ATT_I_Statement_of_Work.pdf

RFQ No. 70RCSA19Q00000049

Attachment I: Statement of Work

STATEMENT OF WORK (SOW)

Cybersecurity and Infrastructure Security Agency (CISA)

National Cybersecurity and Communication Integrated Center (NCCIC)

Local Exchange Routing Guides (LERG) and

Central Location Online Entry System (CLONE) Datasets

1. INTRODUCTION:

The National Communication Coordination (NCC) branch within the National Cybersecurity and

Communication Integrated Center (NCCIC) prepares telecommunications analytic products to plan for, respond to, and assist in the recovery before, during, and after man-made and natural disasters. The

NCCIC and the NCC Operational Analysis (OA) team are charged with maintaining the means to respond while providing telecommunications critical infrastructure analyses. The Continuity Assessment &

Resilience (CAR) section of the NCC maintains a suite of automated tools and data for telecommunications and communications critical infrastructure. The Infrastructure Mapping Tool (IMT)

Development team is responsible for normalizing the data set, integrating and updating of data layers and installation of data sets into the Network Design Analysis Capability (NDAC) database. The OA team along with the NCCIC watch personnel are primarily responsible for the telecommunication and communications analyses and distribution of reports derived from the data layers within the NDAC database. To accomplish this mission the teams require comprehensive data on traditional circuit-switched networks, called the Public Switched Telephone Network (PSTN), which mainly supports voice services.

2. LOCAL EXCHANGE ROUTING GUIDE (LERG™) AND CENTRAL LOCATION ON-LINE

ENTRY SYSTEM (CLONES) DATASETS:

2.1 The datasets shall include the current local exchange network within the North American Numbering

Plan (NANP) and shall identify the reported planned changes in the network. The data shall be designed to be used for routing of calls by service providers (wireless, wireline, inter and intra exchange, etc.). It shall support functions such as networking, planning, engineering, and numbering administration. The datasets shall also use the LERG™/CLONES to create, update and maintain all valid Common

Language® Location Identifier (CLLI™) codes. CLLI™ codes are unique 11-character standardized geographic identifiers used worldwide to identify and describe three types of locations and entities placed at each:

2.1.1 Network sites/entities, including network locations such as central office buildings, business and commercial offices, microwave radio structures, and earth stations,

2.1.2 Network support sites, including locations such as international boundaries or crossing points, end points, fiber nodes, cable and facility junctions, manholes, poles and repeaters, and;

2.1.3 Customer’s sites, including customer locations and associated circuit terminations, facilities or equipment for each specific customer.

2.2 The datasets shall include, but are not limited to:

2.2.1 Operating Company Numbers, Company Names, Routing Contacts

2.2.2 Country Code Assignments

2.2.3 NPA Information (i.e., Area Codes)

Attachment II: Clauses and Provision

2.2.4 LATA Codes By Region

2.2.5 Destination Codes (i.e. NPA NXX and Thousands-Blocks)

2.2.6 Oddball NXXs (e.g. 911, 976)

2.2.7 Switching Entity Record detail (e.g. Equipment Type, V&H Coordinates)

2.2.8 Rate Center details (e.g. V&H Coordinates) and Localities (including county and postal codes)

2.2.9 Switch Homing Arrangements (tandem and other switch-to-switch interconnections)

2.2.10 Operator Access Tandem Codes (ATCs)

2.2.11 Location Routing Numbers (LRNs)

2.3 The data shall be provided as a download or on CD-ROM in a standard SQL or other compatible format to allow integration into Oracle database software.

3. DATA USE:

3.1 The Government shall be authorized to make one copy of the data disk in case the original CD

ROM/DVD may become damaged, destroyed, or rendered unreadable.

3.2 Data sets may be released to the CAR team’s authorized contractors for normalization and integration into the Network Design Analysis Capability (NDAC) database to be accessed for analyses through the

Infrastructure Mapping Tool (IMT). The data may be incorporation into other Government owned or purchased analyses databases and tools if developed.

3.3 The Cybersecurity and Infrastructure Security Agency (CISA) and its authorized contractors may use

LERG™ and CLONES data to conduct communications analyses to support its mission in planning for, responding to, and recovering from man-made and natural disasters. Products to include maps with location information related to communications assets and summary information about the area's communications assets may be distributed by CISA to other Federal Departments and Agencies (D&As) and other State, Tribal, and local government representatives only for use in planning for or responding to a natural or manmade disaster or crisis. All products will be reviewed and approved by the NCC

Operational Analysis Team (OA) leader or designated representative prior to release ensuring only limited and summary information is provided to effectively meet planning and disaster response requirements.

3.3.1 This License Agreement (“License Agreement”) is made for the benefit of the Department of

Homeland Security’s (DHS) Cybersecurity and Infrastructure Security Agency (CISA) and/or its affiliates and sub-agencies (collectively, “Licensee”) and iconectiv.

3.3.2 Licensed Materials may be used only by an “Authorized User”. For purposes of this Agreement, an “Authorized User” is any employee or agent of the Licensee permitted access to the Licensed

Materials.

3.3.3 The Licensed Materials are a database, a compilation, and a collection of information. Authorized

Users shall be permitted to extract or use information contained in the database Licensee’s internal business purposes, including, but not limited to, analyses; data extracts for on-site emergency preparedness, response, and/or recovery; and derivative products.

3.3.4 During emergency preparedness, response, and/or recovery, the Licensed Materials may be shared with Emergency Support Function (ESF) #2 partners, DHS affiliates, and Federal partner agencies, so long as the following conditions are met:

3.3.5 The entity has a valid emergency preparedness, response, and/or recovery justification for obtaining the Licensed Materials

3.3.6 The only attributes associated to the Licensed Materials can be location information, including latitude, longitude, street, city, state, county, and zip code information

3.3.7 After support for the event ends, these entities must destroy and/or delete the Licensed Materials.

Derivative products made by these entities from the Licensed Materials do not need to be destroyed and/or deleted.

4. DATA PROTECTION

4.1 The Government shall exercise due diligence to protect raw data and all products derived from the data contained in the Local Routing Exchange Guide (LERG™) and Central Location On-Line Entry

System (CLONES) dataset. The Government shall protect all products derived from the LERG™ and

CONES with written instructions and page markings as shown below:

FOR OFFICIAL USE ONLY

LIMITED DISTRIBUTION

This report may not be further distributed without the approval of the originator.

4.2 The Contracting Officer’s Representative (COR) shall destroy previously issued data disc upon receipt of newly issued data disc.

5. DELIVERABLE/DELIVERY SCHEDULE:

Following are details of the deliverables for the relevant tasks:

Task

CDRL Deliverable title Due Date Distribution Frequency

/Remarks

2 A001 Local Exchange

Routing Guide dataset

The beginning of each Federal Fiscal quarter

CDRom/DVD shipped to

COR or Email to COR for download

Quarterly

Task

CDRL Deliverable title Due Date Distribution Frequency

/Remarks

2 A002 Central Location On-

Line Entry System

(CLONES)

By 10th business day of each month

CDRom/DVD shipped to

COR or Email to COR for download

Monthly

6. INSPECTION AND ACCEPTANCE:

6.1 Acceptance Criteria: In addition to FAR clause 52.214-4(a) Inspection/Acceptance, the Government

COR will review the deliverable upon receipt to determine that the disc or download is readable and contains the required datasets.

6.2 Rejection Procedures: After notification that the deliverable did not meet the acceptance criteria, the

Contractor shall reissue a working version within three (3) working days after receipt of Government notification. Upon re-submission by the Contractor, the Government will reapply the Acceptance

Criteria.

7. OTHER PERTINENT INFORMATION OR SPECIAL CONSIDERATIONS:

7.1 Identification of Non-Disclosure Requirements: Access to proprietary data is a fundamental requirement for execution of this task. However, when access to proprietary information is necessary to perform work, the Contractor shall be required to sign a Non-Disclosure Agreement with Telcordia

Technologies.

7.2 Intellectual Property Rights: All derivative works become the property of the Government. Telcordia

Technologies retains all intellectual rights to the data contained on the data discs or downloads.

7.3 Accountable Property: This contract does not have nor will it be used to purchase any accountable property.

8. GOVERNMENT-FURNISHED EQUIPMENT (GFE)/GOVERNMENT-FURNISHED

INFORMATION (GFI):

8.1 GFE: Government Furnished Equipment (GFE) is not provided

8.2 GFI: The Government shall not provide Government information.

9. DHS ENTERPRISE ARCHITECTURE COMPLIANCE TERMS AND CONDITIONS

All solutions and services shall meet DHS Enterprise Architecture policies, standards, and procedures.

Specifically, the contractor shall comply with the following HLS EA requirements:

9.1 All developed solutions and requirements shall be compliant with the HLS EA.

9.2 All IT hardware and software shall be compliant with the HLS EA Technical Reference Model

(TRM) Standards and Products Profile.

9.3 - Description information for all data assets, information exchanges and data standards, whether adopted or developed, shall be submitted to the Enterprise Data Management Office (EDMO) for review, approval and insertion into the DHS Data Reference Model and Enterprise Architecture Information

Repository.

9.4 - Development of data assets, information exchanges and data standards will comply with the DHS

Data Management Policy MD 103-01 and all data-related artifacts will be developed and validated according to DHS data management architectural guidelines.

9.5 - Applicability of Internet Protocol Version 6 (IPv6) to DRS-related components (networks, infrastructure, and applications) specific to individual acquisitions shall be in accordance with the DHS

Enterprise Architecture (per OMB Memorandum M-05-22, August 2, 2005) regardless of whether the acquisition is for modification, upgrade, or replacement. All EA-related component acquisitions shall be

IPv6 compliant as defined in the US. Government Version 6 (USGv6) Profile National Institute of

Standards and Technology (NIST) Special Publication 500-267) and the corresponding declarations of conformance defined in the USGv6 Test Program.

10. DHS GEOSPATIAL INFORMATION SYSTEM TERMS AND CONDITIONS

All implementations including geospatial data, information, and services shall comply with the policies and requirements set forth in the DHS Geospatial Information Infrastructure (GII), including (but not limited to) the following:

10.1 All data built to the GII, whether adopted or developed, shall be submitted to the government for review and insertion into the DHS Data Reference Model.

10.2 All software built to the GII, whether adopted or developed, shall be submitted to the government for review and insertion into the DHS Technical Reference Model.

11. ACCOUNTABLE PROPERTY DEFINITIONS

11.1 Accountable Personal Property - An asset that meets one or more of the following criteria: (1) expected useful life is two years or longer and an asset value and/or acquisition cost of $5,000 or more; (2) that is classified as sensitive; (3) for which accountability or property control records are maintained; (4) Capitalized personal property, (5) Leased property that meets accountability standards, or (6) otherwise warrants tracking in the property system of record.

Current accountable personal property information may be obtained through the CSD APO

Office at cscassetmanagementteam@hq.dhs.gov

11.2 Capitalized personal property - Non-expendable personal property with an acquisition cost over an established threshold and a normal life expectancy of two years or more. Current

Capitalization Threshold information may be obtained through the CSD APO Office@ cscassetmanagementteam@hq.dhs.gov

11.3 Contract property - All property, both real and personal, that is used in the performance of a contract, and includes facilities, material, special tooling, special test equipment, and agency-peculiar property. Contract property refers to both Contractor-Acquired Property (CAP) and Government

Furnished Property (GFP), in the possession of contractors mailto:cscassetmanagementteam@hq.dhs.gov

11.4 Contractor Acquired Property (CAP) - Property acquired, fabricated, or otherwise provided by the contractor for performing a contract and to which the Government has title

11.5 Excess Personal Property - Personal property under the control of any Federal agency that is not required or needed for that agency’s needs, as determined by the head of the agency or designee

11.6 Government Furnished Property (GFP) - Property in the possession of, or directly acquired by, the Government and subsequently furnished to the contractor for performance of a contract. Government-furnished property includes, but is not limited to, spares and property furnished for repair, maintenance, overhaul, or modification. Government-furnished property also includes contractor-acquired property if the contractor-acquired property is a deliverable under a cost contract when accepted by the Government for continued use under the contract. NOTE: GFP may also be referred to as Government Furnished

Equipment (GFE), the two terms are interchangeable

11.7 Leased property - Property that is not owned by DHS, but that is leased by the Government under terms as stipulated in the lease agreement (this excludes the leasing of property by contractors in the performance of a contract)

11.8 Sensitive personal property - All items, regardless of value, that require special control and accountability due to unusual rates of loss, theft, or misuse; national security or export control considerations. Such property includes but is not limited to, weapons, ammunition, explosives, information technology equipment with memory capability, cameras, and communications equipment.

Current sensitive personal property information may be obtained through the CSD APO Office @ cscassetmanagementteam@hq.dhs.gov

12. ACCOUNTABLE PROPERTY DELIVERABLE

12.1 The Contractor shall provide invoices for all Accountable Personal Property within 30 days of acquisition to the PA and COR

13. ACCOUNTABLE PROPERTY INVOICES

13.1 All invoices shall contain the CLIN and Accounting Classifications, contract number, purchase order number, Supplier's name, Supplier’s phone number, manufacturer, manufacturer part number, manufacturer model number, serial number, quantities, item descriptions, and unit cost

13.2 The purchase order number shall be on all invoices, packages, bills of lading, correspondence, and any other documents pertaining to the contract

13.3 Separate invoices are required for each purchase order

14. PROPERTY ACCOUNTABILITY

14.1 When contractors are furnished with GFP, DHS barcodes will not be removed. In all GFP cases, the Government retains title to the property

14.2 It is the contractor’s responsibility to use contract property as it was authorized, and for the purpose intended. In the event the contractor uses contract property for other purposes without written authorization from the CO, the contractor may be liable for rental, without credit, of such items for each month or part of a month in which such unauthorized use occurs

14.3 Contractor is directly responsible and accountable for all contract property in its possession in accordance with the requirements of the particular contract; this also includes any contract property in the possession or control of a subcontractor

15. PHYSICAL INVENTORY

15.1 In addition to requirements provided under FAR § 52.245-1:

15.2 The Contractor shall, minimum annually, perform, record, and disclose physical inventory results of CAP and GFP to the CSD APO Office and/or COR

15.3 Annual inventory results will be completed, certified and submitted by close of business 31 May each year to the CSD APO Office and/or COR

15.4 The Contractor shall, upon request, perform, record, and disclose physical inventory results of

CAP and GFP to the CSD APO Office @ cscassetmanagementteam@hq.dhs.gov and/or COR

15.5 As requested inventory results will be completed, certified and submitted, in the timeframe defined at the time of request, to the CSD APO Office @ cscassetmanagementteam@hq.dhs.gov and/or COR

16. PROPERTY DISPOSAL

16.1 All documentation and goods are the property of the United States Government and, if applicable, the contractor shall return or destroy appropriately upon request. The contractor shall comply with applicable government rules and regulations for disposal of government property. Further, the contractor shall provide necessary information to the COR and the CSD IT Property team @ cscassetmanagementteam@hq.dhs.gov for all excess property prior to taking any action.

16.2 Lost, Stolen, Damaged or Destroyed (LDD) property:

16.2.1 Unless otherwise provided in the contract, the contractor is liable for LDD of contract property, except for reasonable wear and tear.

16.2.2 Any occurrence of LDD must be investigated and fully documented by the PA and/or COR, who will promptly notify the CO. The contractor will submit a report of any incident of LDD contract property to the PA in accordance with FAR § 45.504, “Contractor’s Liability,” and as detailed below, as soon as it becomes known.

16.2.3 When GFP or CAP property is LDD, the Contractor must report within 24 hours of discovery of the event to the COR who will initiate a Report of Survey. This document will be obtained from

CSD IT Property team @ cscassetmanagementteam@hq.dhs.gov

16.2.4 A Report of Survey will be prepared, regardless whether or not preliminary research of a LDD event indicates positive evidence of negligence, misconduct, or unauthorized use and the responsible individual refuses to admit pecuniary liability.

16.2.5 The Contractor must forward this document with all supporting documentation to the PA or COR within 5 business days of the LDD event for review.

16.2.6 The COR must submit the completed package to CSD APO @ cscassetmanagementteam@hq.dhs.gov within 5 business days of receipt from the Contractor.

16.2.7 Contractor, and/or COR must supply all requested information and any subsequent requests for information.

17. PRIVACY PROVISIONS

17.1 Safeguarding of Sensitive Information (MAR 2015)

17.1.1 Applicability. This clause applies to the Contractor, its subcontractors, and Contractor employees

(hereafter referred to collectively as “Contractor”). The Contractor shall insert the substance of this clause in all subcontracts.

17.1.2 Definitions. As used in this clause –

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

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

“Sensitive Information” is defined in HSAR clause 3052.204-71, Contractor Employee Access, as any information, which if lost, misused, disclosed, or, without authorization is accessed, or modified, could adversely affect the national or homeland security interest, the conduct of Federal programs, or the privacy to which individuals are entitled under section 552a of Title 5, United States Code (the Privacy

Act), but which has not been specifically authorized under criteria established by an Executive Order or an Act of Congress to be kept secret in the interest of national defense, homeland security or foreign policy. This definition includes the following categories of information:

17.1.2.1 Protected Critical Infrastructure Information (PCII) as set out in the Critical Infrastructure

Information Act of 2002 (Title II, Subtitle B, of the Homeland Security Act, Public Law 107-

296, 196 Stat. 2135), as amended, the implementing regulations thereto (Title 6, Code of

Federal Regulations, Part 29) as amended, the applicable PCII Procedures Manual, as amended, and any supplementary guidance officially communicated by an authorized official of the

Department of Homeland Security (including the PCII Program Manager or his/her designee);

17.1.2.2 Sensitive Security Information (SSI), as defined in Title 49, Code of Federal Regulations, Part

1520, as amended, “Policies and Procedures of Safeguarding and Control of SSI,” as amended, and any supplementary guidance officially communicated by an authorized official of the

Department of Homeland Security (including the Assistant Secretary for the Transportation

Security Administration or his/her designee);

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

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

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

“Sensitive Personally Identifiable Information (SPII)” is a subset of PII, which if lost, compromised or disclosed without authorization, could result in substantial harm, embarrassment, inconvenience, or unfairness to an individual. Some forms of PII are sensitive as stand-alone elements. Examples of such

PII include: Social Security Numbers (SSN), driver’s license or state identification number, Alien

Registration Numbers (A-number), financial account number, and biometric identifiers such as fingerprint, voiceprint, or iris scan. Additional examples include any groupings of information that contain an individual’s name or other unique identifier plus one or more of the following elements:

17.1.2.4.1 Truncated SSN (such as last 4 digits)

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

17.1.2.4.3 Citizenship or immigration status

17.1.2.4.4 Ethnic or religious affiliation

17.1.2.4.5 Sexual orientation

17.1.2.4.6 Criminal history

17.1.2.4.7 Medical information

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

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

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

17.1.3.1 DHS Management Directive 11042.1 Safeguarding Sensitive But Unclassified (for Official Use

Only) Information

17.1.3.2 DHS Sensitive Systems Policy Directive 4300A

17.1.3.3 DHS 4300A Sensitive Systems Handbook and Attachments

17.1.3.4 DHS Security Authorization Process Guide

17.1.3.5 DHS Handbook for Safeguarding Sensitive Personally Identifiable Information

17.1.3.6 DHS Instruction Handbook 121-01-007 Department of Homeland Security Personnel Suitability and Security Program

17.1.3.7 DHS Information Security Performance Plan (current fiscal year)

17.1.3.8 DHS Privacy Incident Handling Guidance

17.1.3.9 Federal Information Processing Standard (FIPS) 140-2 Security Requirements for

Cryptographic Modules accessible at http://csrc.nist.gov/groups/STM/cmvp/standards.html

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

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

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

17.1.4.1 Department of Homeland Security (DHS) policies and procedures on Contractor personnel security requirements are set forth in various Management Directives (MDs), Directives, and

Instructions. MD 11042.1, Safeguarding Sensitive But Unclassified (For Official Use Only)

Information describes how Contractors must handle sensitive but unclassified information. DHS uses the term “FOR OFFICIAL USE ONLY” to identify sensitive but unclassified information that is not otherwise categorized by stature or regulation. Examples of sensitive information that are categorized by statute or regulation are PCII, SSI, etc. The DHS Sensitive Systems Policy

Directive 4300A and the DHS 4300A Sensitive Systems Handbook provide the policies and procedures on security for Information Technology (IT) resources. The DHS Handbook for

Safeguarding Sensitive Personally Identifiable Information provides guidelines to help safeguard SPII in both paper and electronic form. DHS Instruction Handbook 121-01-007

Department of Homeland Security Personnel Suitability and Security Program establishes http://www.dhs.gov/dhs-security-and-training-requirements-contractors http://csrc.nist.gov/groups/STM/cmvp/standards.html http://csrc.nist.gov/publications/PubsSPs.html http://csrc.nist.gov/publications/PubsSPs.html procedures, program responsibilities, minimum standards, and reporting protocols for the DHS

Personnel Suitability and Security Program.

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

17.1.4.3 All Contractor employees with access to sensitive information shall execute DHS Form 11000-

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

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

17.1.5 Authority to Operate. The Contractor shall not input, store, process, output, and/or transmit sensitive information within a Contractor IT system without an Authority to Operate (ATO) signed by the Headquarters or Component Privacy Officer. Unless otherwise specified in the

ATO letter, the ATO is valid for three (3) years. The Contractor shall adhere to current

Government policies, procedures, and guidance for the Security Authorization (SA) process as defined below.

17.1.5.1 Complete the Security Authorization process. The SA process shall proceed according to the

DHS Sensitive Systems Policy Directive 4300A (Version 11.0, April 30, 2014), or any successor publication, DHS 4300A Sensitive Systems Handbook (Version 9.1, July 24, 2012), or any successor publication, and the Security Authorization Process Guide including templates.

17.1.5.1.1 Security Authorization Process Documentation. SA documentation shall be developed using the Government provided Requirements Traceability Matrix and Government security documentation templates. SA documentation consists of the following: Security Plan, Contingency Plan, Contingency Plan Test Results, Configuration Management Plan, Security

Assessment Plan, Security Assessment Report, and Authorization to Operate Letter.

Additional documents that may be required include a Plan(s) of Action and Milestones and

Interconnection Security Agreement(s). During the development of SA documentation, the

Contractor shall submit a signed SA package, validated by an independent third party, to the

COR for acceptance by the Headquarters or Component CIO, or designee, at least thirty (30) days prior to the date of operation of the IT system. The Government is the final authority on the compliance of the SA package and may limit the number of resubmissions of a modified

SA package. Once the ATO has been accepted by the Headquarters or Component CIO, or designee, the Contracting Officer shall incorporate the ATO into the contract as a compliance document. The Government’s acceptance of the ATO does not alleviate the Contractor’s responsibility to ensure the IT system controls are implemented and operating effectively.

17.1.5.1.2 Independent Assessment. Contractors shall have an independent third party validate the security and privacy controls in place for the system(s). The independent third party shall review and analyze the SA package, and report on technical, operational, and management level deficiencies as outlines in NIST Special Publication 800-53, Security and Privacy

Controls for Federal Information Systems and Organizations. The Contractor shall address all deficiencies before submitting the SA package to the Government for acceptance.

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

PTA. The requirement to complete the PTA is triggered by the creation, use, modification, upgrade, or disposition of a Contractor IT system that will store, maintain and use PII, and must be renewed at least every three (3) years. Upon review of the PTA, the DHS Privacy

Office determines whether a Privacy Impact Assessment (PIA) and/or Privacy Act System of

Records Notice (SORN), or modifications thereto, are required. The Contractor shall provide all support necessary to assist the Department in completing the PIA in a timely manner and shall ensure that project management plans and schedules include time for the completion of the PTA, PIA, and SORN (to the extent required) as milestones. Support in this context includes responding timely to requests for information from the Government about use, access, storage, and maintenance of PII on the Contractor’s system, and providing timely review of relevant compliance documents for factual accuracy. Information on the DHS privacy compliance process, including PTAs, PIAs, and SORNs, is accessible at http://www.dhs.gov/privacy-compliance.

17.1.5.2 Renewal of ATO. Unless otherwise specified in the ATO letter, the ATO shall be renewed every three (3) years. The Contractor is required to update its SA package as part of the ATO renewal process. The Contractor shall update its SA package by one of the following methods:

(1) Updating the SA documentation in the DHS automated information assurance tool for acceptance by the Headquarters or Component CIO, or designee, at least 90 days before the

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

17.1.5.3 Security Review. The Government may elect to conduct random periodic reviews to ensure that the security requirements contained in this contract are being implemented and enforced. The

Contractor shall afford DHS, the Office of the Inspector General, and other Government organizations access to the Contractor’s facilities, installations, operations, documentation, databases and personnel used in the performance of this contract. The Contractor shall, through the Contracting Officer and COR, contact the Headquarters or Component CIO, or designee, to coordinate and participate in review and inspection activity by Government organizations external to DHS. Access shall be provided, to the extent necessary as determined by the

Government, for the Government to carry out a program of inspection, investigation, and audit to safeguard against threats and hazards to the integrity, availability and confidentiality of

Government data or the function of computer systems used in performance of this contract and to preserve evidence of computer crime.

17.1.5.4 Continuous Monitoring. All Contractor-operated systems that input, store, process, output, and/or transmit sensitive information shall meet or exceed the continuous monitoring requirements identified in the Fiscal Year 2014 DHS Information Security Performance Plan, or successor publication. The plan is updated on an annual basis. The Contractor shall also store monthly continuous monitoring data at its location for a period not less than one year from the http://www.dhs.gov/privacy-compliance date the data is created. The data shall be encrypted in accordance with FIPS 140-2 Security

Requirements for Cryptographic Modules and shall not be stored on systems that are shared with other commercial or Government entities. The Government may elect to perform continuous monitoring and IT security scanning of Contractor systems from Government tools and infrastructure.

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

Restricting access may include disconnecting the system processing, storing, or transmitting the sensitive information from the Internet or other networks or applying additional security controls.

17.1.5.6 Federal Reporting Requirements. Contractors operating information systems on behalf of the

Government or operating systems containing sensitive information shall comply with Federal reporting requirements. Annual and quarterly data collection will be coordinated by the

Government. Contractors shall provide the COR with requested information within three (3) business days of receipt of the request. Reporting requirements are determined by the

Government and are defined in the Fiscal Year 2014 DHS Information Security Performance

Plan, or successor publication. The Contractor shall provide the Government with all information to fully satisfy Federal reporting requirements for Contractor systems.

17.1.6 Sensitive Information Incident Reporting Requirements

17.1.6.1 All known or suspected sensitive information incidents shall be reported to the Headquarters or

Component Security Operations Center (SOC) within one hour of discovery in accordance with

4300A Sensitive Systems Handbook Incident Response and Reporting requirements. When notifying the Headquarters or Component SOC, the Contractor shall also notify the Contracting

Officer, COR, Headquarters or Component Privacy Officer, and US-CERT using the contact information identified in the contract. If the incident is reported by phone or the Contracting

Officer’s email address is not immediately available, the Contractor shall contact the

Contracting Officer immediately after reporting the incident to the Headquarters or Component

SOC. The Contractor shall not include any sensitive information in the subject or body of any email. To transmit sensitive information, the Contractor shall use FIPS 140-2 Security

Requirements for Cryptographic Modules compliant encryption methods to protect sensitive information in attachments to email. Passwords shall not be communicated in the same email as the attachment. A sensitive information incident shall not, by itself, be interpreted as evidence that the Contractor has failed to provide adequate information security safeguards for sensitive information, or has otherwise failed to meet the requirements of the contract.

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

17.1.6.2.1 Data Universal Numbering System (DUNS);

17.1.6.2.2 Contract numbers affected unless all contracts by the company are affected;

17.1.6.2.3 Facility CAGE code if the location of the event is different than the prime contractor location;

17.1.6.2.4 Point of contact (POC) if different than the POC recorded in the System for Award

Management (address, position, telephone, email);

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

17.1.6.2.6 Contract clearance level;

17.1.6.2.7 Name of subcontractor and CAGE code if this was an incident on a subcontractor network;

17.1.6.2.8 Government programs, platforms or systems involved;

17.1.6.2.9 Location(s) of incident;

17.1.6.2.10 Date and time the incident was discovered;

17.1.6.2.11 Server names where sensitive information resided at the time of the incident, both at the

Contractor and subcontractor level;

17.1.6.2.12 Description of the Government PII and/or SPII contained within the system;

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

17.1.6.2.14 Any additional information relevant to the incident.

17.1.7 Sensitive Information Incident Response Requirements

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

Headquarters or Component CIO and Headquarters or Component Privacy Officer.

17.1.7.2 The Contractor shall provide full access and cooperation for all activities determined by the

Government to be required to ensure an effective incident response, including providing all requested images, log files, and event information to facilitate rapid resolution of sensitive information incidents.

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

17.1.7.3.1 Inspections,

17.1.7.3.2 Investigations,

17.1.7.3.3 Forensic reviews, and

17.1.7.3.4 Data analyses and processing.

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

17.1.8 Additional PII and/or SPII Notification Requirements

17.1.8.1 The Contractor shall have in place procedures and the capability to notify any individual whose

PII resided in the Contractor IT system at the time of the sensitive information incident not later than 5 business days after bring directed to notify individuals, unless otherwise approved by the

Contracting Officer. The method and content of any notification by the Contractor shall be coordinated with, and subject to prior written approval by the Contracting Officer, in consultation with the Headquarters or Component Privacy Officer, utilizing the DHS Privacy

Incident Handling Guidance. The Contractor shall not proceed with notification unless the

Contracting Officer, in consultation with the Headquarters or Component Privacy Officer, has determined in writing that notification is appropriate.

17.1.8.2 Subject to Government analysis of the incident and the terms of its instructions to the

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

17.1.8.2.1 A brief description of the incident;

17.1.8.2.2 A description of the types of PII and SPII involved;

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

17.1.8.2.4 Steps individuals may take to protect themselves;

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

17.1.8.2.6 Information identifying who individuals may contact for additional information.

17.1.9 Credit Monitoring Requirements. In the event that a sensitive information incident involves PII or

SPII, the Contractor may be required to, as directed by the Contracting Officer:

17.1.9.1 Provide notification to affected individuals as described above; and/or

17.1.9.2 Provide credit monitoring services to individuals whose data was under the control of the

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

17.1.9.2.1 Triple credit bureau monitoring;

17.1.9.2.2 Daily customer service;

17.1.9.2.3 Alerts provided to the individual for changes and fraud; and

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

17.1.9.3 Establish a dedicated call center. Call center services shall include:

17.1.9.3.1 A dedicated telephone number to contact customer service within a fixed period;

17.1.9.3.2 Information necessary for registrants/enrollees to access credit reports and credit scores;

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

17.1.9.3.4 Escalation of calls that cannot be handled by call center staff to call center management or

DHS, as appropriate;

17.1.9.3.5 Customized FAQs, approved in writing by the Contracting Officer in coordination with the

Headquarters or Component Chief Privacy Officer; and

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

17.1.10 Certification of Sanitization of Government and Government-Activity-Related Files and

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

Guidelines for Media Sanitization.

17.2 Information Technology Security and Privacy Training (MAR 2015)

17.2.1 Applicability. This clause applies to the Contractor, its subcontractors, and Contractor employees

(hereafter referred to collectively as “Contractor”). The Contractor shall insert the substance of this clause in all subcontracts.

17.2.2 Security Training Requirements.

17.2.2.1 All users of Federal information systems are required by Title 5, Code of Federal Regulations, Part 930.301, Subpart C, as amended, to be exposed to security awareness materials annually or whenever system security changes occur, or when the user’s responsibilities change. The

Department of Homeland Security (DHS) requires that Contractor employees take an annual

Information Technology Security Awareness Training course before accessing sensitive information under the contract. Unless otherwise specified, the training shall be completed within thirty (30) days of contract award and be completed on an annual basis thereafter not later than October 31st of each year. Any new Contractor employees assigned to the contract shall complete the training before accessing sensitive information under the contract. The training is accessible at http://www.dhs.gov/dhs-security-and-training-requirements-contractors.

The Contractor shall maintain copies of training certificates for all Contractor and subcontractor employees as a record of compliance. Unless otherwise specified, initial training certificates for each Contractor and subcontractor employee shall be provided to the Contracting Officer’s

Representative (COR) not later than thirty (30) days after contract award. Subsequent training certificates to satisfy the annual training requirement shall be submitted to the COR via email http://www.dhs.gov/dhs-security-and-training-requirements-contractors notification not later than October 31st of each year. The email notification shall state the required training has been completed for all Contractor and subcontractor employees.

17.2.2.2 The DHS Rules of Behavior apply to every DHS employee, Contractor and subcontractor that will have access to DHS systems and sensitive information. The DHS Rules of Behavior shall be signed before accessing DHS systems and sensitive information. The DHS Rules of Behavior is a document that informs users of their responsibilities when accessing DHS systems and holds users accountable for actions taken while accessing DHS systems and using DHS

Information Technology resources capable of inputting, storing, processing, outputting, and/or transmitting sensitive information. The DHS Rules of Behavior is accessible at http://www.dhs.gov/dhs-security-and-training-requirements-contractors. Unless otherwise specified, the DHS Rules of Behavior shall be signed within thirty (30) days of contract award.

Any new Contractor employees assigned to the contract shall also sign the DHS Rules of

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

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

Privacy at DHS: Protecting Personal Information before accessing PII and/or SPII. The training is accessible at http://www.dhs.gov/dhs-security-and-training-requirements-contractors. Training shall be completed within thirty (30) days of contract award and be completed on an annual basis thereafter not later than October 31st of each year. Any new Contractor employees assigned to the contract shall also complete the training before accessing PII and/or SPII. The Contractor shall maintain copies of training certificates for all Contractor and subcontractor employees as a record of compliance. Initial training certificates for each Contractor and subcontractor employee shall be provided to the COR not later than thirty (30) days after contract award. Subsequent training certificates to satisfy the annual training requirement shall be submitted to the COR via email notification not later than October 31st of each year. The email notification shall state the required training has been completed for all Contractor and subcontractor employees.

(End of Clause)

17.3 SECTION 508 REQUIREMENTS

Section 508…