75P00122R00044-Combo Synopsis_Sol_0002.pdf

Solicitation # 75P00122R00044-0002 TITLE: HHS FPKI Registration Authority Audit

Combined Synopsis/Solicitation

75P00122R00044

SECTION A – Streamlined Solicitation for Commercial Items

(i) This is a combined synopsis/solicitation for the acquisition of commercial services prepared in accordance with the format in FAR Subpart 12.6, as supplemented with additional information included in this announcement. This announcement constitutes the only solicitation; quotes are being requested and a written solicitation will not be issued.

This requirement is to award one (1) indefinite delivery definite quantity (IDDQ) multiple-year contract with a 5-year ordering period, in support of the Department of Health and Human Services (HHS) Federal Public Key Infrastructure (FPKI) Registration Authority (RA) Audit Services. It will utilize the Simplified Procedures for Certain Commercial Products and Commercial Services under FAR 13.5.

(ii) Solicitation Number: 75P00122R00044; is issued as a request for proposal (RFP).

(iii) This solicitation document and incorporated provisions and clauses are in effect through the Federal Acquisition Circular (FAC) 2022-06, Effective date 05/26/2022.

(iv) Contracting Officer's Business Size Selection: 100% Small Business Set-aside

NAICS Code: 541519 - Other Computer Related Services;

Small Business Size Standard: $30.0M

(v) CLIN 1 – Base Period: HHS FPKI RA Audit Services

(vi) Description of item(s) to be acquired:

This requirement is issued by the Dept. of Health and Human Services (DHHS), Office of Acquisition Management Services (OAMS) on behalf of the PSC Real Estate, Logistics, and Operations Support (PSC/RLO) to obtain contractor audit services to conduct an independent audit of its FPKI compliance with the Federal Common Certificate Policy Framework (COMMON CP) that establishes the requirements for operating and managing an FPKI. This encompasses operation and management of the HHS Shared Service Provider (SSP) Registration Authority (RA), Credential Status Services (CSS) and related security-relevant ancillary components (e.g., the Card Management System [CMS]).

(vii) Dates and Place of Performance:

The period of performance contained in Section F.1 is for one (1) 5-year base, beginning the date of award.

The place of performance contained in Section F.2: All work will be performed at the Contractor’s place of performance with in-person visits as required to HHS Headquarters and selected Audit Sites.

(viii) The provision at FAR 52.212-1, Instructions to Offerors -- Commercial, applies to this acquisition with no addenda.

(ix) FAR clause 52.212-2: Evaluation -- Commercial Items, applies to this acquisition and is contained in Section I.

(x) Offerors completed copy of the provision at FAR 52.212-3, Offeror

Representations and Certifications -- Commercial Items, must be valid as of the date of proposal submission and will be accessed electronically through SAM.gov.

(xi) FAR clause 52.212-4, Contract Terms and Conditions -- Commercial Products and

Commercial Services, applies to this acquisition with no addenda.

(xii) FAR clause 52.212-5 Contract Terms and Conditions Required to Implement Statutes or Executive Orders -- Commercial Products and Commercial Services, applies to this acquisition and is contained in Section I.

(xiii) Additional Contract Requirements or Terms and Conditions: as contained in Sections B through I.

(xiv) Defense Priorities and Allocations System (DPAS): Not applicable.

(xv) Proposal Submission Information:

An expedited response is requested due to the required audit completion date of 1 Oct 2022.

Reference Section L.4 for submission instructions: Questions are due no later than 12 July 2022 by 4:00 pm ET; proposals are due no later than 28 July 2022 by 4:00 pm ET. Both shall be submitted via email to the Contract Specialist at: Debbie.Hope@psc.hhs.gov.

(xvi) For additional information regarding this solicitation, contact the Contract Specialist via email at: Debbie.Hope@psc.hhs.gov.

mailto:Debbie.Hope@psc.hhs.gov

Notice to Offerors:

The Government intends to award a single Indefinite Delivery Definite Quantity contract for this requirement. The Government reserves the right to cancel this solicitation, either before or after the closing date. In the event the Government cancels this solicitation, the Government has no obligation to reimburse an Offeror for any costs incurred in the preparation of their offer.

SECTION B – PRODUCTS OR SERVICES AND PRICES/COSTS

B.1 BRIEF DESCRIPTION OF SERVICES

This requirement is to obtain contractor services in support of the Department of Health and Human Services (HHS) Federal Public Key Infrastructure (FPKI) Registration Authority (RA) compliance audit services and subject matter expertise.

B.2 TYPE OF CONTRACT

The contract type awarded is Indefinite Delivery Definite Quantity (IDDQ).

B.3 TYPE OF ORDERS (IDIQ)

Task orders issued under this IDIQ contract shall be: fixed-priced orders.

B.4 MINIMUM AND MAXIMUM QUANTITIES (IDDQ)

During the contract period, the Government shall place orders totaling a minimum of 11 audit.

This reflects the contract minimum for the entire period of performance, including any options.

The contract maximum for the entire period of performance, including any options, shall be for the placement of orders totaling a maximum of 55 audits.

B.5 CONTRACT LINE ITEM PRICING (IDIQ)

The price for each task order will be based on the negotiated unit prices listed below and estimated level of effort, or firm fixed price amount, to be determined at the time of task order award.

The Contractor will be reimbursed in accordance with pricing section of each task order for satisfactory performance of the work.

Firm Fixed Price Orders Firm Fixed Price orders shall comply with the audit unit price for each ordering period listed below. Travel shall not exceed the total price shown below and will be paid on an as needed basis. A payment schedule for Firm Fixed Price orders may be negotiated for individual task orders.

CLIN 1: Base 5-year Ordering Period

Ordering Period Description Quantity Unit of

Issue Unit Price Total Price

Year 1 FPKI RA Audit 11 EA

Travel per year - not to exceed $7,000.00

Total Ordering Period 1

Year 2 FPKI RA Audit 11 EA Travel per year – not to exceed $7,000.00 Total Ordering Period 2

Year 3 FPKI RA Audit 11 EA Travel per year – not to exceed $7,000.00 Total Ordering Period 3

Year 4 FPKI RA Audit 11 EA Travel per year – not to exceed $7,000.00 Total Ordering Period 4

Year 5 FPKI RA Audit 11 EA Travel per year – not to exceed $7,000.00 Total Ordering Period 5

Total Contract Value

SECTION C: DESCRIPTION/SPECIFICATIONS/PERFORMANCE WORK

STATEMENT (PWS)

TITLE: Department of Health and Human Services (HHS) Federal Public Key Infrastructure (FPKI) Annual Compliance Audit

C.1 BACKGROUND

HHS’ PKI Program supports most of the Department’s Operating Divisions (OpDivs) and Staff Divisions (StaffDivs), excluding the Department’s Office of Inspector General (OIG). HHS has Personal Identity Verification (PIV) Card Issuing Facilities (PCIFs) at Program Offices, badging facilities, and field sites around the country.

HHS currently contracts with Entrust, Inc. to operate a Federal Shared Service Provider (SSP) PKI service that meets GSA requirements for operations under the GSA Federal SSP Program. HHS selected the Entrust Managed Service Offering (MSO) to operate the HHS SSP Certification Authority (CA). Therefore, HHS’ SSP CA must conform to all the requirements under the Federal Common Certificate Policy Framework (COMMON CP) as established by the FPKIPA.

C.2 SCOPE

HHS seeks an independent audit of its PKI compliance with the COMMON CP that establishes the requirements for operating and managing a PKI. This encompasses operation and management of the HHS SSP Registration Authority (RA), Credential Status Services (CSS) and related security-relevant ancillary components (e.g., the Card Management System [CMS])

Sampling may be used. If the Auditor uses statistical sampling, all PKI components, PKI component managers and operators shall be considered in the sample. All such samples will vary on an annual basis, such that the entire complement of components undergoes auditing within a timeframe to be established in the applicable Memorandum of Understanding (MOA). Each year, previous sampling results will be reviewed, with an emphasis on determining whether discrepancies and deficiencies have been rectified.

The Auditor shall coordinate with HHS to select 11 sites (Audit Sites) per year for assessment. At its sole discretion, HHS reserves the right each year to decrease the number of Audit Sites per year.

In addition, the sites selected for audit may be different from year to year. The independent audit must comply with the requirements specified in FPKI Annual Review Requirements, Version 1.01 or later. The document is available on the Federal PKI website, https://www.idmanagement.gov/governance/fpkiaudit/.

The HHS PKI Program Manager (PM) and HSPD-12 Program Management Team (PMT) will function as the Task Monitor (TM) representative for this task. The TM will work with the Contracting Officer’s Representative (COR) and communicate, manage, and verify the work described in this SOW, and will coordinate with the Auditor and the selected Audit Sites. Audit Sites will not communicate directly with the COR, but with the Auditor and the designated TM https://www.idmanagement.gov/governance/fpkiaudit/ representative for task monitoring. A primary point of contact (Audit Site POC) will be identified for each Audit Site.

C.2.1 AUDITOR REQUIREMENTS

Auditor Qualifications The Auditor shall demonstrate competence in the field of compliance audits, and must be thoroughly familiar with the COMMON CP. The Auditor must perform such compliance audits as a regular ongoing business activity, and there must be a history of performing PKI compliance audits that spans several years. In addition, the proposed auditor(s) must be a certified information system auditor (CISA) or certified information technology system security professional (CISSP) and a PKI subject matter specialist who can offer input regarding acceptable risks, mitigation strategies, and industry best practices.

Auditor Relationship to HHS and Related PKI Entities The Auditor shall be an independent organization and not have any other role or responsibility to the Department’s PKI management and operation.

The Auditor shall be a private firm that is independent from the entities (CA and RAs) being audited or it shall be sufficiently organizationally separated from those entities to provide an unbiased, independent evaluation. To ensure independence and objectivity, the Auditor may not have served the entity in developing or maintaining the entity’s CA Facility or Certificate Practices Statement (CPS).

C.2.2 TASKS

Task 1 - Kickoff Meeting The Auditor shall participate in a Kickoff Meeting with the HHS PKI PM, COR, PMT, and other stakeholders invited by the PM. The Kickoff Meeting shall be facilitated by a Microsoft (MS) PowerPoint presentation provided by the Auditor and shall include:

a. Identification of all Auditor team members and Government key stakeholders and how communication and coordination will take place, including with Audit Site POCs,

b. Review of the methodology for audit execution,

c. Review of an outline or draft of the Auditor’s proposed Audit Plan and Schedule,

d. Review of any key administrative activities,

e. Presentation of any questions, concerns, or clarifications, and

f. Identification of any security, access, account, and Government Furnished

Materials (GFM) or visit requests and associated processes that may be required to complete the Tasks and how these requirements will be supported by HHS.

Task 2 - Audit Plan The Auditor shall deliver a finalized Audit Plan that incorporates any changes discussed at the Kickoff Meeting or in follow-up communications from participants within 5 business days of receiving feedback from HHS. All feedback will be due to the Auditor from HHS within 5 business days of the Kickoff Meeting. The Audit Plan shall be delivered to the COR and PM in MS Word format and include at a minimum:

a. A description of the audit methodology to be used.

b. A brief description of each of the subtasks/audit requirements required to complete the compliance audit at each Audit Site and what support may be required of HHS for each task.

c. An overall milestone Schedule.

d. Any identified risks and mitigations related to executing the audit.

e. Any identified assumptions or constraints related to executing the audit.

Task 3 – Compliance Audit The Auditor shall conduct a full operational compliance audit for each of the selected Audit Sites as follows:

a. The audit must be completed, and report submitted to GSA prior to October 1, annually, unless otherwise agreed upon with the COR. This is a requirement implemented by GSA as a part of the FPKIPA requirements.

b. The audit shall be conducted in accordance with the FPKIPA’s most recent publication of the FPKI Annual Review Requirements.

c. The audit shall be in compliance with the Audit Plan unless the COR and PM agree in writing to any changes.

d. The audit shall include evaluation of all operation practices encompassing the COMMON CP and applicable CPS including but not limited to the Entrust MSO PKI CP, HHS CPS, Delta CPS, and the HSS PKI Registration Practice Statement

(RPS).

e. The Auditor shall observe operations of RA practices at Audit Sites to determine compliance with the Delta CPS and RPS.

f. The Auditor shall perform the following actions when a noncompliance issue is identified:

i. Document the noncompliance, associated risk, and recommended remedy and expected time for remedy implementation for the Audit Compliance Report.

ii. Notify the PM and PMT promptly via email and share the information documented for the Audit Compliance.

iii. Under the direction of the PM and PMT, notify the party responsible for correcting the issue and if approved by the PM, provide a timeframe for completion.

iv. Update the draft Audit Compliance Report Plan of Actions and Milestones (POA&M) accordingly.

v. Track implementation of the remedy and include the status in the Audit Compliance Report.

The Auditor shall produce the deliverables listed below as products of the audit activities. Each shall be delivered in MS Word format to the COR and PM in accordance with the Audit Plan and Schedule and descriptions below.

Audit Deliverable 1 – Draft Audit Compliance Report

The Auditor shall deliver a Draft Audit Compliance Report for review and feedback by the audit stakeholders as follows:

a. The Interim Audit Compliance Report shall include the sections required in the Final Audit Compliance Report defined below and include draft/preliminary findings.

b. HHS stakeholders will have up to 10 business days following delivery of the Draft Audit Compliance Report to provide feedback via email and/or via Track Changes and comments in the document. HHS stakeholders may also request a review meeting with the Auditor to discuss questions and feedback during that timeframe.

c. The Auditor shall have up to 5 business days to incorporate any feedback received from HHS into the Final Audit Compliance Report.

Audit Deliverable 2 – Final Audit Compliance Report

The Final Audit Compliance Report shall be developed in accordance with the FPKI Annual Review Requirements and include:

a. Table of Contents,

b. Overview of the 11 Audit Sites and associated inputs and review items,

c. Description of audit issues/findings, status, and associated risks,

d. Recommended Audit (POA&M) detailing the recommended actions to be taken to remediate the issues/findings and a suggested timeline for any open issues,

e. Signed Audit Opinion Letters, and

f. An appendix listing all documentation that supports the audit findings. (All supporting documentation shall be delivered by the Auditor concurrent with the Final Audit Compliance Report.)

Audit Deliverable 3 – Audit Findings Presentations

As requested by the COR or PM the Auditor shall present the findings to the FPKIPA, Entrust, or other stakeholders. The presentation shall be facilitated by MS PowerPoint presentations delivered to the PM and COR in MS PowerPoint format NLT 24 business hours prior to the presentation sessions.

Task 4 –Administration

a. The Auditor shall deliver in MS Word format to the COR and PM a Monthly Status Report (MSR) within 5 calendar days of the end of the previous month. The MSR shall include:

i. Updates on activities and accomplishments,

ii. Updates on actual Schedule progress relative to planned Schedule progress,

iii. Issues encountered, including any noncompliance issues identified to date, Schedule slippages, and resolutions or recommended actions, and

iv. Planned activities and any HHS required support.

b. The Auditor shall maintain the Audit Plan and Schedule and update it based on

Status Meeting discussions and COR and PM feedback and approval of any changes.

C. 3 TRAVEL

All travel to Audit Sites will require written pre-approval from the HHS COR via email. Travel and per diem will be reimbursed at cost in accordance with the limitations set forth in FAR 31.205- 46 and the GSA’s Federal Travel Regulations (FTR). Local travel is not reimbursable. Travel beyond the Contractor’s local area may not exceed one trip per Audit Site without written approval from the COR or PM. Travel shall not exceed $7,000 per year.

C. 4 GOVERNMENT FURNISHED MATERIALS

The Government will not furnish any equipment to perform the audit but will provide access to Audit Sites, PCI Facilities (PCIF) and Local Registration Authority (LRA) facilities as necessary to accomplish the audit.

The Government will provide:

a. The HHS/Entrust, Delta CPS and the HHS RPS as necessary and any other documents identified in the agreed upon Audit Plan to accomplish the audit.

b. The Entrust MSO will provide its CP and CPS.

Government personnel will be available between the core hours of 8:00 a.m. and 4:00 p.m., Monday through Friday (except during Government holidays).

C.5 INFORMATION SECURITY AND/OR PHYSICAL ACCESS SECURITY

REQUIREMENTS

1. Baseline Security Requirements

a. Applicability. The requirements herein apply whether the entire contract or modification (hereafter "contract"), or portion thereof, includes either or both of the following:

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

ii. Operate a Federal System Containing Information: A Contractor (and/or any subcontractor) 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.

b. Safeguarding Information and Information Systems. All government information and information systems must be protected in accordance with HHS/[PSC/RLO] policies and level of risk. At a minimum, the Contractor (and/or any subcontractor) must:

i. Protect the:

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.

ii. Categorize all information owned and/or collected/managed on behalf of HHS/[PSC/RLO] and information systems that store, process, and/or transmit HHS information 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. Based on information provided by the ISSO, CISO, OpDiv SOP, or other representative, the impact level for each Security Objective (Confidentiality, Integrity, and Availability) and the Overall Impact Level, which is the highest watermark of the three factors of the information or information system are the following:

Confidentiality: [ ] Low [ ] Moderate [X] High Integrity: [ ] Low [ ] Moderate [X] High Availability: [ ] Low [ ] Moderate [X] High Overall Impact Level: [ ] Low [ ] Moderate [X] High

iii. Based on the agreed-upon level of impact, implement the necessary safeguards to protect all information systems and information collected and/or managed on behalf of HHS/[PSC/RLO] regardless of location or purpose.

iv. Report any discovered or unanticipated threats or hazards by either the agency or contractor, or if existing safeguards have ceased to function immediately after discovery, within one (1) hour or less, to the government representative(s).

v. Adopt and implement all applicable policies, procedures, controls, and standards required by the HHS/[PSC/RLO] 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 all applicable security http://csrc.nist.gov/publications/nistpubs/800-60-rev1/SP800-60_Vol2-Rev1.pdf http://csrc.nist.gov/publications/nistpubs/800-60-rev1/SP800-60_Vol2-Rev1.pdf http://csrc.nist.gov/publications/nistpubs/800-60-rev1/SP800-60_Vol2-Rev1.pdf and privacy policies by contacting the CO/COR or HHS/[PSC/RLO] security and/or privacy officials.

c. Privacy Act. Comply with the Privacy Act requirements (when applicable), and tailor FAR and HHSAR clauses as needed.

d. Privacy Compliance. Comply with the E-Government Act of 2002, NIST SP 800-53, and applicable HHS/[PSC/RLO] privacy policies, and complete all the requirements below:

i. Per the Office of Management and Budget (OMB) Circular A-130, Personally Identifiable Information (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.

ii. To ensure that the public's personal information is protected in a manner commensurate with the privacy risks, HHS uses a privacy analysis process to assess the risks associated with HHS's collection and maintenance of PII and to ensure information is handled in accordance with applicable legal, regulatory, and policy requirements. PTAs analyze how information is handled in IT systems and electronic information collections and determines if the IT system or electronic information collection collects, disseminates, maintains, or disposes of PII. PIAs are used to assess the privacy risks of IT systems and electronic information collections that collect, disseminate, maintain, or dispose of PII about members of the public. PIAs also provide transparency into how HHS collects, disseminates, maintains, or disposes of the public's PII.

iii. The Contractor must support the agency with conducting a Privacy Threshold Analysis (PTA) for the information system and/or information handled under this contract to determine whether or not PII is collected, disseminated, maintained, or disposed as part of the contract. The PTA will determine if a full Privacy Impact Assessment (PIA) needs to be completed.

If the results of the PTA show that a full PIA is needed, the Contractor must support the agency with completing a PIA for the system or information within 30 days after completion of the PTA and in accordance with HHS policy and OMB M-03-22, Guidance for Implementing the Privacy Provisions of the E-Government Act of 2002.

The Contractor must support the agency in reviewing the PIA at least every three years throughout the system development lifecycle (SDLC)/information lifecycle, or when determined by the agency that a review is required based on a major change to the system, or when new types of PII are collected that introduces new or increased privacy risks, whichever comes first.

e. Controlled Unclassified Information (CUI). Executive Order 13556 defines CUI 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 3 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. The requirements below apply only to nonfederal systems that process, store, or transmit CUI, or that provide security protection for such components. All sensitive information that has been identified as CUI by a regulation or statute, handled by this solicitation/contract, must be:

i. Marked appropriately;

ii. Disclosed to authorized personnel on a Need-To-Know basis;

iii. Protected in accordance with NIST SP 800-53, Security and Privacy Controls for 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

iv. Returned to HHS control, destroyed when no longer needed, or held until otherwise directed. Information and/or data must be disposed of in accordance with NIST SP 800-88, Guidelines for Media Sanitization.

f. 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) must protect all government information that is or may be sensitive by securing it with a solution that is validated with current FIPS 140 validation certificate from the

NIST CMVP.

g. 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 must be used only for the purpose of carrying out the provisions of this contract and must 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 must ensure that all work performed by its employees and subcontractors must 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 must 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 must be protected in accordance with HHS and [PSC/RLO] policies. Unauthorized disclosure of information will be subject to the HHS/[PSC/RLO] sanction policies and/or governed by the following laws and regulations:

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

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

and

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

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

i. Information and Communications Technology (ICT). ICT products and services from prohibited entities/sources must not be used/acquired in compliance with Public Law 115-232, Section 889 Parts A and B, FAR 4.21, FAR 52.204.23, FAR 52.204.24, and FAR 52.204.25. The contractor (and/or any subcontractor) must notify the government if they identify prohibited ICT products and/or services are used during the contract performance.

j. 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 must 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, HTTPS is not required, but it is highly recommended. Consult the HHS Policy for Internet and Email Security for additional information.

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

l. Standard for Encryption. The Contractor (and/or any subcontractor) must:

i. Comply with the HHS Standard for Encryption of Computing Devices and

Information to prevent unauthorized access to government information.

ii. 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 encryption solution that is validated with current FIPS 140 validation certificate from the NIST

CMVP.

iii. Secure all devices (i.e.: desktops, laptops, mobile devices, etc.) that store and process government information and ensure devices meet HHS and OpDiv-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).

iv. Verify that the encryption solutions in use have been validated under the Cryptographic Module Validation Program to confirm compliance with current FIPS 140 validation certificate from the NIST CMVP. The

Contractor must provide a written copy of the validation documentation to the COR.

v. 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 http://csrc.nist.gov/publications/. Encryption keys must be provided to the COR upon request and at the conclusion of the contract.

m. Contractor Non-Disclosure Agreement (NDA). Each Contractor (and/or any subcontractor) employee having access to non-public government information under this contract must complete the OpDiv non-disclosure agreement. Contractors (and/or subcontractors) must submit a copy of each signed and witnessed NDA to the Contracting Officer (CO) and/or CO Representative (COR) prior to performing any work under this acquisition.

2. Training Requirements

a. Mandatory Training for All Contractor Staff. All Contractor (and/or any subcontractor) employees assigned to work on this contract must complete the applicable HHS/OpDiv Contractor Information Security Awareness, Privacy, and Records Management training (provided upon contract award) before performing any work under this contract. Thereafter, the employees must complete Information Security Awareness, Privacy, and Records Management training at least annually, during the life of this contract. All provided training must be compliant with HHS training policies.

b. 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 annually commensurate with their role and responsibilities in accordance with HHS policy and the HHS Role-Based Training (RBT) of Personnel with Significant Security Responsibilities Memorandum.

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

3. Rules of Behavior

a. The Contractor (and/or any subcontractor) must ensure that all employees performing on the contract comply with the HHS Information Technology General Rules of Behavior, and HHS Rules of Behavior for Privileged Users.

b. 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 OpDiv Information 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.

4. Incident Response http://csrc.nist.gov/publications/

a. The Contractor (and/or any subcontractor) must respond to all alerts/Indicators of Compromise (IOCs) provided by HHS Computer Security Incident Response Center (CSIRC)/ [PSC/RLO] IRT teams within 24 hours, whether the response is positive or negative. In accordance with FISMA and OMB M-17-12, Preparing for and Responding to a Breach of Personally Identifiable Information (PII), an incident is "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" and a privacy breach is "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." For additional information on the HHS breach response process, please see the HHS Policy and Plan for Preparing for and Responding to a Breach of Personally Identifiable Information (PII)."

b. In the event of a suspected or confirmed incident or breach, the Contractor (and/or any subcontractor) must:

i. Protect all sensitive information, including any PII created, stored, or transmitted in the performance of this contract, with encryption solution that is validated with current FIPS 140 validation certificate from the

NIST CMVP.

ii. NOT notify affected individuals unless so instructed by the Contracting Officer or designated representative. If so instructed by the Contracting Officer or representative, the Contractor must send HHS approved notifications to affected individuals.

iii. Report all suspected and confirmed information security and privacy incidents and breaches to the OpDiv Incident Response Team (IRT), COR, CO, OpDiv SOP (or his or her designee), and other stakeholders, including breaches involving PII, in any medium or form, including paper, oral, or electronic, as soon as possible and without unreasonable delay, no later than one (1) hour, and consistent with the applicable OpDiv and HHS policy and procedures, NIST standards and guidelines, as well as US- CERT notification guidelines. The types of information required in an incident report must include at a minimum: company and point of contact information, contact information, impact classifications/threat vector, and the type of information compromised. In addition, the Contractor must:

Cooperate and exchange any information, as determined by the Agency, necessary to effectively manage or mitigate a suspected or confirmed breach;

Not include any sensitive information in the subject or body of any reporting e-mail; and

Encrypt sensitive information in attachments to email, media, etc.

iv. Comply with OMB M-17-12, Preparing for and Responding to a Breach of Personally Identifiable Information, and HHS privacy breach response policies when handling PII breaches.

v. Provide full access and cooperate on all activities as determined by the Government to ensure an effective incident response, including providing all requested images, log files, and event information to facilitate rapid resolution of sensitive information incidents. This may involve disconnecting the system processing, storing, or transmitting the sensitive information from the Internet or other networks or applying additional security controls. This may also involve physical access to contractor facilities during a breach/incident investigation.

5. 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). The following position sensitivity designation levels apply to this solicitation/contract:

• Tier: 4

• Information Sensitivity: High Risk Public Trust (HRPT)

6. Homeland Security Presidential Directive (HSPD)-12 The Contractor (and/or any subcontractor) and its employees must comply with Homeland Security Presidential Directive (HSPD)-12, Policy for a Common Identification Standard for Federal Employees and Contractors; OMB M-05-24; OMB M-19-17; FIPS 201, Personal Identity Verification (PIV) of Federal Employees and Contractors; HHS HSPD-12 policy; and Executive Order 13467, Part 1 §1.2.

7. Roster The Contractor (and/or any subcontractor) must 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 must be submitted to the COR and/or CO within 5 business days of the effective date of this contract. Any revisions to the roster as a result of staffing changes must be submitted within 2 business days of the 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 must provide a position description and the Government will determine the appropriate suitability level.

8. Contract Initiation and Expiration

a. General Security Requirements. The Contractor (and/or any subcontractor) must 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 must follow the HHS EPLC framework and methodology and in accordance with the HHS Contract Closeout Guide (2012).

b. System Documentation. Contractors (and/or any subcontractors) must follow and adhere to HHS System Development Life Cycle requirements, 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.

c. Sanitization of Government Files and Information. As part of contract closeout and at expiration of the contract, the Contractor (and/or any subcontractor) must 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.

d. Notification. The Contractor (and/or any subcontractor) must notify the CO and/or COR and system ISSO within 5 business days before an employee stops working under this contract.

e. Contractor Responsibilities upon Physical Completion of the Contract. The contractor (and/or any subcontractors) must 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 must 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 policies.

f. The Contractor (and/or any subcontractor) must perform and document the actions identified in the HHS Contractor Employee Separation Checklist when an employee terminates work under this contract within 2 business days of the employee's exit from the contract. All documentation must be available to the CO and/or COR upon request.

9. Records Management and Retention

a. The Contractor (and/or any subcontractor) must 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 Policy for Records Management policies and must not dispose of any records unless authorized by HHS.

b. In the event that a contractor (and/or any subcontractor) accidentally disposes of or destroys a record without proper authorization, he/she must document and report the incident in accordance with HHS policies.

10. High Value Asset (HVA) If a system is identified as HVA,[23] the contractor must comply with the HHS Policy for the High Value Asset (HVA) Program and the DHS HVA Control Overlay[24] in addition to the above requirements.

C.6 REQUIREMENTS FOR PRIVACY ACT RECORDS

https://intranet.hhs.gov/policy/hhs-policy-information-technology-procurements-security-and-privacy-language#ftn23 https://intranet.hhs.gov/policy/hhs-policy-information-technology-procurements-security-and-privacy-language#ftn24

It has been determined that this contract is subject to the Privacy Act of 1974, because this contract provides for the design, development, or operation of a system of records about individuals from which records are retrieved by name or other identifying particular.

The System of Records Notice that is applicable to this contract is:

• 09-90-0020 Suitability for Employment Records, 58 FR 28880 (5/17/93); updt. 59 FR

55845 (11/9/94), 83 FR 6591 (2/14/18).

• 09-90-0777 HHS Facility and [Information] Resource Access Control Records, 75 FR 47812 (8/9/10), updt. 83 FR 6591 (2/14/18).

The system of records design, development, or operation work the Contractor is to perform is:

Suitability determination records about HHS employees and applicants (other than OIG employees and applicants), and access control records about HHS personnel, contractors, and others who are authorized to access HHS facilities and IT systems.

The disposition to be made of the Privacy Act records upon completion of contract performance is: Upon completion of contract performance, OS/ASA/PSC will provide instructions for any records in the contractor's (or any subcontractor's) custody or control to be securely transferred, destroyed or held as specified until otherwise directed, in accordance with NIST SP 800-88.

Physical items are to be returned to the government hand carried or sent by certified mail to the

COR.

C.7 REQUIREMENTS FOR GOVERNMENT INFORMATION PROCESSED ON

GOCO OR COCO SYSTEMS

1. Security Requirements for GOCO and COCO Resources

a. Federal Policies. The Contractor (and/or any subcontractor) must comply with applicable federal laws and HHS policies that include, but are not limited to, the HHS Information Security and Privacy Policy (IS2P); Federal Information Security Modernization Act (FISMA) of 2014, (44 U.S.C. 101); National Institute of Standards and Technology (NIST) Special Publication (SP) 800-53, latest revision, Security and Privacy Controls for Information Systems and Organizations; Office of Management and Budget (OMB) Circular A-130, Managing Information as a Strategic Resource; and other applicable federal laws, regulations, NIST guidance, and Departmental policies.

b. Assessment and Authorization (A&A). A valid authority to operate (ATO) certifies that the Contractor's information system meets the contract's requirements to protect the agency data. If the system under this contract does not have a valid ATO, the Contractor (and/or any subcontractor) must work with the agency and supply the deliverables required to complete the ATO within the specified timeline(s) [OpDiv enter timeline(s)]. The Contractor must conduct the A&A requirements in accordance with HHS IS2P, NIST SP 800-37, Guide for Applying the Risk Management Framework to Information Systems: A Security

Life Cycle Approach (latest revision), NIST SP 800-53B, Control Baselines for Information Systems and Organizations, and the NIST SP 800-53A (latest revision).

HHS acceptance of the ATO does not alleviate the Contractor's responsibility to ensure the system security and privacy controls are implemented and operating effectively.

i. A&A Package Deliverables - The Contractor (and/or any subcontractor) must provide an A&A package within to be determined to the CO and/or COR. The following A&A deliverables are required to complete the A&A package:

System Security Plan (SSP) - due to be determined. The SSP must comply with the NIST SP 800-18, Guide for Developing Security Plans for Federal Information Systems, the Federal Information Processing Standard (FIPS) 200, Recommended Security Controls for Information Systems, and NIST SP 800- 53, Security and Privacy Controls for Federal Information Systems and Organizations applicable baseline requirements, and other applicable NIST guidance as well as HHS and PSC/RLO policies and other guidance. The SSP must be consistent with and detail the approach to IT security contained in the Contractor's bid or proposal that resulted in the award of this contract. The SSP must provide an overview of the system environment and security requirements to protect the information system as well as describe all applicable security controls in place or planned for meeting those requirements. It should provide a structured process for planning adequate, cost-effective security protection for a system.

The Contractor must review and update the SSP at least annually thereafter and if requested, provide a copy of the updated SSP.

Security Assessment Plan/Report (SAP/SAR) - due to be determined. The security assessment must be conducted by HHS/[PSC/RLO] assessor and be consistent with NIST SP 800- 53A, NIST SP 800-30, and HHS and OpDiv policies. The assessor will document the assessment results in the SAR.

Thereafter, the Contractor, in coordination with HHS/[PSC/RLO] must assist in the assessment of the security controls as needed and update the SAR at least annually. A copy of the updated SAR should be provided if requested.

Independent Assessment - due upon request. The Contractor (and/or subcontractor) must have an independent third-party validate the security and privacy controls in place for the system(s) commensurate with the risk levels per NIST SP 800-53B. The independent third party must review and analyze the Security

Authorization package, and report on technical, operational, and management level deficiencies as outlined in NIST SP 800-53. The Contractor must address all "high" deficiencies before submitting the package to the Government for acceptance and document all remaining deficiencies in a system Plan of Actions and Milestones

(POA&M).

POA&M – due upon request. All critical-risk weaknesses must be mitigated within to be determined, high-risk weaknesses must be mitigated within to be determined, medium weaknesses must be mitigated within to be determined, and low weaknesses must be mitigated within to be determined, from the date the weaknesses are formally identified and documented. HHS/[PSC/RLO] will determine the risk rating of vulnerabilities. Identified risks stemming from deficiencies related to the security control baseline implementation, assessment, continuous monitoring, vulnerability scanning, flaws and security defect in a system (that require to create a patch for remediation), and other security reviews and sources, as documented in the SAR, must be documented and tracked by the Contractor for mitigation in the POA&M document consistent with the HHS Standard for Plan of Action and Milestones and OpDiv policies. Depending on the severity of the risks, HHS/[PSC/RLO] may require designated POA&M weaknesses to be remediated before an ATO is issued. Thereafter, continue to remediate weaknesses throughout the contract. The POA&M document must be updated at least quarterly.

Contingency Plan and Contingency Plan Test - due to be determined. The Contingency Plan must be developed in accordance with NIST SP 800-34, Contingency Planning Guide for Federal Information Systems, and be consistent with HHS and OpDiv policies. Upon acceptance by the System Owner, the Contractor, in coordination with the System Owner, must test the Contingency Plan and prepare a Contingency Plan Test Report that includes the test results, lessons learned and any action items that need to be addressed. Thereafter, the Contractor must update and test the Contingency Plan at least annually.

E-Authentica…