15M20018RA32C2910-A0003.pdf

Offers must acknowledge receipt of this amendment prior to the hour and date specified in the solicitation or as amended, by one of the following methods:

(a) By completing items 8 and 15, and returning or (c) By separate letter or electronic communication which includes a reference to the solicitation and amendment numbers. FAILURE OF YOUR ACKNOWLEDGMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER. If by virtue of this amendment you desire to change an offer already submitted, such change may be made by letter or electronic communication, provided each letter or electronic communication makes reference to the solicitation and this amendment, and is received prior to the opening hour and date specified.

E. IMPORTANT: Contractor is not is required to sign this document and return copies to the issuing office.

AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT 1. CONTRACT ID CODE

4. REQUISITION/PURCHASE REQUISITION NUMBER 5. PROJECT NUMBER (If applicable)

7. ADMINISTERED BY (If other than Item 6) CODE

STANDARD FORM 30 (REV. 11/2016)

Prescribed by GSA FAR (48 CFR) 53.243

FACILITY CODE

9A. AMENDMENT OF SOLICITATION NUMBER

9B. DATED (SEE ITEM 11)

10A. MODIFICATION OF CONTRACT/ORDER NUMBER

10B. DATED (SEE ITEM 13)

11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS

The above numbered solicitation is amended as set forth in Item 14. The hour and date specified for receipt of Offers is extended. is not extended.

12. ACCOUNTING AND APPROPRIATION DATA (If required) copies of the amendment; (b) By acknowledging receipt of this amendment on each copy of the offer submitted;

13. THIS ITEM APPLIES ONLY TO MODIFICATIONS OF CONTRACTS/ORDERS.

IT MODIFIES THE CONTRACT/ORDER NUMBER AS DESCRIBED IN ITEM 14.

CHECK ONE A. THIS CHANGE ORDER IS ISSUED PURSUANT TO: (Specify authority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE CONTRACT ORDER

NUMBER IN ITEM 10A.

B. THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES (such as changes in paying office, appropriation data, etc.) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b).

C. THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF:

D. OTHER (Specify type of modification and authority)

Except as provided herein, all terms and conditions of the document referenced in Item 9A or 10A, as heretofore changed, remains unchanged and in full force and effect.

15C. DATE SIGNED

15A. NAME AND TITLE OF SIGNER (Type or print)

16C. DATE SIGNED

16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or print)

6. ISSUED BY CODE

8. NAME AND ADDRESS OF CONTRACTOR (Number, street, county, State and ZIP Code) (X)

CODE

15B. CONTRACTOR/OFFEROR

(Signature of person authorized to sign)

16B. UNITED STATES OF AMERICA

(Signature of Contracting Officer)

Previous edition unusable

2. AMENDMENT/MODIFICATION NUMBER

P00003

Angelica S. Spriggs

14. DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings, including solicitation/contract subject matter where feasible.)

The purpose of this amendment is to: Amendment A0003 Incorporates the following corrected documents into the solicitation:

1) 1D 2nd Circuit Price Summary Sheets - A0003

2) 1D 10th Circuit Price Summary Sheets - A0003

3) 1E Pricing Template 2nd, 9th and 10th - A0003

4) Section H - Special Contract Requirements - A0003

United States Marshals Service Office of Security Contracts JSD-OSC, CG-3, 14th FL Office of Security Contracts Landover Operations Center - Landover, MD 20785

15M20018RA32C2910

PAGE OF PAGES

1 2 6

3. EFFECTIVE DATE

05/4/2018

04/04/2018

X 1

X

15M200

15M20018RA32C2910

2nd, 9th, and 10th Federal Judicial Circuit

H-1 – A0003

PART I – SCHEDULE

SECTION H – SPECIAL CONTRACT REQUIREMENTS

H.1 SUBCONTRACTING RESTRICTION

(a) Except as specifically stated in this contract (see Section I FAR 52.244-2

Subcontracts (Oct 2010)) or approved in writing in advance by the Contracting

Officer, the Contractor shall not subcontract any work under this contract. It is contemplated that approval will be given for subcontracting certain phases of the work when, in the opinion of the U.S. Marshals Service, such subcontracting will not adversely affect the quality of delivery of services nor the difficulty or cost of inspection and testing. All requests for approval to subcontract must be submitted in writing to the Contracting Officer for consideration and approval.

(b) Consistent with FAR requirements, this RFP requires the submission of a small business subcontracting plan that will be evaluated as part of the selection process. Applicable USMS subcontracting goals are provided in Section L.8

Small Business Subcontracting Program of this RFP. In establishing plans and setting goals, offerors shall consider the restrictions in this provision as the controlling requirement. Accordingly, subcontracting plans may identify needs other than CSO services (e.g., indirect corporate requirements) and appropriate strategies to acquire direct portions of CSO work requirements if and when authorized by the USMS Contracting Officer.

(c) Consistent with FAR requirements (see Section I FAR 52.219-9 Small Business

Subcontracting Plan), Individual and/or Summary Subcontracting Reports of the subcontracted work are required semi-annually, no later than 30 days after the close of the reporting periods (March 31st and October 30th), and 30 days after contract completion.

H.2 INDEMNIFICATION

(a) Hold Harmless and Indemnification Agreement: The Contractor shall save and hold harmless and indemnify the Government against any and all liability claims and costs of whatsoever kind and nature for injury to or death of any person or persons and for loss or damage to any Contractor property or property owned by a third party occurring in connection with or in any way incident to or arising out of the occupancy, use, service, operation, or performance of work under the terms of this contract, resulting in whole or in part from the acts or omissions of the

Contractor, any subcontractor, or any employee, agent, or representative of the

Contractor or subcontractor.

H-2 – A0003

(b) Government’s Right of Recovery: Nothing in the above paragraphs shall be considered to preclude the Government from receiving the benefits of any insurance the Contractor may carry which provides for the indemnification of any loss or destruction of, or damage to property in the custody and care of the

Contractor, where such loss, destruction or damage is to Government property.

The Contractor shall do nothing to prejudice the Government's right to recover against third parties for any loss, destruction of, or damage to Government property, and upon request of the Contracting Officer shall, at the Government’s expense, furnish to the Government all reasonable assistance and cooperation, including assistance in the prosecution of suit and the execution of instructions of assignment in favor of the Government, in obtaining recovery.

H.3 INSURANCE COVERAGE

(a) The Contractor must acquire and maintain at its expense during the entire contract performance period adequate insurance. Insurance coverage must, at minimum, provide the following:

(1) $100,000 per incident minimum Workman’s Compensation and

Employee’s Liability Insurance

(2) General public liability insurance covering all duties, services, and work to be performed under this contract. The insurance provides limits of liability for bodily injury not less than $2,000,000 per person and $5,000,000 for each occurrence, and property damage limits of liability of not less than

$200,000 for each accident. The general liability policy must name the

“The United States of America, action by and through the Department of

Justice,” as an additional insured with respect to operations performed under this contract.

(3) Automobile Liability Insurance written on the comprehensive form of policy of $1,000,000 per person and $5,000,000 per occurrence for bodily injury, and $200,000 per occurrence for property damage.

(b) Each liability policy must include the following provision:

“It is a condition of this policy that the company shall furnish written notice to the

Department of Justice, in care of the issuing office, 30 days in advance of any reduction in or cancellation of this policy.”

(c) Insurance is to be effective throughout the term of the contract. The Contractor shall furnish evidence to the Contracting Officer of the required insurance, certified true copies of liability policies and manually countersigned endorsements of any changes thereto within 14 days of contract award and upon

H-3 – A0003 future requests. Renewal policies must be furnished not less than five days prior to the expiration of current policies.

H.4 NOTIFICATION OF ADVERSE AND POTENTIAL ADVERSE CLAIMS

AGAINST COMPANY

In addition to the disclosures required in FAR 52.209-5(b) Certification Regarding

Responsibility Matters which requires notification in the event the Contractor or any

Principal is debarred, or is indicted or convicted of certain crimes, or is delinquent in payment of taxes, the Contractor shall also be required, during the term of the contract, to notify the USMS Contracting Officer of any potential claim or the commencement of any proceeding against the Contractor that could have a material adverse effect on the business of the Contractor or the Contractor’s ability to perform under this contract.

Notice shall be given in writing within ten (10) days after the Contractor obtains knowledge of such potential claim or proceeding. Such claims and proceedings requiring notification shall include, but are not limited to, those under any applicable labor law, bankruptcy law, state and federal tax law, and for breach of contract, fraud, embezzlement, defalcation, intentional tort, or default on any financial obligation.

Contractor shall also be required to give notice of any threatened cancellation of any required insurance policy. Notification of such claims and proceedings shall not be the sole basis for contract termination, but may be considered in determining responsibility of the Contractor.

H.5 SPECIAL STANDARDS OF RESPONSIBILITY REVIEWS

The Government will monitor the Contractor’s Special Standards of Responsibility through quarterly reviews of updated information to be provided by the Contractor in accordance with this clause. The financial statements/personnel updates shall consist of the same information required under Section L Special Standards of Responsibility and

Section J.9 Special Standards of Responsibility and shall be provided as follows:

Periodic Reviews, the Contractor shall provide to the CO updated financial statements upon request.

Annual Option Period Review, prior to exercising contract option periods the

Contractor shall provide to the CO current certified financial statements of its most recent fiscal year and updates to the key personnel no later than March 31st in each contract period.

H.6 LICENSES

The Contractor shall secure and maintain in a current status all required licenses and permits applicable to the lawful functioning within the locations listed in Section B, Supplies or Services and Prices / Costs. In doing so, the Contractor shall furnish evidence to the Contracting Officer, of a company license (state and/or local) authorizing the

H-4 – A0003 company to provide guard service within that state and/or locality, or evidence of application for same, within 14 days after request by the Contracting Officer.

H.7 DEADLY FORCE POLICIES

The Contractor shall ensure that its employees fully comprehend and comply with the following policies:

Section J.4(A) List of Attachments USMS Policy 14.15 Use of Force

Section J.4(B) List of Attachments USMS Policy 14.16 Less-Than-Lethal Devices

Section J.4(D) List of Attachments Department of Justice Deadly Force Policy

H.8 FACILITY SURVEY PRIOR TO ASSUMING/COMMENCING CONTRACT

PERFORMANCE

After the award, but prior to performance, the Contractor shall coordinate a facility survey with the COR for purposes of familiarizing each Contractor personnel with the

CSO post assignment records and the Judicial Security Plan designed specifically for that facility. A facility survey must also be performed on the first day of duty for each

Contractor personnel hired after implementation of the contract.

H.9 REMOVAL OF CSOs AND OTHER CONTRACTOR PERSONNEL FOR

VIOLATIONS OF THE CSO PERFORMANCE STANDARDS

(a) The Contractor shall be responsible for providing employees that meet the qualifications and requirements established under the contract. Any employee provided by the Contractor, to include the District Supervisor (DS) and Contract

Manager (CM), that fails to meet the CSO performance standards set forth in

Section C may be removed from performing services for the Government under this contract upon written request of the Contracting Officer.

(b) The United States Marshals Service reserves the right at all times to determine the suitability of any Contractor employee to serve as a CSO, DS, or CM. Decisions rendered under any dispute resolution process, including assisted settlement, negotiation, consultation, mediation, mini trials, arbitration or any other process available to the contractor and its employees shall not be binding upon the United

States Marshals Service. Any decision to continue a Contractor employee in a

CSO, DS, or CM capacity will be made solely by the USMS Office of Court

Security on a case-by-case basis in accordance with the requirement to safeguard the Federal judicial process, the Judiciary, citizens, and property as per policies and directives governing Office of Court Security operations.

(c) Any employee provided by the Contractor that the Contracting Officer asserts has failed to meet the performance requirements set forth in Section C

H-5 – A0003

Description/Specifications/Statement of Work, may be removed from performing services under this contract. The United States Marshals Service reserves the right to temporarily remove a CSO, DS, or CM under investigation for an alleged serious performance standard violation or criminal charge from performing under the contract. The individual’s firearm and credential must be returned to the

USMS until the alleged incident is resolved. A determination by the Contractor that an employee’s performance can be corrected by discipline and/or other measures and continue to meet the terms of the contract shall be made in writing to the Contracting Officer. The Contracting Officer and Office of Court Security shall make the final determination of suitability.

(d) If requested by the Contracting Officer or a designated representative, the

Contractor shall provide a written explanation to the Contracting Officer, providing the facts and argument regarding the proposed removal of an individual. In the event that the Contracting Officer or designated representative has requested the removal, a written response from the individual subject to the removal, if any, and a written statement of the Contractor’s position on the removal of an individual must be forwarded to the Office of Court Security, through the Contracting Officer, within 15 days of the initial removal notice for a final decision.

(e) Notwithstanding the requirements of Paragraph (b), above, any employee provided by the Contractor that engages in actions such as misuse of weapons or credential that have been provided, removal of assigned weapons or credential from the courthouse/site, improper activity related to a jury, or engages in criminal conduct, whether on or off-duty, or any other activity that affects the integrity of the judicial process or is likely to compromise the security of the courts, shall be removed from performing services for the Government under this contract, and shall not be reassigned to this contract without the concurrence of the Contracting Officer. The Contractor shall notify its employees of this requirement and shall post this requirement in a conspicuous location.

(f) The Contracting Officer will forward copies of all correspondence pertaining to the removal of the Contractor’s employee(s) to the COR responsible for overseeing contractor performance in the district.

(g) These procedures do not apply to situations where a CSO is removed for failure to meet the contract’s medical and/or physical qualification standards and/or firearms qualifications.

H.10 PROCEDURES FOR ADDRESSING COURT SECURITY OFFICER (CSO)

MISCONDUCT OR FAILURE TO PERFORM

H-6 – A0003

The Contractor shall report an alleged misconduct or failure to perform to the COR immediately. Failure to report performance violations to the Government may result in liquidated damages. Alleged misconduct and/or performance violations will be processed as follows:

(a) Upon receipt of notification of an alleged misconduct and/or performance violation, the Contracting Officer will request the Contractor to investigate the alleged action. The Contractor shall investigate the alleged action and in all cases, report the results of the initial investigation to the Contracting Officer within 14 calendar days (two weeks, without regard for intervening weekends or holidays) after the request was sent to the Contractor by the USMS. The results of the investigation shall include all investigative supporting documents, and the

Contractor’s recommendation for disciplinary action.

(b) Based on a thorough review of the data provided by the Contractor‘s investigation and the information provided by USMS, if the Government does not agree with the proposed disciplinary action the Government may request the Contractor to reconsider its proposed remedy. Any required re-consideration or re-investigation shall be submitted to the Contracting Officer by close of business on the seventh

(7) calendar days (one week, without regard for intervening weekends and holidays) after the request was sent to the Contractor by the USMS.

H.11 KEY PERSONNEL

(a) “Key Personnel” for the purpose of this contract are principals, supervisory personnel, and qualified training instructors and weapons qualification instructors.

A principal is defined as an officer, director, owner, partner, managing member or any person having a primary management role within the business entity.

Supervisory personnel are considered to be Contract Managers and District

Supervisors.

Qualified training instructors and weapons qualifications instructors are required to meet minimum certification and experience requirements. These personnel are individually approved and as such are considered to be key personnel for the sole purpose of requiring written USMS approval and consent prior to their conducting Training or Weapons Qualifications (see paragraph (c) below).

(b) The Government shall request background investigations on all principals and supervisory personnel (other than proposed incumbent supervisory personnel) prior to award of the contract and prior to the exercise of any option period, at its discretion. Background investigations shall include but are not limited to credit

H-7 – A0003 checks and National Agency Check with Inquiries (NACI) – which includes a systems and fingerprint check. All required forms and information needed to initiate background investigations for Key Personnel shall be submitted to the

Contracting Officer on request. Investigations will be initiated via the e-QIP portal and completed by the Office of Personnel Management.

(c) Following award the Contractor shall:

Notify the USMS Contracting Officer of all Key Personnel for the contract and any change to the Key Personnel during the performance of the contract.

The Contractor shall not make a diversion or substitution of any supervisory personnel, qualified training instructors, or weapons qualification instructors without the written consent of the Contracting Officer.

During the first 90 days of performance, no substitution of supervisory personnel will be allowed unless the substitution is necessitated by illness, death or termination of employment. In any of these events, the Contractor shall notify the USMS Contracting Officer within two (2) business days of knowledge by the Contractor and provide the information required in Section

H.12 (b) and the following paragraph. After the initial 90-day period, all proposed substitutions shall be submitted in writing within two (2) business days to the USMS Contracting Officer for approval.

All requests for substitutions of supervisory personnel must provide a detailed explanation of the circumstances necessitating the proposed substitutions, complete resumes for the proposed substitutes, and any additional information requested by the USMS Contracting Officer. The qualifications of any proposed substitutes must meet or exceed the contract requirements. The

USMS Contracting Officer will notify the Contractor within 15 calendar days after receipt of all required information of the decision on substitutions.

Qualified training instructors and weapons qualification instructors must be certified and/or meet the minimum contract qualification requirements. Each proposed instructor requires written USMS approval and consent prior to conducting Training or Weapons Qualification. Approval is required for initial proposed instructors provided with the Training Plan and proposed submissions as required by vacancy or other need. In the event of a vacancy or other need, any immediate training requirements must be met by the

Contractor with approved instructors. The USMS will notify the Contractor within five (5) calendar days after receipt of all required information of the decision on substitutions.

H.12 LIABILITY FOR START-UP COSTS

H-8 – A0003

(a) Start-up Cost - The Government will only be liable for start-up costs incurred by the Contractor. If the Contractor does not provide a complete uniform as stated in Section C to a CSO during a contract performance period, the Government will not reimburse the Contractor for uniform start-up costs.

(b) The Government will not reimburse the Contractor for start-up costs associated with hiring individuals in excess of the number of personnel required for the CSO positions authorized in Section B Supplies or Services and Prices/Costs or subsequent positions authorized by the CO.

(c) Additionally, the Government will not be liable for start-up costs caused by turnover of Contractor employees or when previously approved CSOs fail either preliminary or background investigations, except those specific cases set forth in the Statement of Work C.7, Turnover.

(d) Medical Qualification – This is only for the biennial physical. The USMS does

NOT reimburse the vendor for supplemental visits.

H.13 NOTICE REGARDING BLOOD BORNE/AIR BORNE PATHOGENS

EXPOSURE

(a) The Contractor is hereby provided notice that there is risk of occupational exposure to potentially infectious materials for their employees under this contract. It is the Contractor’s responsibility to inform its employees of this risk.

(b) The Contractor shall formally document the acknowledgment of its employees that they have been made aware of the associated risks and that the Contractor is responsible for ensuring that they take self-protective measures whenever they are subject to such exposure.

(c) The Contractor shall ensure that its employees are made aware that they should not be handling prisoners or accessing cellblock areas on a routine basis as this is not a requirement of the contract and puts the employee at a high level of risk of infection.

(d) Any cost to the Contractor associated with their compliance to this portion of the contract is the responsibility of the Contractor.

H.14 JAR-2852.223-70 UNSAFE CONDITIONS DUE TO THE PRESENCE OF

HAZARDOUS MATERIAL (JUNE 1996)

(a) "Unsafe condition" as used in this clause means the actual or potential exposure of contractor or Government employees to a hazardous material as defined in

Federal Standard No. 313, and any revisions thereto during the term of this

H-9 – A0003 contract, or any other material or working condition designated by the Contracting

Officer's Technical Representative (COTR) as potentially hazardous and requiring safety controls.

(b) The Occupational Safety and Health Administration (OSHA) is responsible for issuing and administering regulations that require contractors to apprise its employees of all hazards to which they may be exposed in the course of their employment; proper conditions and precautions for safe use and exposure; and related symptoms and emergency treatment in the event of exposure.

(c) Prior to commencement of work, contractors are required to inspect for and report to the contracting officer or designee the presence of, or suspected presence of, any unsafe condition including asbestos or other hazardous materials or working conditions in areas in which they will be working.

(d) If during the performance of the work under this contract, the contractor or any of its employees, or subcontractor employees, discovers the existence of an unsafe condition, the contractor shall immediately notify the contracting officer, or designee, (with written notice provided not later than three (3) working days thereafter) of the existence of an unsafe condition. Such notice shall include the contractor's recommendations for the protection and the safety of Government, contractor and subcontractor personnel and property that may be exposed to the unsafe condition.

(e) When the Government receives notice of an unsafe condition from the contractor, the parties will agree on a course of action to mitigate the effects of that condition and, if necessary, the contract will be amended. Failure to agree on a course of action will constitute a dispute under the Disputes clause of this contract.

(f) Nothing contained in this clause shall relieve the contractor or subcontractors from complying with applicable Federal, State, and local laws, codes, ordinances and regulations (including the obtaining of licenses and permits) in connection with hazardous material including but not limited to the use, disturbance, or disposal of such material.

(End of Clause)

H.15 DJAR-PGD-05-08 IMPLEMENTATION OF HOMELAND SECURITY

PRESIDENTIAL DIRECTIVE (HSPD) 12 – POLICY FOR A COMMON

IDENTIFICATION STANDARD FOR FEDERAL EMPLOYEES AND

CONTRACTOR (OCT 2005)

Notice of Contractor Personnel Security Requirements

H-10 – A0003

Compliance with Homeland Security Presidential Directive-12 (HSPD-12) and Federal

Information Processing Standard Publication 201 (FIPS 201)1 entitled "Personal

Identification Verification (PIV) for Federal Employees and Contractors," Phase I.

1. Long-Term Contractor Personnel:

In order to be compliant with HSPD-12/PIV I, the following investigative requirements must be met for each new long-term2 contractor employee whose background investigation (BI) process begins on or after October 27, 2005:

a. Contractor Personnel must present two forms of identification in original form prior to badge issuance (acceptable documents are listed in Form 1-9, OMB No.

1615-0047, " Employment Eligibility Verification," and at least one document must be a valid State or Federal government-issued picture ID);

b. Contractor Personnel must appear in person at least once before a DOJ official who is responsible for checking the identification documents. This identity proofing must be completed sometime during the clearance process but prior to badge issuance and must be documented by the DOJ official;

c. Contractor Personnel must undergo a BI commensurate with the designated risk level associated with the duties of each position. Outlined below are the minimum

BI requirements for each risk level:

High Risk - Background Investigation (5 year scope)

Moderate Risk - Limited Background Investigation (LBI) or Minimum

Background Investigation (MBI)

Low Risk - National Agency Check with Inquiries (NACI) investigation

d. The pre-appointment BI waiver requirements for all position sensitivity levels are:

1) Favorable review of the security questionnaire form;

2) Favorable fingerprint results;

3) Favorable credit report, if required;3

1 FIPS 201 is available at: www.csrc.nist.gov/publications/fips/fips201 /FIPS-201-22505.pdf.

2 Under HSPD-12, long-term contractors are contractors having access to DOJ information systems and/or DOJ facilities or space for six months or longer. The PIV-I identity proofing process, including initiation and adjudication of the required background investigation, is required for all new long-term contractors regardless of whether it is the current practice to issue a badge. The second phase of HSPD-12 implementation (PIV-II) requires badge issuance to all affected long-term contractors.

3 For contractors in position sensitivity/risk levels above level 1, a favorable review of a credit check is required as part of the pre-appointment waiver package.

H-11 – A0003

4) Waiver request memorandum, including both the Office of Personnel

Management schedule date and position sensitivity/risk level; and 5) Favorable review of the National Agency Check (NAC)4 portion of the applicable BI that is determined by position sensitivity/risk level.

A badge may be issued following approval of the above waiver requirements.

If the NAC is not received within five days of OPM's scheduling date, the badge can be issued based on a favorable review of the Security Questionnaire and the

Federal Bureau of Investigation Criminal History Check (i.e., fingerprint check results).

e. Badge re-validation will occur once the investigation is completed and favorably adjudicated. If the BI results so justify, badges issued under these procedures will be suspended or revoked.

2. Short-Term Contractor Personnel:

It is the policy of the DOJ that short-term contractors having access to DOJ information systems and/or DOJ facilities or space for six months or fewer are subject to the identity proofing requirements listed in items la. and lb. above. The pre-appointment waiver requirements for short-term contractors are:

a. Favorable review of the security questionnaire form;

b. Favorable fingerprint results;

c. Favorable credit report, if required;5 and

d. Waiver request memorandum indicating both the position sensitivity/risk level and the duration of the appointment. The commensurate BI does not need to be initiated.

A badge may be issued following approval of the above waiver requirements and the badge will expire six months from the date of issuance. This process can only be used once for a short-term contractor in a twelve month period. This will ensure that any consecutive short-term appointments are subject to the full PFV-I identity proofing process.

For example, if a contractor employee requires daily access for a three or four-week period, this contractor would be cleared according to the above short-term requirements.

However, if a second request is submitted for the same contractor employee within a

4 In order to avoid a delay in the hiring process, components should request an Advance NAC Report when initiating investigations to OPM. Per OPM 's instructions, to obtain an Advance NAC Report, a Code " 3" must be placed in block "B " of the " Agency Use Only " section of the investigative form. This report is available for all case types.

5 For contractors in position sensitivity/risk levels above level 1, a favorable review of a credit check is required as part of the pre-appointment waiver package.

H-12 – A0003 twelve-month period for the purpose of extending the initial contract or for employment under a totally different contract for another three or four-week period, this contractor would now be considered "long-term" and must be cleared according to the long-term requirements as stated in this interim policy.

3. Intermittent Contractors:

An exception to the above-mentioned short-term requirements would be intermittent contractors.

a. For purposes of this policy, "intermittent" is defined as those contractor employees needing access to DOJ information systems and/or DOJ facilities or space for a maximum of one day per week, regardless of the duration of the required intermittent access. For example, the water delivery contractor that delivers water one time each week and is working on a one-year contract.

b. Contractors requiring intermittent access should follow the Department's escort policy. Please reference the August 11, 2004, and January 29, 2001, Department

Security Officer policy memoranda that conveys the requirements for contractor facility escorted access.

c. Due to extenuating circumstances, if a component requests unescorted access or

DOJ IT system access for an intermittent contractor, the same pre-employment background investigation waiver requirements that apply to short-term contractors are required.

d. If an intermittent contractor is approved for unescorted access, the contractor will only be issued a daily badge. The daily badge will be issued upon entrance into a

DOJ facility or space and must be returned upon exiting the same facility or space.

e. If an intermittent contractor is approved for unescorted access, the approval will not exceed one year. If the intermittent contractor requires unescorted access beyond one year, the contractor will need to be re-approved each year.

4. An individual transferring from another department or agency shall not be re-adjudicated provided the individual has a current (within the last five years), favorably adjudicated BI meeting HSPD-12 and DOJ's BI requirements.

5.The DOJ's current escorted contractor policy remains unchanged by this acquisition notice.

(End of Clause)

H-13 – A0003

H.16 DJAR-PGD-15-02-1A CORPORATE REPRESENTATION REGARDING

FELONY CONVICTION UNDER ANY FEDERAL LAW OR UNPAID

DELINQUENT TAX LIABILITY - SOLICITATION - (DEVIATION 2015-02)

(MARCH 2015)

(a) None of the funds made available by the Department's current Appropriations Act may be used to enter into a contract, memorandum of understanding, or cooperative agreement with a corporation -

(1) convicted of a felony criminal violation under any Federal law within the preceding 24 months, where the awarding agency is aware of the conviction, unless an agency has considered suspension or debarment of the corporation and made a determination that this further action is not necessary to protect the interests of the Government, or

(2) that has any unpaid Federal tax liability that has been assessed, for which all judicial and administrative remedies have been exhausted or have lapsed, and that is not being paid in a timely manner pursuant to an agreement with the authority responsible for collecting the tax liability, where the awarding agency is aware of the unpaid tax liability, unless an agency has considered suspension or debarment of the corporation and made a determination that this further action is not necessary to protect the interests of the Government.

(b) By submitting a response to this solicitation, the offeror represents that, as of the date of this offer –

(1) the offeror is not a corporation convicted of a felony criminal violation under any Federal or State law within the preceding 24 months; and,

(2) the offeror is not a corporation that has any unpaid Federal or State tax liability that has been assessed, for which all judicial and administrative remedies have been exhausted or have lapsed, and that is not being paid in a timely manner pursuant to an agreement with the authority responsible for collecting the tax liability.

(End of Provision)

H.17 DJAR-PGD-15-02-1B CONTRACTOR INTERNAL CONFIDENTIALITY

AGREEMENTS OR STATEMENTS PROHIBITING OR RESTRICTING

REPORTING OF WASTE, FRAUD, AND ABUSE - SOLICITATION -

(DEVIATION 2015-02) (MARCH 2015)

H-14 – A0003

None of the funds appropriated to the Department under its current Appropriations Act may be used to enter into a contract, grant, or cooperative agreement with an entity that requires employees or contractors of such entity that requires employees or contractors of such entity seeking to report fraud, waste, and abuse to sign internal confidentiality agreements or statements prohibiting or otherwise restricting such employees or contractors from lawfully reporting such waste, fraud, or abuse to a designated investigative or law enforcement representative of a Federal department or agency authorized to receive such information. By submitting a response to this solicitation, the contractor certifies that it does not require employees or contractors of the contractor seeking to report fraud, waste, and abuse to sign internal confidentiality agreements or statements prohibiting or otherwise restricting such employees or contractors from lawfully reporting waste, fraud, and abuse to a designated investigative or law enforcement representative of a Federal department or agency authorized to receive such information.

H.18 DJAR-PGD-15-02-1C CONTRACTOR CERTIFICATION OF COMPLIANCE

WITH FEDERAL TAX REQUIREMENTS - SOLICITATION - (DEVIATION

2015-02) (MARCH 2015)

By submitting a response to this solicitation, the contractor certifies that, to the best of its knowledge, information and belief, the contractor has (a) filed all Federal tax returns required during the three years preceding the certification, (b) not been convicted of a criminal offense under the Internal Revenue Code of 1986, and (c) not been notified, more than 90 days before the subject certification, of any unpaid Federal tax assessment for which the liability remains unsatisfied, unless the assessment is the subject of an installment agreement or offer in compromise that has been approved by the Internal

Revenue Service and is not in default, or the assessment is the subject of a non-frivolous administrative or judicial proceeding.

H.19 DJAR-PGD-15-03 SECURITY OF INFORMATION AND INFORMATION

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

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(“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, 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

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(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 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, 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;

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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 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. 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;

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12. 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;

13. Screening individuals prior to authorizing access to Covered Information

Systems to ensure compliance with DOJ Security standards;

14. 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;

15. 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;

16. 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

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 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

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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 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…