RFQ #71315 Mine Waste Services NIOSH Pgh.pdf

REQUEST FOR QUOTATIONS

(THIS IS NOT AN ORDER)

THIS RFQ X IS IS NOT A SMALL BUSINESS SET-ASIDE.

PAGE OF PAGES

1 23

1. REQUEST NO.

75D301-20-Q-71315

2. DATE ISSUED

02/14/2020

3. REQUISITION/PURCHASE REQUEST NO.

00HCCA63-2020-41291

4. CERT. FOR NAT. DEF.

UNDER BDSA REG. 2

AND/OR DMS REG. 1

RATING

5a. ISSUED BY

Centers for Disease Control and Prevention (CDC)

Office of Acquisition Services (OAS)

626 Cochrans Mill Rd

Pittsburgh PA 152360070

6. DELIVERY BY (Date)

5b. FOR INFORMATION CALL (No collect calls)

NAME TELEPHONE NUMBER

AREA CODE NUMBER

Diane J. Meeder (412) 386-4412 x

8. TO: 9. DESTINATION

a. NAME b. COMPANY a. NAME OF CONSIGNEE

c. STREET ADDRESS b. STREET ADDRESS

c. CITY

d. CITY e. STATE f. ZIP CODE d. STATE e. ZIP CODE

10. PLEASE FURNISH QUOTATIONS TO

THE ISSUING OFFICE IN BLOCK 5a ON OR BEFORE CLOSE OF BUSINESS (Date)

IMPORTANT: This is a request for information, and quotations furnished are not offers. If you are unable to quote, please so indicate on this form and return it. This request does not commit the Government to pay any costs incurred in the preparation of the submission of this quotation or to contract for supplies or services.

Supplies are of domestic origin unless otherwise indicated by quoter. Any representations and/or certifications attached to this Request for Quotations must be completed by the quoter.

11. SCHEDULE (Include applicable Federal, State and local taxes)

ITEM NO.

(a)

SUPPLIES/SERVICES

(b)

QUANTITY

(c)

UNIT

(d)

UNIT PRICE

(e)

AMOUNT

(f)

This will be a firm fixed price purchase order.

QUOTES DUE: 02/26/2020 3:00PM ET

PLEASE QUOTE EQUIVALENT

ALL VENDORS MUST BE REGISTERED IN SAM.GOV TO

BID.

DUNS #_________________________________

PRICE FIRM FOR _________DAYS

IF ABOVE ITEMS ARE ON FEDERAL SUPPLY SCHEDULE,

PLEASE INDICATE THE CONTRACT

NUMBER__________________

Contracting Officer: Diane Meeder E:Dmeeder@cdc.gov P: 412-386-4412

12. DISCOUNT FOR PROMPT PAYMENT

a. 10 CALENDAR DAYS

b. 20 CALENDAR DAYS

c. 30 CALENDAR DAYS

d. CALENDAR DAYS

NUMBER PERCENTAGE

NOTE: Additional provisions and representations are are not attached.

13. NAME AND ADDRESS OF QUOTER 14. SIGNATURE OF PERSON AUTHORIZED TO

SIGN QUOTATION

15. DATE OF

QUOTATION

a. NAME OF QUOTER

b. STREET ADDRESS 16. SIGNER

a. NAME (Type or print) b. TELEPHONE

c. COUNTY AREA CODE

d. CITY e. STATE f. ZIP CODE c. TITLE (Type or print) NUMBER

AUTHORIZED FOR LOCAL REPRODUCTION STANDARD FORM 18 (REV. 6-95)

Previous edition not usable Prescribed by GSA FAR (48 CFR) 53.215-1(a)

7. DELIVERY

FOB

DESTINATION

OTHER

(See Schedule)

75D301-20-Q-71315

SECTION B - SUPPLIES OR SERVICES AND PRICES/COST

ITEM SUPPLIES / SERVICES QTY / UNIT UNIT PRICE EXTENDED PRICE

0001 Coal Mine Debris Waste Disposal POP: Award to September 30 2020

1 Job

“The services contemplated under this contract are considered to be an “Other Function” as defined by the Office of Federal Procurement Policy in OFPP letter 11-01 and by HHS in Acquisition Policy Memorandum 2012-01.”

Statement of Work

Project Name: Coal Mine Debris Waste Disposal Contract Services

Acronyms SC Service Contractor (Contractor) and CO Contracting Officer Definitions COR Contracting Officers Representative as delegated by the CO

CS Contracting Specialist assigned by the CO CDC Centers for Disease Control and Prevention NIOSH National Institute for Occupational Safety and Health BRC Bruceton Research Center EH&S Environmental, Health & Safety Office FM Facility Management Office PGO Procurement and Grant Office ITSO Information Technology Services Office PDT Project Delivery Team – Typically comprised of the CO/CS, the COR, and EH&S staff

RFI Request for Information

Section 1- Background:

Since 1910 the NIOSH Pittsburgh Mining Research Division (PMRD) Safety Research Coal Mine (SRCM) and the Bruceton Experimental Mine (BEM) have been an extremely important facility for completing research through field testing. Field testing completed in SRCM and BEM have provided the scientific results that have been instrumental in the development of numerous mine health and safety improvements and new regulations.

Frequently, material containing coal, wood, dirt, and cement must be removed from the underground mines. This requirement is to provide dumpsters on a routine basis for consistent removal of this material.

Coal mine debris is a result of underground clean-up and restoration, not coal (coal extraction) mining operations.

The mine is used for underground coal mine related research activities and mine rescue training. This waste stream consists of concrete blocks, wood, cement gunite, dirt, sand, plastic, coal, mine brattice, and limestone dust.

Section 2- Purpose:

The goal of this Contract will be to provide routine services for pick-up and disposal at a qualified TSDF or appropriate waste management facility of the Coal Mine Debris waste materials generated at the NIOSH Pittsburgh facility part of the Bruceton Research Center located at 626 Cochran’s Mill Road, Pittsburgh, PA 15236.

Section 3- Scope of Work:

3.1 The Contractor will provide all personnel, labor, materials, labeling, and equipment required to complete the tasks below for the proper handling, transporting, in-transit storage, and ultimate treatment, storage, and/or disposal of 400 tons of coal mine debris generated during a 12-month period. at the NIOSH facility located at the Bruceton Research Center in Pittsburgh, PA. This performance work statement requires the Contractor to determine the level of service necessary to meet the NIOSH facility requirements for the BRC.

3.2 All work will be performed in accordance with all Federal, state and local regulations (including, but not limited to, those promulgated under the Resource Conservation and Recovery Act, the Toxic Substances Control Act, the Occupational Safety and Health Act, the Hazardous Materials Transportation Act, applicable Department of Transportation, and Pennsylvania Department of Environmental Protection regulations).

Section 4– Tasks to be Performed:

4.1. Dumpsters:

4.1.1 The Contractor shall supply for use at the NIOSH campus, suitable dumpsters for storage of the coal mine debris. These containers shall be of suitable size and number to enable waste collection to enable scheduling of truck pick-up for transport to the disposal facility dumpsters to contain at least 4 tons of coal mine debris to be removed and replaced within 3 work days of request. Dumpsters will be requested throughout the period of performance as coal mine debris is generated. Contractor supplied containers shall be visually presentable free of significant rust and damage, physically clean, properly labeled, have liquid tight seams, and have working closable lids as applicable. The COR reserves the right to refuse any Contractor container not meeting these requirements. The Contractor shall provide a replacement container meeting the requirements.

4.2. Placement of Dumpsters:

4.2.1 The Contractor shall place the dumpsters at a location(s) designated by the COR. The positions shall be located to be navigable by the waste hauling vehicles without blocking NIOSH facility building entrances, minimize the risk of damage to buildings and equipment, or restricting parking areas and driver visibility.

4.3 Facility Collection Times:

4.3.1 Unless otherwise specified in the Contract or coordinated with the COR, waste pickup shall be scheduled to be made between 8:00 AM and 3:00 PM Monday through Friday, except holidays observed by the Government.

4.4 Damage to NIOSH facilities:

4.4.1 The Contractor shall be responsible to reimburse the Government for any damages to facilities, equipment or persons caused as a result of performance of these services by the Contractor. The Contractor shall immediately report to the COR and to CDC NIOSH Security any incidents resulting in damage, hazardous material spills, fires or injury when performing these services on the Bruceton Research Campus. The Contractor shall cooperate with the investigation of any accident resulting in a spill, facility damage or personal injury.

4.4.2 The Contractor shall be responsible to provide equipment, personnel and supplies necessary to clean-up any hazardous material spills caused by the Contractor resulting from equipment failures in performance of these services. Clean-up materials shall be disposed off-site in accordance with applicable Federal, State and Local laws.

4.5 Driver Credentials, Equipment Inspection/Certifications, Safety & Hazard training:

4.5.1 The Contractor shall provide qualified drivers certified by the Commonwealth of Pennsylvania to operate the equipment utilized to provide the dumpster removal service. Contractor personnel shall have the Commercial Driver’s License in their possession while on campus.

4.5.2 The Contractor shall provide upon request of the COR copies of personnel licenses, training certificates and equipment inspection records for personnel and equipment servicing the NIOSH Pittsburgh campus.

4.6 Waste Characterization and Disposal Documentation:

4.6.1 Provide copies of all appropriate papers, records, certificates of analysis, waste profiles, manifests, land disposal restrictions/land ban, and reports regarding handling, in-transit storage, transporting, and ultimate treatment, storage, and/or disposal of the wastes as required by all applicable Federal, state, and local laws, rules, regulations, and standards.

4.6.2 Designate and utilize only permitted treatment storage and disposal facilities (TSDFs) or other appropriate waste management facilities that comply with all applicable Federal, state, and local laws, rules, regulations, and standards.

4.6.3 Certificates of Disposal/Destruction - Submit certification of disposal or destruction for all wastes and waste containers for each shipment. The certification shall include a statement as to the treatment technologies and/or ultimate disposal techniques utilized and the final or ultimate location of treatment and/or disposal. In the case of non-RCRA wastes, a bill of lading or non-hazardous waste manifest shall serve as the shipping papers or manifest and a similar certification of disposal or destruction of waste material shall be submitted. The weight of waste material removed for each dumpster and the ultimate disposal location shall be detailed.

4.6.4 Return the copy of the disposal records to the COR by e-mail within ten (10) calendar days of service.

Section 5- Constraints:

5.1 The Contractor shall conduct all work in a safe and efficient manor utilizing approved work methods.

Compliance with the Health and Safety Accident Prevention requirements in the specification section (attached) and the applicable FAR clause entitled Accident Prevention, FAR 52.236-13, are considered paramount provisions of this contract. Failure to correct any violations or continued violations of these requirements may result in the Termination for Default of this contract.

5.2 The Environmental Health and Safety (EH&S) Office will participate with the contractor in the investigation of all incidents resulting in injury or illness to any Government employee and/or damage or loss of Government property. The Contractor shall immediately notify the COR of any accidents, injury or property damage during the performance of this contract.

5.3 Coordinate with the COR the need for any traffic or area access restrictions necessary to provide this service function. The Contractor shall obey all facility traffic and parking requirements when off-loading material and staging construction vehicles.

5.4 The Contractor shall coordinate all project work with the Contracting Officer’s Representative (COR) for facility access, schedule coordination, Contractor personnel and subcontractor site access.

5.5 Any damage that may be caused by the Contractor or his work crews or subcontractors to any existing structure, grounds and utilities shall be repaired or replaced to their original condition.

Section 6- Period of Performance:

The period of performance shall commence upon award of a purchase order and shall be completed no later than September 30, 2020.

Section 7- Deliverables:

The Contractor shall provide the following deliverables:

DELIVERABLE DUE DATE

Schedule of Values Concurrent with Award

Contractor Service Contact List Due no later than 10 calendar days after Award

Waste disposal manifest/documents Due no later than1 0 calendar days after each dumpster pickup

7.1 Schedule of Values: Before the Contract for services is started, the Contractor shall provide the CS/COR a detail list of costs for providing the services for the waste removal services.

7.2 Contractor Service Contact List: Provide to the COR the names, phone numbers and e-mail contact information for those Contractor employees that will provide service scheduling, invoicing questions or issues and overall service contract questions.

7.3 Waste Disposal Manifest/Documentation: Upon disposal of waste materials provide to the COR a copy of the waste disposal documents displaying the location for the material disposal and weight quantity of material disposed of.

7.2 All technical correspondence is to be mailed or emailed to the COR. All contract correspondence is to be mailed or emailed to the Contracting Officer and copied to the COR and CS.

Section 8- Government Furnished Support:

8.1 The government shall not furnish any materials or equipment to support this project.

Section 9- Performance Monitoring:

The Government will periodically evaluate the Contractor’s performance by appointing a representative(s) to monitor such performance and ensure services are received. The Government representative will evaluate the Contractor’s performance through intermittent on-site inspections of the Contractor's performance.

Section 10- Other Pertinent Information or Special Considerations:

10.1.1 Security Requirements: The Contractor shall comply with Homeland Security Presidential Directive twelve

(HSPD-12)

10.2 To perform the work specified herein, contractor personnel will not require access to sensitive data, regular access to HHS-controlled facilities and/or access to HHS information systems. The Government has determined the position sensitivity under this effort to be non-sensitive.

10.3 The minimum Government investigation for a non-sensitive position is a National Agency Check and

Inquiries (with fingerprinting), which consists of searches of records covering specific areas of a person’s background during the past five years. Those inquiries are sent to current and past employers, schools attended, references, and local law enforcement authorities. More restricted positions, above non-sensitive, require more extensive documentation and investigation.

10.4 Contractors should ensure that the employees whose names they submit have a reasonable chance for access approval. Delays associated with rejections and consequent reinvestigations may not be excusable.

10.5 Typically, the Government investigates personnel at no cost to the contractor, but the expense of multiple investigations for the same position is difficult to justify. Consequently, multiple investigations for the same position may, at the Contracting Officer’s discretion, justify reduction(s) in the contract price of no more than the cost of the extra investigation(s).

10.6 All work shall be scheduled to meet requirements of CDC/NIOSH. All work shall be coordinated through the Contracting Officer. Local coordination shall be routed through the Contracting Officer’s Representative.

Section 11- Point of Contact: The Contracting Officer’s Representative (COR) for this project is:

Barbara Heirendt, EH&S Office Team Lead, Pittsburgh NIOSH Facility Management Phone: (412) 386-6861 E-mail: beh6@cdc.gov

Section 12- Safety and Accident Prevention:

12.1 The Contractor will familiarize and comply with the Federal safety standards and regulations referenced in this Safety and Accident Prevention plan.

12.2 In the performance of this contract the contractor including Subcontractors shall comply with the requirements in the Army Corps of Engineers safety manual (EM 385–1–1), http://www.publications.usace.army.mil/Portals/76/Publications/EngineerManuals/EM_385-1-1.pdf in effect on the date of the solicitation including (FAR 52.236-13) Accident prevention, along with all other applicable Federal, State and local laws governing Environmental, safety, health and sanitation. The contractor shall provide all safeguards, safety devices and protective equipment and take any other needed actions as it determines, or as the awarding agency may determine, to be reasonably necessary to protect the life and health of employees on the job and the safety of the public and to protect property in connection with the performance of the work covered by the contract.

12.3 It is a condition of this contract, and shall be made a condition of each subcontract, which the contractor enters into pursuant to this contract, that the contractor and any subcontractor shall not permit any employee, in performance of the contract, to work in surroundings or under conditions which are unsanitary, hazardous or dangerous to his/her health or safety, as determined under construction safety and health standards (29 CFR 1926) promulgated by the Secretary of Labor, in accordance with Section 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C. 3333).

12.4 The contractors work area may be inspected periodically for compliance, corrective actions for violations shall be the responsibility of the contractor, and any related violation fines related to the contractor’s project will be paid by the contractor.

12.5 Failure to correct any violations or continued violations of these requirements may result in the

Termination for Default of this contract.

12.6 The Environmental Health and Safety (EH&S) Office will participate with the contractor in the investigation of all incidents resulting in injury or illness to any Government employee and/or damage or loss of Government property. The Contractor shall immediately notify the COR of any accidents, injury or property damage during the performance of this contract.

A. Baseline Security Requirements

1) Applicability. The requirements herein apply whether the entire contract or order (hereafter “contract”), or portion thereof, includes either or both of the following:

a. Access (Physical or Logical) to Government Information: A Contractor (and/or any subcontractor) employee will have or will be given the ability to have, routine physical (entry) or logical (electronic) access to government information.

b. Operate a Federal System Containing Information: A Contractor (and/or any subcontractor) employee will operate a federal system and information technology containing data that supports the HHS mission. In addition to the Federal Acquisition Regulation (FAR) Subpart 2.1 definition of “information technology” (IT), the term as used in this section includes computers, ancillary equipment (including imaging peripherals, input, output, and storage devices necessary for security and surveillance), peripheral equipment designed to be controlled by the central processing unit of a computer, software, firmware and similar procedures, services (including support services), and related resources.

2) Safeguarding Information and Information Systems. In accordance with the Federal Information Processing

Standards Publication (FIPS)199, Standards for Security Categorization of Federal Information and

Information Systems, the Contractor (and/or any subcontractor) shall:

a. Protect government information and information systems in order to ensure:

• Confidentiality, which means preserving authorized restrictions on access and disclosure, based on the security terms found in this contract, including means for protecting personal privacy and proprietary information;

• Integrity, which means guarding against improper information modification or destruction, and ensuring information non-repudiation and authenticity; and

• Availability, which means ensuring timely and reliable access to and use of information.

b. Provide security for any Contractor systems, and information contained therein, connected to an HHS network or operated by the Contractor on behalf of HHS regardless of location. In addition, if new or unanticipated threats or hazards are discovered by either the agency or contractor, or if existing safeguards have ceased to function, the discoverer shall immediately, within one (1) hour or less, bring the situation to the attention of the other party.

c. Adopt and implement the policies, procedures, controls, and standards required by the HHS Information Security Program to ensure the confidentiality, integrity, and availability of government information and government information systems for which the Contractor is responsible under this contract or to which the Contractor may otherwise have access under this contract. Obtain the HHS

Information Security Program security requirements, outlined in the HHS Information Security and Privacy Policy (IS2P), by contacting the CO/COR or emailing fisma@hhs.gov.

d. Comply with the Privacy Act requirements and tailor FAR clauses as needed.

3) Information Security Categorization. In accordance with FIPS 199 and National Institute of Standards and

Technology (NIST) Special Publication (SP) 800-60, Volume II: Appendices to Guide for Mapping Types of

Information and Information Systems to Security Categories, Appendix C, and based on information provided by the ISSO, CISO, or other security representative, the risk level for each Security Objective and the Overall Risk Level, which is the highest watermark of the three factors (Confidentiality, Integrity, and Availability) of the information or information system are the following:

Confidentiality: [x ] Low [] Moderate [ ] High

Integrity: [x] Low [ ] Moderate [ ] High

Availability: [x ] Low [ ] Moderate [ ] High

Overall Risk Level: [ x] Low [ ] Moderate [ ] High

Based on information provided by the ISSO, Privacy Office, system/data owner, or other security or privacy representative, it has been determined that this solicitation/contract involves:

[ x] No PII [x] Yes PII

4) Personally Identifiable Information (PII). Per the Office of Management and Budget (OMB) Circular A-130, “PII is information that can be used to distinguish or trace an individual's identity, either alone or when combined with other information that is linked or linkable to a specific individual.” Examples of PII include, but are not limited to the following: social security number, date and place of birth, mother‘s maiden name, biometric records, etc.

PII Confidentiality Impact Level has been determined to be: [x ] Low [ ] Moderate [ ] High

5) Controlled Unclassified Information (CUI). CUI is defined as “information that laws, regulations, or Government-wide policies require to have safeguarding or dissemination controls, excluding classified information.” The Contractor (and/or any subcontractor) must comply with Executive Order 13556, Controlled Unclassified Information, (implemented at 32 CFR, part 2002) when handling CUI. 32 C.F.R.

2002.4(aa) As implemented the term “handling” refers to “…any use of CUI, including but not limited to marking, safeguarding, transporting, disseminating, re-using, and disposing of the information.” 81 Fed. Reg.

63323. All sensitive information that has been identified as CUI by a regulation or statute, handled by this solicitation/contract, shall be:

a. marked appropriately;

b. disclosed to authorized personnel on a Need-To-Know basis;

c. protected in accordance with NIST SP 800-53, Security and Privacy Controls for Federal

Information Systems and Organizations applicable baseline if handled by a Contractor system operated on behalf of the agency, or NIST SP 800-171, Protecting Controlled Unclassified

Information in Nonfederal Information Systems and Organizations if handled by internal Contractor system; and

d. returned to HHS control, destroyed when no longer needed, or held until otherwise directed.

Destruction of information and/or data shall be accomplished in accordance with NIST SP 800-88, Guidelines for Media Sanitization.

6) Protection of Sensitive Information. For security purposes, information is or may be sensitive because it requires security to protect its confidentiality, integrity, and/or availability. The Contractor (and/or any subcontractor) shall protect all government information that is or may be sensitive in accordance with OMB Memorandum M-06-16, Protection of Sensitive Agency Information by securing it with a FIPS 140-2 validated solution.

7) Confidentiality and Nondisclosure of Information. Any information provided to the contractor (and/or any subcontractor) by HHS or collected by the contractor on behalf of HHS shall be used only for the purpose of carrying out the provisions of this contract and shall not be disclosed or made known in any manner to any persons except as may be necessary in the performance of the contract. The Contractor assumes responsibility for protection of the confidentiality of Government records and shall ensure that all work performed by its employees and subcontractors shall be under the supervision of the Contractor. Each Contractor employee or any of its subcontractors to whom any HHS records may be made available or disclosed shall be notified in writing by the Contractor that information disclosed to such employee or subcontractor can be used only for that purpose and to the extent authorized herein.

The confidentiality, integrity, and availability of such information shall be protected in accordance with HHS and [CDC] policies. Unauthorized disclosure of information will be subject to the HHS/[CDC] sanction policies and/or governed by the following laws and regulations:

a. 18 U.S.C. 641 (Criminal Code: Public Money, Property or Records);

b. 18 U.S.C. 1905 (Criminal Code: Disclosure of Confidential Information); and

c. 44 U.S.C. Chapter 35, Subchapter I (Paperwork Reduction Act).

8) Internet Protocol Version 6 (IPv6). All procurements using Internet Protocol shall comply with OMB Memorandum M-05-22, Transition Planning for Internet Protocol Version 6 (IPv6).

9) Government Websites. All new and existing public-facing government websites must be securely configured with Hypertext Transfer Protocol Secure (HTTPS) using the most recent version of Transport Layer Security (TLS). In addition, HTTPS shall enable HTTP Strict Transport Security (HSTS) to instruct compliant browsers to assume HTTPS at all times to reduce the number of insecure redirects and protect against attacks that attempt to downgrade connections to plain HTTP. For internal-facing websites, the HTTPS is not required, but it is highly recommended.

10) Contract Documentation. The Contractor shall use provided templates, policies, forms and other agency documents to comply with contract deliverables as appropriate.

11) Standard for Encryption. The Contractor (and/or any subcontractor) shall:

a. Comply with the HHS Standard for Encryption of Computing Devices and Information to prevent unauthorized access to government information.

b. Encrypt all sensitive federal data and information (i.e., PII, protected health information [PHI], proprietary information, etc.) in transit (i.e., email, network connections, etc.) and at rest (i.e., servers, storage devices, mobile devices, backup media, etc.) with FIPS 140-2 validated encryption solution.

c. Secure all devices (i.e.: desktops, laptops, mobile devices, etc.) that store and process government information and ensure devices meet HHS and CDC-specific encryption standard requirements.

Maintain a complete and current inventory of all laptop computers, desktop computers, and other mobile devices and portable media that store or process sensitive government information (including

PII).

d. Verify that the encryption solutions in use have been validated under the Cryptographic Module Validation Program to confirm compliance with FIPS 140-2. The Contractor shall provide a written copy of the validation documentation to the COR.

e. Use the Key Management system on the HHS personal identification verification (PIV) card or establish and use a key recovery mechanism to ensure the ability for authorized personnel to encrypt/decrypt information and recover encryption keys. Encryption keys shall be provided to CDC Office of Chief Information Security Officer (OCISO).

12) Contractor Non-Disclosure Agreement (NDA). Each Contractor (and/or any subcontractor) employee having access to non-public government information under this contract shall complete the CDC non-disclosure agreement, as applicable. A copy of each signed and witnessed NDA shall be submitted to the Contracting Officer (CO) and/or CO Representative (COR) prior to performing any work under this acquisition.

13) Privacy Threshold Analysis (PTA)/Privacy Impact Assessment (PIA) – The Contractor shall assist the CDC Senior Official for Privacy (SOP) or designee with conducting a PTA for the information system and/or information handled under this contract in accordance with HHS policy and OMB M- 03-22, Guidance for Implementing the Privacy Provisions of the E-Government Act of 2002.

a. The Contractor shall assist the CDC SOP or designee in reviewing the PIA at least every three years throughout the system development lifecycle (SDLC)/information lifecycle, or when determined by the CDC SOP that a review is required based on a major change to the system (e.g., new uses of information collected, changes to the way information is shared or disclosed and for what purpose, or when new types of PII are collected that could introduce new or increased privacy risks), whichever comes first.

B. Training

1) Mandatory Training for All Contractor Staff. All Contractor (and/or any subcontractor) employees assigned to work on this contract shall complete the applicable HHS/CDC Contractor Information Security Awareness, Privacy, and Records Management training (provided upon contract award) before performing any work under this contract. Thereafter, the employees shall complete CDC Security

Awareness Training (SAT), Privacy, and Records Management training at least annually, during the life of this contract. All provided training shall be compliant with HHS training policies.

2) Role-based Training. All Contractor (and/or any subcontractor) employees with significant security responsibilities (as determined by the program manager) must complete role-based training (RBT) within 60 days of assuming their new responsibilities. Thereafter, they shall complete RBT at least annually in accordance with HHS policy and the H (RBT) of Personnel with

Significant Security Responsibilities Memorandum.

All HHS employees and contractors with SSR who have not completed the required training within the mandated timeframes shall have their user accounts disabled until they have met their RBT requirement.

3) Training Records. The Contractor (and/or any subcontractor) shall maintain training records for all its employees working under this contract in accordance with HHS policy. A copy of the training records shall be provided to the CO and/or COR within 30 days after contract award and annually thereafter or upon request.

C. Rules of Behavior

1) The Contractor (and/or any subcontractor) shall ensure that all employees performing on the contract comply with the HHS Information Technology General Rules of Behavior.

2) All Contractor employees performing on the contract must read and adhere to the Rules of Behavior before accessing Department data or other information, systems, and/or networks that store/process government information, initially at the beginning of the contract and at least annually thereafter, which may be done as part of annual CDC Security Awareness Training. If the training is provided by the contractor, the signed ROB must be provided as a separate deliverable to the CO and/or COR per defined timelines above.

D. Incident Response

FISMA defines an incident as “an occurrence that (1) actually or imminently jeopardizes, without lawful authority, the integrity, confidentiality, or availability of information or an information system; or (2) constitutes a violation or imminent threat of violation of law, security policies, security procedures, or acceptable use policies. The HHS Policy for IT Security and Privacy Incident Reporting and Response further defines incidents as events involving cybersecurity and privacy threats, such as viruses, malicious user activity, loss of, unauthorized disclosure or destruction of data, and so on.

A privacy breach is a type of incident and is defined by Federal Information Security Modernization Act (FISMA) as the loss of control, compromise, unauthorized disclosure, unauthorized acquisition, or any similar occurrence where (1) a person other than an authorized user accesses or potentially accesses personally identifiable information or (2) an authorized user accesses or potentially accesses personally identifiable information for an other than authorized purpose.

OMB Memorandum M-17-12, “Preparing for and Responding to a Breach of Personally Identifiable Information” (03 January 2017) states:

Definition of an Incident:

An occurrence that (1) actually or imminently jeopardizes, without lawful authority, the integrity, confidentiality, or availability of information or an information system; or (2) constitutes a violation or imminent threat

Definition of a Breach:

The loss of control, compromise, unauthorized disclosure, unauthorized acquisition, or any similar occurrence where (1) a person other than an authorized user accesses or potentially accesses personally identifiable information or (2) an authorized user accesses or potentially accesses personally identifiable information for an other than authorized purpose.

It further adds:

A breach is not limited to an occurrence where a person other than an authorized user potentially accesses PII by means of a network intrusion, a targeted attack that exploits website vulnerabilities, or an attack executed through an email message or attachment. A breach may also include the loss or theft of physical documents that include PII and portable electronic storage media that store PII, the inadvertent disclosure of PII on a public website, or an oral disclosure of PII to a person who is not authorized to receive that information. It may also include an authorized user accessing PII for an other than authorized purpose.

The HHS Policy for IT Security and Privacy In ident Reporting and Response further defines a breach as “a suspected or confirmed incident involving PII”.

Contracts with entities that collect, maintain, use, or operate Federal information or information systems on behalf of CDC shall include the following requirements:

1) The contractor shall cooperate with and exchange information with CDC officials, as deemed necessary by the CDC Breach Response Team, to report and manage a suspected or confirmed breach.

2) All contractors and subcontractors shall properly encrypt PII in accordance with OMB Circular A-130 and other applicable policies, including CDC-specific policies, and comply with HHS-specific policies for protecting PII. To this end, all contractors and subcontractors shall protect all sensitive information, including any PII created, stored, or transmitted in the performance of this contract so as to avoid a secondary sensitive information incident with FIPS 140-2 validated encryption.

3) All contractors and subcontractors shall participate in regular training on how to identify and report a breach.

4) All contractors and subcontractors shall report a suspected or confirmed breach in any medium as soon as possible and no later than 1 hour of discovery, consistent with applicable CDC IT acquisitions guidance, HHS/CDC and incident management policy, and United States Computer Emergency Readiness Team (US-CERT) notification guidelines. To this end, the Contractor (and/or any subcontractor) shall respond to all alerts/Indicators of Compromise (IOCs) provided by HHS Computer Security Incident Response Center (CSIRC) or CDC Computer Incident Response Team (CSIRT) within 24 hours via email at csirt@cdc.gov or telephone at 866-655-2245, whether the response is positive or negative.

5) All contractors and subcontractors shall be able to determine what Federal information was or could have been accessed and by whom, construct a timeline of user activity, determine methods and techniques used to access Federal information, and identify the initial attack vector.

6) All contractors and subcontractors shall allow for an inspection, investigation, forensic analysis, and any other action necessary to ensure compliance with HHS/CDC Policy and the HHS/CDC Breach Response Plan and to assist with responding to a breach.

7) Cloud service providers shall use guidance provided in the FedRAMP Incident Communications

Procedures when deciding when to report directly to US-CERT first or notify CDC first.

8) Identify roles and responsibilities, in accordance with HHS/CDC Breach Response Policy and the HHS/CDC Breach Response Plan. To this end, the Contractor shall NOT notify affected individuals unless and until so instructed by the Contracting Officer or designated representative. If so instructed by the Contracting Officer or representative, all notifications must be pre-approved by the appropriate CDC officials, consistent with HHS/CDC Breach Response Plan, and the Contractor shall then send CDC-approved notifications to affected individuals; and,

9) Acknowledge that CDC will not interpret report of a breach, by itself, as conclusive evidence that the contractor or its subcontractor failed to provide adequate safeguards for PII.

E. Position Sensitivity Designations

All Contractor (and/or any subcontractor) employees must obtain a background investigation commensurate with their position sensitivity designation that complies with Parts 1400 and 731 of Title 5, Code of Federal Regulations (CFR).

F. Homeland Security Presidential Directive (HSPD)-12

The Contractor (and/or any subcontractor) and its employees shall comply with Homeland Security Presidential

Directive (HSPD)-12, Policy for a Common Identification Standard for Federal Employees and Contractors; OMB

M-05-24; FIPS 201, Personal Identity Verification (PIV) of Federal Employees and

Contractors; HHS HSPD-12 policy; and Executive Order 13467, Part 1 §1.2.

Roster. The Contractor (and/or any subcontractor) shall submit a roster by name, position, e-mail address, phone number and responsibility of all staff working under this acquisition where the Contractor will develop, have the ability to access, or host and/or maintain a government information system(s). The roster shall be submitted to the COR and/or CO by the effective date of this contract. Any revisions to the roster as a result of staffing changes shall be submitted immediately upon change. The COR will notify the Contractor of the appropriate level of investigation required for each staff member.

If the employee is filling a new position, the Contractor shall provide a position description and the

Government will determine the appropriate suitability level.

G. Contract Initiation and Expiration

1) General Security Requirements. The Contractor (and/or any subcontractor) shall comply with information security and privacy requirements, Enterprise Performance Life Cycle (EPLC) processes, HHS Enterprise Architecture requirements to ensure information is appropriately protected from initiation to expiration of the contract. All information systems development or enhancement tasks supported by the contractor shall follow the HHS EPLC framework and methodology and in accordance with the HHS Contract Closeout Guide (2012).

2) System Documentation. Contractors (and/or any subcontractors) must follow and adhere to NIST SP 800-64, Security Considerations in the System Development Life Cycle, at a minimum, for system development and provide system documentation at designated intervals (specifically, at the expiration of the contract) within the EPLC that require artifact review and approval.

3. Sanitization of Government Files and Information. As part of contract closeout and at expiration of the contract, the Contractor (and/or any subcontractor) shall provide all required documentation to the CO and/or COR to certify that, at the government’s direction, all electronic and paper records are appropriately disposed of and all devices and media are sanitized in accordance with NIST SP 800-88, Guidelines for Media Sanitization.

4. Notification. The Contractor (and/or any subcontractor) shall notify the CO and/or COR and system ISSO before an employee stops working under this contract.

5. Contractor Responsibilities Upon Physical Completion of the Contract. The contractor (and/or any subcontractors) shall return all government information and IT resources (i.e., government information in non-government-owned systems, media, and backup systems) acquired during the term of this contract to the CO and/or COR. Additionally, the Contractor shall provide a certification that all government information has been properly sanitized and purged from Contractor-owned systems, including backup systems and media used during contract performance, in accordance with HHS and/or CDC policies.

6. The Contractor (and/or any subcontractor) shall perform and document the actions identified in the CDC

Out-Processing Checklist (http://intranet.cdc.gov/od/hcrmo/pdfs/hr/Out_Processing_Checklist.pdf) when an employee terminates work under this contract. All documentation shall be made available to the CO and/or COR upon request.

H. Records Management and Retention

The Contractor (and/or any subcontractor) shall maintain all information in accordance with Executive Order 13556 -- Controlled Unclassified Information, National Archives and Records Administration (NARA) records retention policies and schedules and HHS policies and shall not dispose of any records unless authorized by

HHS.

In the event that a contractor (and/or any subcontractor) accidentally disposes of or destroys a record without proper authorization, it shall be documented and reported as an incident in accordance with HHS policies.

SECTION C - CONTRACT CLAUSES

FAR SOURCE TITLE AND DATE

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

52.204-18 Commercial and Government Entity Code Maintenance (Jul 2016)

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

52.223-5 Pollution Prevention and Right-to-Know Information (May 2011)

52.232-39 Unenforceability of Unauthorized Obligations (Jun 2013)

52.232-40 Providing Accelerated Payments to Small Business Contractors (Dec 2013)

52.236-13 Accident Prevention (Nov 1991)

52.245-1 Government Property (Jan 2017)

52.245-9 Use and Charges (Apr 2012)

HHSAR SOURCE

352.222-70 Contractor Cooperation in Equal Employment Opportunity Investigations (Dec 2015)

352.223-70 Safety and Health (Dec 2015)

C.1 FAR 52.252-2 – Clauses Incorporated by Reference (Feb 1998)

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

www.acquisition.gov

(End of Clause)

C.2 FAR 52.252-6 Authorized Deviations in Clauses (Apr 1984)

(a) The use in this solicitation or contract of any Federal Acquisition Regulation (48 CFR Chapter 1) clause with an authorized deviation is indicated by the addition of “(DEVIATION)” after the date of the clause.

(b) The use in this solicitation or contract of any Health and Human Services Acquisition Regulation (HHSAR) (48 CFR Chapter 3) clause with an authorized deviation is indicated by the addition of “(DEVIATION)” after the name of the regulation.

C.3 FAR 52.212-5 CONTRACT TERMS AND CONDITIONS REQUIRED TO IMPLEMENT STATUTES OR EXECUTIVE

ORDERS-COMMERCIAL ITEMS (JAN 2020)

(a) The Contractor shall comply with the following Federal Acquisition Regulation (FAR) clauses, which are incorporated in this contract by reference, to implement provisions of law or Executive orders applicable to acquisitions of commercial items:

(1) 52.203-19, Prohibition on Requiring Certain Internal Confidentiality Agreements or Statements (Jan 2017) (section 743 of Division E, Title VII, of the Consolidated and Further Continuing Appropriations Act, 2015 (Pub. L. 113-235) and its successor provisions in subsequent appropriations acts (and as extended in continuing resolutions)).

(2) 52.204-23, Prohibition on Contracting for Hardware, Software, and Services Developed or Provided by Kaspersky Lab and Other Covered Entities (Jul 2018) (Section 1634 of Pub. L. 115-91).

(3) 52.204-25, Prohibition on Contracting for Certain Telecommunications and Video Surveillance Services or Equipment. (Aug 2019) (Section 889(a)(1)(A) of Pub. L. 115-232).

(4) 52.209-10, Prohibition on Contracting with Inverted Domestic Corporations (Nov 2015).

(5) 52.233-3, Protest After Award (Aug 1996) (31 U.S.C. 3553).

(6) 52.233-4, Applicable Law for Breach of Contract Claim (Oct 2004) (Public Laws 108-77 and 108-78 (19 U.S.C. 3805 note)).

(b) The Contractor shall comply with the FAR clauses in this paragraph (b) that the Contracting Officer has indicated as being incorporated in this contract by reference to implement provisions of law or Executive orders applicable to acquisitions of commercial items:

[Contracting Officer check as appropriate.]

__ (1) 52.203-6, Restrictions on Subcontractor Sales to the Government (Sept 2006), with Alternate I (Oct 1995) (41 U.S.C. 4704 and 10 U.S.C. 2402).

__ (2) 52.203-13, Contractor Code of Business Ethics and Conduct (Oct 2015) (41 U.S.C. 3509)).

__ (3) 52.203-15, Whistleblower Protections under the American Recovery and Reinvestment Act of 2009 (June 2010) (Section 1553 of Pub. L. 111-5). (Applies to contracts funded by the American Recovery and Reinvestment Act of 2009.)

_X_ (4) 52.204-10, Reporting Executive Compensation and First-Tier Subcontract Awards (Oct 2018) (Pub. L. 109-

282) (31 U.S.C. 6101 note).

__ (5)[Reserved].

__ (6) 52.204-14, Service Contract Reporting Requirements (Oct 2016) (Pub. L. 111-117, section 743 of Div. C).

__ (7) 52.204-15, Service Contract Reporting Requirements for Indefinite-Delivery Contracts (Oct 2016) (Pub. L.

111-117, section 743 of Div. C).

__ (8) 52.209-6, Protecting the Government’s Interest When Subcontracting with Contractors Debarred, Suspended, or Proposed for Debarment. (Oct 2015) (31 U.S.C. 6101 note).

X_ (9) 52.209-9, Updates of Publicly Available Information Regarding Responsibility Matters (Oct 2018) (41 U.S.C. 2313)

__ (10)[Reserved].

__ (11) (i) 52.219-3, Notice of HUBZone Set-Aside or Sole-Source Award (Nov 2011) (15 U.S.C.657a).

__ (ii) Alternate I (Nov 2011) of 52.219-3.

__ (12) (i) 52.219-4, Notice of Price Evaluation Preference for HUBZone Small Business Concerns (Oct 2014) (if the offeror elects to waive the preference, it shall so indicate in its offer) (15 U.S.C. 657a).

__ (ii) Alternate I (Jan 2011) of 52.219-4

__ (13)[Reserved]

_X_ (14) (i) 52.219-6, Notice of Total Small Business Set-Aside (Nov 2011) (15 U.S.C.644).

__ (ii) Alternate I (Nov 2011).

__ (iii) Alternate II (Nov 2011).

__ (15) (i) 52.219-7, Notice of Partial Small Business Set-Aside (June 2003) (15 U.S.C. 644).

__ (ii) Alternate I (Oct 1995) of 52.219-7.

__ (iii) Alternate II (Mar 2004) of 52.219-7.

__ (16) 52.219-8, Utilization of Small Business Concerns (Oct 2018) (15 U.S.C. 637(d)(2) and (3)).

__ (17) (i) 52.219-9, Small Business Subcontracting Plan (Aug 2018) (15 U.S.C. 637(d)(4))

__ (ii) Alternate I (Nov 2016) of 52.219-9.

__ (iii) Alternate II (Nov 2016) of 52.219-9.

__ (iv) Alternate III (Nov 2016) of 52.219-9.

__ (v) Alternate IV (Aug 2018) of 52.219-9

__ (18) 52.219-13, Notice of Set-Aside of Orders (Nov 2011) (15 U.S.C. 644(r)).

__ (19) 52.219-14, Limitations on Subcontracting (Jan 2017) (15 U.S.C.637(a)(14)).

__ (20) 52.219-16, Liquidated Damages-Subcontracting Plan (Jan 1999) (15 U.S.C. 637(d)(4)(F)(i)).

__ (21) 52.219-27, Notice of Service-Disabled Veteran-Owned Small Business Set-Aside (Oct 2019) (15 U.S.C. 657f).

_X_ (22) 52.219-28, Post Award Small Business Program Rerepresentation (Jul 2013) (15 U.S.C. 632(a)(2)).

__ (23) 52.219-29, Notice of Set-Aside for, or Sole Source Award to, Economically Disadvantaged Women-Owned Small Business Concerns (Dec 2015) (15 U.S.C. 637(m)).

__ (24) 52.219-30, Notice of Set-Aside for, or Sole Source Award to, Women-Owned Small Business Concerns Eligible Under the Women-Owned Small Business Program (Dec 2015) (15 U.S.C. 637(m)).

_X_ (25) 52.222-3, Convict Labor (June 2003) (E.O.11755).

_X_ (26) 52.222-19, Child Labor-Cooperation with Authorities and Remedies (Jan 2020) (E.O.13126).

_X_ (27) 52.222-21, Prohibition of Segregated Facilities (Apr 2015).

_X_ (28) (i) 52.222-26, Equal Opportunity (Sept 2016) (E.O.11246).

__ (ii) Alternate I (Feb 1999) of 52.222-26.

__ (29)(i) 52.222-35, Equal Opportunity for Veterans (Oct 2015) (38 U.S.C. 4212).

__ (ii) Alternate I (July 2014) of 52.222-35.

__ (30) (i) 52.222-36, Equal Opportunity for Workers with Disabilities (Jul 2014) (29 U.S.C.793).

__ (ii) Alternate I (July 2014) of 52.222-36.

__ (31) 52.222-37, Employment Reports on Veterans (Feb 2016) (38 U.S.C. 4212).

__ (32) 52.222-40, Notification of Employee Rights Under the National Labor Relations Act (Dec 2010) (E.O.

13496).

_X_ (33) (i) 52.222-50, Combating Trafficking in Persons (Jan 2019) (22 U.S.C. chapter 78 and E.O. 13627).

__ (ii) Alternate I (Mar 2015) of 52.222-50 (22 U.S.C. chapter 78 and E.O. 13627).

__ (34) 52.222-54, Employment Eligibility Verification (Oct 2015). (Executive Order 12989). (Not applicable to the acquisition of commercially available off-the-shelf items or certain other types of commercial items as prescribed in 22.1803.)

__ (35) (i) 52.223-9, Estimate of Percentage of Recovered Material Content for EPA–Designated Items (May 2008) (42 U.S.C. 6962(c)(3)(A)(ii)). (Not applicable to the acquisition of commercially available off-the-shelf items.)

__ (ii) Alternate I (May 2008) of 52.223-9 (42 U.S.C.