ATTACH 5_Authorized Use and NDA_OPSEC Cert_N4008420T2002_MCB.pdf

“Authorized Use and Non-Disclosure Agreement” & “OPSEC Certification of Understanding”

Re: RFP __________________________________

“AUTHORIZED USE and NON-DISCLOSURE AGREEMENT” &

“OPSEC CERTIFICATION OF UNDERSTANDING”

Re: RFP________________________________

It is understood and agreed to that the United States Government, as represented by the Department of the Navy, Naval Facilities Engineering Command, Far East (NAVFAC FE), hereinafter referenced as “Discloser”, may provide certain information that is and must be kept confidential and protected from unauthorized use, publication, distribution or disclosure. To ensure the protection of such information, hereinafter referred to as “Restricted Use Information”, and to preserve any confidentiality necessary under Federal laws, it is agreed that:

1. The Restricted Use Information (hereinafter called “______________________________) to be disclosed includes the following:

2. The Recipient shall limit disclosure of the _______________________________ within its own organization to its directors, officers, partners, members, and/or employees (collectively referred to as “affiliates”) having a need to know (i.e., those who have been appropriately screened by the Recipient). The _______________________________ are considered Federal contract information under the Federal Acquisition Regulations (FAR) 4.19 and Defense Federal Acquisition Regulation Supplement (DFARS) 204.73 and is “UNCLASSIFIED / FOR OFFICIAL USE ONLY.” Do not reveal the ________________________ under any circumstances unless the Contracting Officer deems it necessary and provides approval in writing. The Contracting Officer is the only person who has the authority to disclose government contract information. The Recipient and affiliates shall not disclose the _______________________________ obtained from the Discloser unless required to do so by law. A knowing failure to comply with the requirements of FAR 4.19 and DFARS 204.73 (prohibition on disclosing procurement information) may subject the Recipient to penalties and administrative action in accordance with Federal law, regulation, the FAR, DFARS, etc. Recipient shall not make any use of the above referenced _______________________________ except as follows:

3. This Agreement imposes no obligation upon Recipient with respect to any business confidential or proprietary information (a) that was in Recipient’s possession before receipt from Discloser; (b) is or becomes a matter of public knowledge through no fault, action or inaction of Recipient; (c) is rightfully received by Recipient from a third party not owing a duty of confidentiality to the Discloser; (d) is disclosed without a duty of confidentiality to a third party by, or with the authorization of, Discloser; or (e) is governed by another agreement or contract with the United States Government which specifically addresses use, disclosure or handling of the above referenced Restricted Use Information.

4. This Agreement states the entire agreement on behalf of the Recipient concerning the disclosure of the _______________________________. Any addition or modification to this Agreement must be made in writing and signed by the parties.

5. If any of the provisions of this Agreement are found to be unenforceable, the remainder shall be enforced as fully as possible and the unenforceable provision(s) shall be deemed modified to the limited extent required to permit enforcement of the Agreement as a whole.

6. Recipient agrees to return or destroy restricted use information comprising the _______________________________ at the completion of the work which required disclosure or not later than ___________________, whichever is sooner. Recipient shall identify all derivative works produced using restricted use information to Discloser not later than the above referenced date and request instructions on disposition or retention of such derivative works. A “derivative work,” that is, a work that is based on (or derived from) one or more already existing works, in this case restricted use information referenced herein. Upon request by Discloser, Recipient shall certify in writing or by email he or she has destroyed the restricted use information within ten days from such a request.

8. The duties and obligations arising from this Agreement equally applies to derivative works created using restricted use information provided herein.

WHEREFORE, the Recipient acknowledges that its authorized representatives have read and understand this Agreement and voluntarily accept the duties and obligations set forth herein.

Recipient of Restricted Use Information:

(Full Name & Title of Authorized Representative) Signature & date

OPSEC CERTIFICATION OF UNDERSTANDING

1. Purpose. This document provides Operations Security (OPSEC) guidance to offerors (i.e., corporations and businesses, etc.) who request and/or require access to, and are provided access to Federal contract information via an information system and/or covered contractor information system, where such information includes covered defense information (CDI), controlled technical information (CTI) or other information (as described in the controlled unclassified information (CUI) Registry at http://www.archives.gov/cui/registry/category-list/.html; and said information is referred to in a solicitation (may also include contractor proprietary information (CPI), personally identifiable information (PII), critical information (CI) or sensitive information (SI)) that is inappropriate for release to the public and that requires safeguarding or dissemination controls pursuant to and consistent with law, regulations, and Government wide policies including but not limited to Federal Acquisition Regulation (FAR) 4.19 & 52.204-21 and Defense Federal Acquisition Regulation Supplement (DFARS) 204.404-70(a), 204.7304, 252.204-7000, 252.204-7008, and 252.204-7012.

2. Applicability. NAVFAC FE has determined that additional safeguards are essential for solicitations where access to the categories of information identified above via an information system is required and/or where access to the same is provided to an offeror or when such of information may be generated by an offeror in response to such a solicitation. Offerors must adhere to the OPSEC guidance stipulated below when receiving information marked to indicate the same must be protected (e.g., “UNCLASSIFIED/FOR OFFICIAL USE ONLY”) or when generating such information in response to a solicitation in order to protect the same and to avoid an OPSEC Compromise or access to the same by unauthorized third parties including but not limited to an adversary (in order to maintain essential secrecy and/or for information security purposes).

The Government has determined that the OPSEC guidance stipulated below is required because RFP __________________________ refers to and requires offeror access to the following Federal contract information:

which have been marked “UNCLASSIFIED/FOR OFFICIAL USE ONLY”

I. GENERAL OFFEROR OPSEC REQUIREMENTS

(i) Offeror shall limit disclosure of Federal contract information referenced herein within its own organization to its directors, officers, partners, members, and/or employees, collectively referred to as its affiliate(s), joint venture partner(s), or subcontractor(s), etc., having a need to know.

(ii) Offeror is required to provide adequate security for all Federal contract information on covered contractor information systems.

(iii) It is recognized that adequate security will vary depending on the nature and sensitivity of the information on any given non-DoD information system.

However, all unclassified DoD information in the possession or control of non-DoD entities on non-DoD information systems shall minimally be safeguarded as follows:

a. Do not process unclassified DoD information on publically available computers (e.g., those available for use by the general public in kiosks or hotel business centers).

b. Protect unclassified DoD information by at least one physical or electronic barrier (e.g., locked container or room, logical authentication or logon procedure) when not under direct individual control of an authorized user.

c. At a minimum, overwrite media that have been used to process unclassified DoD information before external release or disposal.

d. Encrypt all information that has been identified as CUI when it is stored on mobile computing devices such as laptops and personal digital assistants, compact disks, or authorized removable storage media such as thumb drives and compact disks, using the best encryption technology available to the contractor or teaming partner.

e. Limit transfer of unclassified DoD information to subcontractors or teaming partners with a need to know and obtain a commitment from them to protect the information they receive to at least the same level of protection as that specified herein, the contract or other written agreement.

f. Transmit e-mail, text messages, and similar communications containing unclassified DoD information using technology and processes that provide the best level of privacy available, given facilities, conditions, and environment. Examples of recommended technologies or processes include closed networks, virtual private networks, public key-enabled encryption, and transport layer security (TLS).

g. Encrypt organizational wireless connections and use encrypted wireless connections where available when traveling. If encrypted wireless is not available, encrypt document files (e.g., spreadsheet and word processing files), using at least application-provided password protected level encryption.

h. Transmit voice and fax transmissions only when there is a reasonable assurance that access is limited to authorized recipients.

i. Do not post unclassified DoD information to website pages that are publicly available or have access limited only by domain or Internet protocol restriction. Such information may be posted to website pages that control access by user identification and password, user certificates, or other technical means and provide protection via use of TLS or other equivalent technologies during transmission.

Access control may be provided by the intranet (vice the website itself or the application it hosts).

j. Provide protection against computer network intrusions and data exfiltration, minimally including:

(1) Current and regularly updated malware protection services, e.g., anti-virus, anti-spyware.

(2) Monitoring and control of both inbound and outbound network traffic (e.g., at the external boundary, sub-networks, individual hosts), including blocking unauthorized ingress, egress, and exfiltration through technologies such as firewalls and router policies, intrusion prevention or detection services, and host-based security services.

(3) Prompt application of security-relevant software patches, service packs, and hot fixes.

k. Comply with other current Federal and DoD information protection and reporting requirements for specified categories of information (e.g., medical, proprietary, critical program information (CPI), personally identifiable information, export controlled, etc.)

as specified herein, in contracts, grants, and other legal agreements.

l. Report loss or unauthorized disclosure of unclassified DoD information in accordance with the terms herein, the contract, grant, or other legal agreement requirements and mechanisms.

m. Do not use external IT services (e.g., e-mail, content hosting, database, document processing) unless they provide at least the same level of protection as that specified in the contract or other written agreement.

(iv) Offeror personnel shall not discuss Federal contract information referenced herein in public or over unprotected or unencrypted communications.

Federal contract information referenced herein may only be transmitted as directed by the point of contact (POC) for the same, ________________________________, via email, ________________________________, or the Contracting Officer if the POC is unavailable.

(v) Offeror shall not transmit any Federal contract information referenced herein that is marked “UNCLASSIFIED/FOR OFFICIAL USE ONLY” electronically over the Internet unless it is encrypted in accordance with appropriate Federal regulations. If in doubt, contact the POC or the Contracting Officer if the POC is unavailable.

(vi) Because specific restrictions are needed to preclude unintentional release of Federal contract information referenced herein to unauthorized parties including an adversary, unauthorized disclosure of the same may be punishable under 18 USC § 793 and or any other applicable laws and/or regulations.

Therefore, offeror personnel shall not disclose to unauthorized third parties, post to unofficial sites (including Social Networking sites) any images, data or information related to the Federal contract information referenced herein.

(vii) Unauthorized disclosure and/or attempts to solicit Federal contract information referenced herein by unauthorized third parties or others not affiliated with this solicitation shall be reported to the POC or the Contracting Officer if the POC is unavailable, and/or the NAVFAC FE and/or installation Security

Office, and your company Facility Security Officer and/or the Defense Security Service. Non-Disclosure requirements remain in effect during the duration of the awarded contract for this solicitation and indefinitely thereafter.

(viii) Practice OPSEC and implement countermeasures to protect Federal contract information referenced herein.

(ix) It is strongly recommended the offeror mark and protect related internal business information related to the solicitation and/or Federal contract information referenced herein. Internal company markings e.g., Business Sensitive, etc., are appropriate for identifying the aforementioned as sensitive information.

(x) Offeror agrees to return or destroy Federal contract information referenced herein (i.e., the _________________________________) upon notice of award of a contract under RFP ________________________________ which required disclosure of Federal contract information referenced herein or not later than ________________________________, whichever is sooner.

(xi) Offeror agrees it shall identify all derivative works produced using Federal contract information referenced herein to the POC or the Contracting Officer if the POC is unavailable, not later than the above referenced date and request instructions on disposition or retention of such derivative works. A “derivative work,” that is, a work that is based on (or derived from) one or more already existing works, in this case Federal contract information referenced herein.

Upon request by the POC or the Contracting Officer if the POC is unavailable, Offeror shall certify in writing or by email that he or she has destroyed Federal contract information referenced herein within _________________ days from such a request.

CERTIFICATION OF UNDERSTANDING:

Recipient acknowledges and certifies that its authorized representatives have read and understand the OPSEC guidance provided above and voluntarily accept the duties and obligations set forth herein.

(Full Name & Title of Authorized Representative) Signature & date

TERMS

Access – The ability or opportunity to obtain knowledge of controlled unclassified information.

Adequate security – means protective measures that are commensurate with the consequences and probability of loss, misuse, or unauthorized access to, or modification of information.

Adversary - Individuals, organizations, or countries that must be denied critical information in order to preserve mission integrity and maintain friendly mission effectiveness and the element of surprise. Adversary, in this context, includes any individual, organization, or country with which specific information should not be shared to preserve mission integrity or the element of surprise.

Covered Contractor Information System – means an information system that is owned or operated by a contractor that processes, stores, or transmits Federal contract information.

Controlled Unclassified Information (CUI) - Unclassified information to which access or distribution limitations have been applied according to national laws, policies, and regulations of the United States Government (U.S. Government). It includes U.S. information that is determined to be exempt from public disclosure according to DODD 5230.25, DODD 5400.7, and so on, or that is subject to export controls according to the International Traffic in Arms Regulations (ITAR) or the Export Administration Regulations (EAR). This includes FOR OFFICIAL USE ONLY, Unclassified-NNPI, and PII etc. or other information (as described in the Controlled Unclassified Information (CUI) Registry at http://www.archives.gov/cui/registry/category-list/.html).

Critical Information - Critical information is defined as information important to the successful achievement of U.S. objectives and missions, or which may be of use to an adversary of the United States. Critical information consists of specific facts about friendly capabilities, activities, limitations (includes vulnerabilities), and intentions needed by adversaries for them to plan and act effectively so as to degrade friendly mission accomplishment. Critical information is information that is vital to a mission that if an adversary obtains it, correctly analyzes it, and acts upon it will prevent or seriously degrade mission success. Critical information can be classified information or unclassified information. Critical information can also be an action that provides an indicator of value to an adversary and places a friendly activity or operation at risk.

Critical infrastructure - Systems and assets, whether physical or virtual, so vital that the incapacity or destruction of such may have a debilitating impact on the security, economy, public health, or safety, environment, or any combination of these matters, across any Federal, state, regional, territorial, or local jurisdiction. INCLUDES - Critical Energy Infrastructure Information: specific engineering, vulnerability, or detailed design information about proposed or existing critical energy infrastructure that: (i) relates details about the production, generation, transportation, transmission, or distribution of energy; (ii) Could be useful to a person planning an attack on critical infrastructure; … and (iii) Does not simply give the general location of the critical infrastructure.

Critical utility infrastructure - (e.g., electrical, water, gas, steam, communications, IT, security, industrial Control Systems): a. Inventory of IP-based control systems consisting of network capable digital controllers and user interfaces used to monitor and control equipment (i.e., building control systems, utility control systems, electronic security systems, and fire and life safety systems per DoDI 8500.01 and 8510.01); (b) user/password/media control addresses (MAC Address); and System logs, software and hardware configurations/operating systems (OS). INCLUDES - DoD Critical Infrastructure Security Information or information that, if disclosed, would reveal vulnerabilities in the DoD critical infrastructure and, if exploited, would likely result in the significant disruption, destruction, or damage of or to DoD operations, property, or facilities, including information regarding and safeguarding of explosives, hazardous chemicals, or pipelines, related to critical infrastructure or protected systems owned or operated on behalf of DoD, including vulnerability assessments prepared by or on behalf of the DoD, explosives safety information (including storage and handling), and other site-specific information on or relating to installation security.

Federal Contract Information – means information, not intended for public release, that is provided by or generated for the Government under a contract to develop or deliver a product or service to the Government, but not including information provided by the Government to the public (such as that on public Web sites) or simple transactional information, such as that necessary to process payments.

Essential Secrecy - The condition achieved from the denial of critical information to adversaries.

For Official Use Only (FOUO) - A designation that is applied to unclassified information that may be exempt from mandatory release to the public under the Freedom of Information Act (FOIA). (A form of CUI) Information – Any knowledge that can be communicated or documentary material, regardless of its physical form or characteristics, that is owned, produced by or for, or is under the control of the U.S. Government.

Information system – means a discrete set of information resources organized for the collection, processing, maintenance, use, sharing, dissemination, or disposition of information (44 USC 3502).

Information security - The system of policies, procedures, and requirements established to protect information that, if subjected to unauthorized disclosure, could reasonably be expected to cause damage to the national security. The term also applies to policies, procedures, and requirements established to protect CUI, which may be withheld from release to the public in accordance with statute, regulation, or policy.

Need to Know - A determination that a prospective recipient requires access to specific information in order to perform or assist in a lawful and authorized governmental function.

Offeror - Refers collectively to the Business or Company and its personnel (directors, officers, partners, members, and/or employees, collectively referred to as its affiliate(s), joint venture partner(s), or subcontractor(s)).

Operations Security - Operations security (OPSEC) is a process of identifying critical information and subsequently analyzing friendly actions attendant to military operations and other activities to:

a. Identify those actions that can be observed by adversary intelligence systems;

b. Determine indicators that hostile intelligence systems might obtain that could be interpreted or pieced together to derive critical information in time to be useful to adversaries; and

c. Select and execute measures that eliminate or reduce to an acceptable level the vulnerabilities of friendly actions to adversary exploitation.

http://www.archives.gov/cui/registry/category-list/.html

OPSEC Compromise - The disclosure of critical information or sensitive information which has been identified by the Command and any higher headquarters that jeopardizes the unit’s ability to execute its mission or to adequately protect its personnel and/or equipment.

Procurement and Acquisition: material and information relating to, or associated with, the acquisition and procurement of goods and services, including but not limited to, cost or pricing data, Federal contract information, indirect costs and direct labor rates.

Publicly Accessible web site - A Department of Defense (DoD) web site with access unrestricted by password or Public Key Infrastructure (PKI) user authorization. “Public” refers to the at-large audience on the Internet; anyone who can access a web site through a browser.

Public Release - The approved release of coordinated, consistent, accurate, and authoritative information that meets appropriate security regulations and Navy/DoD guidelines for the release of information to the public. The NAVFACFE Public Affairs Officer is the point of contact for all Public Release material.

Safeguarding - Measures and controls that are prescribed to protect classified and/or controlled unclassified information and/or information systems.

Security Manager - A properly cleared individual having professional security credentials to serve as the manager for an activity.

Sensitive Information - Sensitive information is information requiring special protection from disclosure that could cause compromise or threat to our national security, a Navy organization, activity, family member, DoD civilian or DOD contractor.

Social Media - Refers to the means of interactions among people in which they create, share, and exchange information and ideas in virtual communities and networks; Facebook, Twitter, LinkedIn, etc.

Solicitation – Refers to a Request for Proposal (RFP) Request for Quote (RFP) and/or Invitation for Bod (IFB).

Unclassified Information - Information that may be sensitive in nature, is not classified by nature. Unclassified information is NOT releasable to the public without public release authority of the information owner.

REFERENCES

(a) National Security Decision Directive Number 298, National Operations Security Program (Jan 22, 1988)

(b) DoDD 5205.02E, Department of Defense Operations Security (OPSEC) Program (May 11, 2018)

(c) OPNAVINST 3432.1A, Operations Security (August 4, 2011)

(d) NAVFACINST 3070.2, Naval Facilities Engineering Command, Operations Security (06 NOV 2017),

(e) NAVFACFEINST 3432.1, Operations Security (24 AUG 2017)

(f) U.S. Navy NTTP 3-13.3M, U.S. Marine Corps MCTP 3-32B, Operations Security (SEP 2017)

(g) National Institute of Standards and Technology (NIST) Special Publication (SP) 800-171, “Protecting Controlled Unclassified Information in Nonfederal Information Systems and Organizations”

(h) DoDD 5230.09 Clearance of DoD Information for Public Release (Jan 25, 2019)

(i) DoDM 5200.01, Vol 4 “DoD Information Security Programs: Controlled Unclassified Information (CUI)(Feb 24, 2012)(Incorporating Change 1, Effective May 9, 2018)

(j) DoDI 8500.01 Cybersecurity (March 14, 2014)

(k) DoDI 8520.02 Public Key Infrastructure (PKI) and Public Key (PK) Enabling (May 24, 2011)

(l) DoDI 8582.01 Security of Unclassified DoD Information on Non-DoD Information Systems (June 6, 2012)(Incorporating Change 1, October 27, 2017)

(m) DoDI 5230.24 Distribution Statements on Technical Documents (Oct 15, 2018)

(n) Federal Acquisition Regulations (FAR) 4.19 Basic Safeguarding of Covered Contractor Information Systems and 52.204-21 Basic Safeguarding of Covered Contractor Information Systems

(o) Defense Federal Acquisition Regulation Supplement (DFARS) 204.404-70 Additional contract clauses, 204.7304 Solicitation provisions and contract clauses; 252.204-7000 Disclosure of information, 252.204-7008 Compliance with Safeguarding Covered Defense Information Controls, and 252.204-7012 Safeguarding Covered Defense Information And Cyber Incident Reporting

Authorized use is limited to proposal preparation purposes only.