certifying compliance with the following requirements:

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

2. 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. 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 is sensitive information unless specifically designated as non-sensitive by the DOJ; and,

5. A Rules of Behavior (“ROB”) form must be signed 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 user that he or she has no reasonable expectation of privacy regarding any communications transmitted through or data stored on Contractor-owned laptops or other portable digital or electronic media.

F. Contractor-owned removable media containing DOJ Information shall not be removed from DOJ facilities without prior approval of the DOJ CO or COR.

G. When no longer needed, all media must be processed (sanitized, degaussed, or destroyed) in accordance with DOJ security requirements.

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

I. Contractor must remove all DOJ Information from Contractor media and return all such information to the DOJ within 15 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 to the DOJ in a format and form acceptable to the DOJ. The removal and return of all DOJ Information must be accomplished in accordance with DOJ IT Security Standard requirements, and an official of the Contractor shall provide a written certification certifying the removal and return of all such information to the CO within 15 days of the removal and return of all DOJ Information.

J. DOJ, at its discretion, may suspend Contractor’s access to any DOJ Information, or terminate the contract, when DOJ suspects that Contractor has failed to comply with any security requirement, or in the event of an Information System Security Incident (see Section V.E. below), 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. Contractor understands that any suspension or termination in accordance with this provision shall be at no cost to the DOJ, and that upon request by the CO, Contractor must immediately return all DOJ Information to DOJ, as well as any media upon which DOJ Information resides, at Contractor’s expense.

V. Cloud Computing

A. Cloud Computing means an Information System having the essential characteristics described in NIST SP 800-145, The NIST Definition of Cloud Computing. For the sake of this provision and clause, Cloud Computing includes Software as a Service, Platform as a Service, and Infrastructure as a Service, and deployment in a Private Cloud, Community Cloud, Public Cloud, or Hybrid Cloud.

B. Contractor may not utilize the Cloud system of any CSP unless:

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1. The Cloud system and CSP have been evaluated and approved by a 3PAO certified under FedRAMP and Contractor has provided the most current Security Assessment Report (“SAR”) to the DOJ CO for consideration as part of Contractor’s overall System Security Plan, and any subsequent SARs within 30 days of issuance, and has received an ATO from the Authorizing Official for the DOJ component responsible for maintaining the security confidentiality, integrity, and availability of the DOJ Information under contract; or,

2. If not certified under FedRAMP, the Cloud System and CSP have received an ATO signed by the Authorizing Official for the DOJ component responsible for maintaining the security, confidentiality, integrity, and availability of the DOJ Information under the contract.

C. 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.

VI. Information System Security Breach or Incident

A. Definitions

1. Confirmed Security Breach (hereinafter, “Confirmed Breach”) means any confirmed unauthorized exposure, loss of control, compromise, exfiltration, manipulation, disclosure, acquisition, or accessing of any Covered Information System or any DOJ Information accessed by, retrievable from, processed by, stored on, or transmitted within, to or from any such system.

2. Potential Security Breach (hereinafter, “Potential Breach”) means any suspected, but unconfirmed, Covered Information System Security Breach.

3. Security Incident means any Confirmed or Potential Covered Information System Security Breach.

B. Confirmed Breach. Contractor shall immediately (and in no event later than within 1 hour of discovery) report any Confirmed Breach to the DOJ CO and the CO's Representative (“COR”). If the Confirmed Breach occurs outside of regular business hours and/or neither the DOJ CO nor the COR can be reached, Contractor must call DOJ-CERT at 1-866-US4-CERT (1-866-874-2378) immediately (and in no event later than within 1 hour of discovery of the Confirmed Breach), and shall notify the CO and COR as soon as practicable.

C. Potential Breach.

1. Contractor shall report any Potential Breach within 72 hours of detection to the DOJ CO and the COR, unless Contractor has (a) completed its investigation of the Potential Breach in accordance with its own internal policies and procedures for identification, investigation and mitigation of Security Incidents and (b) determined that there has been no Confirmed Breach.

2. If Contractor has not made a determination within 72 hours of detection of the Potential Breach whether an Confirmed Breach has occurred, Contractor shall report the Potential Breach to the DOJ CO and COR within one-hour (i.e., 73 hours from detection of the Potential Breach). If the time by which to report the Potential Breach occurs outside of regular business hours and/or neither the DOJ CO nor the COR can be reached, Contractor must call the DOJ Computer Emergency Readiness Team (DOJ-CERT) at 1-866-US4-CERT (1-866-874-2378) within one-hour (i.e., 73 hours from detection of the Potential Breach) and contact the DOJ CO and COR as soon as practicable.

D. Any report submitted in accordance with paragraphs (B) and (C), above, shall identify (1) both the Information Systems and DOJ Information involved or at risk, including the type, amount, and level of sensitivity of the DOJ Information and, if the DOJ Information contains PII, the estimated number of unique instances of PII, (2) all steps and processes being undertaken by Contractor to minimize, remedy, and/or investigate the Security Incident, (3) any and all other information as required by the US-CERT Federal Incident Notification Guidelines, including the functional impact, information impact, impact to recoverability, threat vector, mitigation details, and all available incident details; and (4) any other information specifically requested by the DOJ. Contractor shall continue to provide written updates to the DOJ CO regarding the status of the Security Incident at least every three (3) calendar days until informed otherwise by the DOJ CO.

E. All determinations regarding whether and when to notify individuals and/or federal agencies potentially affected by a Security Incident will be made by DOJ senior officials or the DOJ Core Management Team at DOJ’s discretion.

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F. Upon notification of a Security Incident in accordance with this section, Contractor must provide to DOJ full access to any affected or potentially affected facility and/or Information System, including access by the DOJ OIG and Federal law enforcement organizations, and undertake any and all response actions DOJ determines are required to ensure the protection of DOJ Information, including providing all requested images, log files, and event information to facilitate rapid resolution of any Security Incident.

G. DOJ, at its sole discretion, may obtain, and Contractor will permit, the assistance of other federal agencies and/or third party contractors or firms to aid in response activities related to any Security Incident. Additionally, DOJ, at its sole discretion, may require Contractor to retain, at Contractor’s expense, a Third Party Assessing Organization (3PAO), acceptable to DOJ, with expertise in incident response, compromise assessment, and federal security control requirements, to conduct a thorough vulnerability and security assessment of all affected Information Systems.

H. Response activities related to any Security Incident undertaken by DOJ, including activities undertaken by Contractor, other federal agencies, and any third-party contractors or firms at the request or direction of DOJ, may include inspections, investigations, forensic reviews, data analyses and processing, and final determinations of responsibility for the Security Incident and/or liability for any additional response activities. Contractor shall be responsible for all costs and related resource allocations required for all such response activities related to any Security Incident, including the cost of any penetration testing.

VII. Personally Identifiable Information Notification Requirement

Contractor certifies that it has a security policy in place that contains procedures to promptly notify any individual whose Personally Identifiable Information (“PII”) was, or is reasonably determined by DOJ to have been, compromised. Any notification shall be coordinated with the DOJ CO and shall not proceed until the DOJ has made a determination that notification would not impede a law enforcement investigation or jeopardize national security. The method and content of any notification by Contractor shall be coordinated with, and subject to the approval of, DOJ.