Attachment 1 - Statement of Work EDS - IDIQ 9 30 2025.pdf

PERFORMANCE WORK STATEMENT

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Statement of Work (SOW)

FOR

ENVIRONMENTAL DATA SERVER (EDS) SUBSCRIPTION SERVICES

1.0 GENERAL

1.1 BACKGROUND

C5ISC provides Command, Control, Communications, Computer, Cyber and Intelligence support world- wide for the United States Coast Guard (USCG). C5ISC is responsible for supporting and maintaining the Search and Rescue Optimum Planning System (SAROPS). The Search and Rescue Optimal Planning System (SAROPS) is designed to assist with Search and Rescue (SAR) planning. SAROPS is built as an extension to the Environmental Systems Research Institute (ESRI) application Geographic Information System (ArcGIS). The Common Mapping Framework (CMF) and Common Mapping Framework – Lite (CMF-L) are customizations of the ArcMap application of the larger ArcGIS environment. Access to SAROPS is typically through the CMF-L and CMF running in a Microsoft Remote Desktop Services environment using Active Directory Services but moving to SAROPS Web version which will be accessed through a web browser. The system operates in a LAN/WAN environment.

Hardware configurations are Dell servers, Hyperconverged Dell/EMC Solutions, Cisco and Network devices, F5 Load balancers, and are fully virtualized on VMWare.

Current commercial Environmental Data Server (EDS) subscription provides SAROPS with web services technology to obtain the current and wind data which is required to optimally run search object drift simulations. The Search and Rescue (SAR) Controller identifies the Area of Interest (AOI) and the EDS then provides a set of candidate wind and current data products for that AOI. SAROPS then transmits AOI and product parameters to the EDS provider and receives resultant wind and current data sufficient to run the drift simulation. The EDS provider collects datasets from various providers, verifies the integrity of those datasets and formats the data properly for SAROPS ingestion. These communications are temporary, initiated by SAROPS and terminated by SAROPS after receipt of requested information.

The contractor provided data products are commercial off the shelf (COTS) subscription commodities that will be provided by the vendor’s servers and accessed by SAROPS clients.

1.2 SCOPE

The purpose of this IDIQ is to maintain current subscription services for environmental data services including but not limited to data source catalog, data format transformation, status reporting, web services and archiving and also develop future enhancements and USCG

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directed changes to the EDS services such as refining existing product, vetting available products and adding new products that will become part of the EDS subscription.

1.3 OBJECTIVE

The objective of this solicitation is to support the current EDS subscription service provided for SAROPS as well as the development of future products that would become part of the subscription service.

1.4 APPLICABLE DOCUMENTS

1.4.1 Compliance Documents

The following documents provide specifications, standards, or guidelines that must be complied with in order to meet the requirements of this contract:

• C5ISC Systems Engineering Lifecycle (SELC) Policy C5ISCINST M4130

1.4.2 Reference Documents

The following documents may be helpful to the Contractor in performing the work described in this document:

• National Search and Rescue Manual, U.S. Coast Guard Addendum to the National SAR Supplement (M16130.2D). Available at:

http://www.uscg.mil/hq/cg5/cg534/SAR_Manuals.asp

• International Aeronautical and Maritime Search and Rescue Manual. Available at:

(http://www.imo.org/en/OurWork/Safety/RadioCommunicationsAndSearchAndRescu e/SearchAndRescue/Pages/IAMSARManual.aspx)

• Elements, Modules and Algorithms For Planning Optimal Searches (furnished upon request).

• The Theory of Search. Available at:

(http://www.navcen.uscg.gov/pdf/Theory_of_Search.pdf).

• SAROPS Job Aid (furnished upon request).

• U.S. Coast Guard Cybersecurity Manual, COMDTINST M5500.13 (Series) This document cannot be distributed or disseminated. However, it can be reviewed onsite at C5ISC.

• Operations Security (OPSEC) Program, COMDTINST M5510.24 (series)

• FAR 4.1301 – Reinforcement of the Collection and Proper Return of Terminated Contractor Common Access Cards (CAC)

• Personnel Security and Suitability Program, COMDTINST M5520.12 (series)

• Safeguarding Sensitive But Unclassified (FOR OFFICIAL USE ONLY) Information, DHS MD 11042.1

• Handling of Sensitive Security Information (SSI), DHS MD 11056.1

• Standard Distribution List – USCG COMDTNOTE 5605

• C5ISC Configuration and Change Management Policy, C5ISCINST M4130

• Trusted Associate Sponsorship System (TASS), COMDTINST 5500.18 http://www.uscg.mil/hq/cg5/cg534/SAR_Manuals.asp http://www.imo.org/en/OurWork/Safety/RadioCommunicationsAndSearchAndRescue/SearchAndRescue/Pages/IAMSARManual.aspx http://www.imo.org/en/OurWork/Safety/RadioCommunicationsAndSearchAndRescue/SearchAndRescue/Pages/IAMSARManual.aspx http://www.navcen.uscg.gov/pdf/Theory_of_Search.pdf

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Note: The Contractor must comply with the above or the latest versions, including updated versions or policies that supersede the above.

1.5 PERFORMANCE REQUIREMENTS SUMMARY.

This contract includes a Performance Requirements Summary (PRS) at PWS 9.0. The PRS plays an integral role in the administration of the contract. In addition to any applicable inspection clauses or other related terms and conditions contained in the contract, the PRS must serve as a primary tool for inspection and acceptance of services as facilitated by the Contracting Officer’s Representative (COR). Evaluation of the Contractor’s overall performance must be in accordance with the performance standards set forth in the PRS, and will be conducted by the COR. The PRS constitutes a material aspect of the contract and will not be changed or otherwise modified without prior written approval of the Contracting Officer.

2.0 SPECIFIC REQUIREMENTS/TASKS

2.1 TASK ONE. EDS Data Retention/Management

2.1.1 All EDS data must be available on high performance servers/disks for the previous 30 days.

2.1.2 All EDS Data must be instantly and seamlessly available for the previous 365 days.

2.1.3 Data requests for data that is older than 1 year must be accessible under a best effort timeline – typically in less than a week.

2.1.4 EDS must be available 24/7.

2.1.5 EDS must average a yearly uptime in more than of 99%.

2.1.6 The contractor must ensure Production environment downtime is less than 24 hours per year for maintenance purposes.

2.1.7 The contractor must ensure no down time extends for more than 3 hours.

2.1.8 The contractor must schedule general maintenance with the Product Line Project Manager (PL PM) and/or COR not less than 72 hours in advance.

2.1.9 The contractor must notify the PL PM and COR of emergency maintenance prior to working on it.

2.1.10 The contractor must make available a Disaster Recovery site which is fully functional within 30 minutes after the first notification that the primary EDS site fails to respond.

2.1.11 The contractor must protect proprietary model forecast data and observe and implement data distribution roles as defined by the USCG for the following:

2.1.11.1 CAPGIS

2.1.11.2 WoodsHole Group

2.2.10.3 WHG-TOPS

2.2.10.4 Fathom Relocatable Model

2.2.10.5 Any other private company not mentioned in 2.2.10.1 – 2.2.10.4

2.1.12 The contractor must restrict access to the data listed in 2.1.11 to only those contractors that need to work on that data set.

2.2 TASK TWO. Software Engineering Services

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2.2.1 The contractor must respond to all requests for support assistance within 1 hour of receipt of email/phone notification.

2.2.2 The contractor must provide wind and current data sets as listed in Appendix A, EDS Currents Guide and Appendix B, EDS Wind Guide or at least an equivalent in regarding geographic coverage.

2.2.3 The contractor must update wind and data sets in EDS as they change.

2.2.4 The contractor must provide EDS web services including but not limited to data source catalog, data format transformation, status reporting, web services and archiving. (see Appendix C, Web Service Details)

2.2.5 The contractor must provide data products that are COTS subscription commodities that will be accessed by SAROPS clients.

2.2.6 The contractor must respond to individual model outages.

3.0 CONTRACTOR PERSONNEL

3.1 Qualified Personnel

The Contractor must provide qualified personnel to perform all requirements specified in this

PWS.

3.2 Key Personnel

Before replacing any individual designated as Key by the Government, the Contractor must notify the Contracting Officer no less than 15 business days in advance, submit written justification for replacement, and provide the name and qualifications of any proposed substitute(s). All proposed substitutes must possess qualifications equal to or superior to those of the Key person being replaced, unless otherwise approved by the Contracting Officer. The Contractor must not replace Key Contractor personnel without approval from the Contracting Officer. The following Contractor personnel are designated as Key for this requirement. Note:

The Government may designate additional Contractor personnel as Key at the time of award.

3.2.1 Senior Software Engineer: The Contractor shall provide a contract employee who has a minimum of a BS/BA. It is desired that the software engineer has a cumulative of 5 years of knowledge and experience in the following areas:

3.2.1.1. Environmental Data Server (EDS) including the data source catalog, data format transformation, data normalization, status reporting, web services and archiving.

3.2.1.2. EDS workflow and data that it hosts and serves.

3.2.1.3. Environmental modeling and application development.

3.2.1.4. Vetting new data sources, quality assurance of integrated sources and on-going checks of all data acquired by EDS.

3.2.1.5. High Frequency RADAR.

3.2.1.6. Self-Locating Datum Marker Buoys (SLDMBs).

3.2.1.7. Data Aggregation (spatial and temporal).

3.2.1.8. Specialized knowledge and experience in:

3.2.1.8.1. Analysis of oceanic, coastal, river, lake and land resources

3.2.1.8.2. Oceanography

3.2.1.8.3. Geographic information systems (GIS)

3.2.1.8.4. Web-mapping & Web programming

3.2.1.8.5. Operational research

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3.2.1.8.6. Geospatial data display

3.2.2 Project Manager

The Contractor must provide a Project Manager who must be responsible for all Contractor work performed under this PWS. The Project Manager must be a single point of contact for the Contracting Officer and the COR. The name of the Project Manager, and the name(s) of any alternate(s) who must act for the Contractor in the absence of the Project Manager, must be provided to the Government as part of the Contractor's proposal. The Project Manager is further designated as Key by the Government. During any absence of the Project Manager, only one alternate must have full authority to act for the Contractor on all matters relating to work performed under this contract. The Project Manager and all designated alternates must be able to read, write, speak and understand English. Additionally, the Contractor must not replace the Project Manager without prior approval from the Contracting Officer.

The Project Manager must be available to the COR via telephone between the hours of 0800 and 1600 EST, Monday through Friday, and must respond to a request for discussion or resolution of technical problems within one (1) hour of notification.

3.3 Employee Identification

3.3.1 Contractor employees visiting Government facilities must wear an identification badge that, at a minimum, displays the Contractor name, the employee’s photo, name, clearance-level and badge expiration date. Visiting Contractor employees must comply with all Government escort rules and requirements. All Contractor employees must identify themselves as Contractors when their status is not readily apparent and always display all identification and visitor badges in plain view above the waist at all times.

3.3.2 Contractor employees working on-site at Government facilities must wear a Government issued identification badge. All Contractor employees must identify themselves as Contractors when their status is not readily apparent (in meetings, when answering Government telephones, in e-mail messages, etc.) and always display all identification and visitor badges in plain view above the waist at all times.

3.3.3 The Contractor shall work with the COR to obtain Common Access Cards (CAC) for all contract personnel within 30 days of hire. See sections 1.4.6.1, 1.4.6.2, and 1.4.6.3.

Requirements for issuance of a CAC can be found at http://www.cac.mil/common-access-card/getting-your-cac/. The Contractors who fulfill requirements of Sections 1.4.1, 1.4.2, 1.4.3, and 1.4.4 shall work with COR to obtain DOD Privileged Alt Tokens.

3.3.4 Contractors are required to return CAC cards, and any other forms of Government-provided identification, to their assigned COR when no longer required for contract performance unless otherwise determined by the USCG. The prime contractor shall be responsible for ensuring that all subcontractors return CAC cards to the COR unless otherwise determined by the USCG.

3.4 Employee Conduct

Contractor’s employees must comply with all applicable Government regulations, policies and procedures (e.g., fire, safety, sanitation, environmental protection, security, “off limits” areas, http://www.cac.mil/common-access-card/getting-your-cac/ http://www.cac.mil/common-access-card/getting-your-cac/

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wearing of parts of DHS uniforms, and possession of weapons) when visiting or working at Government facilities. The Contractor must ensure Contractor employees always present a professional appearance and that their conduct must not reflect discredit on the United States or the Department of Homeland Security. The Project Manager must ensure Contractor employees understand and abide by Department of Homeland Security established rules, regulations and policies concerning safety and security.

3.5 Removing Employees for Misconduct or Security Reasons

The Government may, at its sole discretion (via the Contracting Officer*), direct the Contractor to remove any Contractor employee from DHS facilities for misconduct or security reasons.

Removal does not relieve the Contractor of the responsibility to continue providing the services required under the contract. The Contracting Officer will provide the Contractor with a written explanation to support any request to remove an employee.

4.0 OTHER APPLICABLE CONDITIONS

To be included in applicable task orders.

4.1 SECURITY

4.1.1 Unclassified Security Requirements

4.1.1.1. Contractor personnel not requiring access to classified spaces or classified material working under this contract, at a minimum, must have a favorable fingerprint check and initiated or completed a minimum Tier 1 investigation, to obtain a Department of Defense (DoD) Common Access Card (CAC). in accordance with the COMDTINST 5500.18, MP ICAM. The list of contractors who require privileged access to ITsystems, must be provided to the Government no later than 30 days after the contract award.

4.1.1.2. Contractors are required to return all CACs to an appropriate CG sponsor representative when no longer performing required contract tasks. This CG sponsor must be their onsite CG supervisor, assigned MP ICAM, or COR. The prime contractor must be responsible for ensuring that all contractors (including subcontractors) return each CAC to the proper CG representative.

4.1.1.3.Contractors who work in a DHS/USCG installations and/or government leased facilities and are embedded or integrated within a program or activity, must report all adverse information, suspicious contacts, and other reportable incidents to the local command security office.

Any misconduct/wrongdoing of a contractor, modification to the contract or changes to the company ownership status, which could have an adverse impact upon national security, the Army program and/or information, must be reported immediately to the Contract Officer (KO) or a Contract Officer Designated Representative.

4.1.1.4. Contractor personnel working on-site at Government facilities shall comply with all installation security requirements and all security regulations and directives for this Contract (i.e., security and safety, visit request, badging, escorted/unescorted, training, day-to-day requirements, etc.).

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On-site contractor personnel must require attending and participating in the USCG Security Education and Awareness Training program as appropriate to the responsibilities associated with assigned duties. In addition, this includes contractor personnel to participate in training in rules, practices, procedures, and systems on government requirements.

4.1.1.5. All hardware, software, and services provided must be compliant in accordance with 140-01 Information Technology Systems Security and the DHS Sensitive Systems Handbooks 4300A for Sensitive But Unclassified (SBU).

4.1.1.6. Contractors must provide an annually visit authorization letter (VAL) to the place of performance. The information required is listed in the NISPOM and must not exceed the completion date of the contract or a 12-month period, whichever is shorter. Additionally, the VAL shall note the applicable government COR or Technical Assistant (TA) responsible for coordinating the visit so that the host location can verify “Need-To-Know,” as necessary. (AKA:

VAR)

4.1.2. PHYSICAL ACCESS/UNCLASSIFIED

4.1.2.1. If a CAC is not required per CI 5500.18, then the provisions of COMDTINST 5532.1, Physical Access Control will be adhered to including a NCIC-III criminal history inquiry, favorable unescorted access determination and locally produced access credential issuance (i.e. visitor’s pass, temporary badge, etc.) must be followed.

4.1.2.2. Personnel who are granted physical access, without determination of a favorable fitness, must be accompanied by an Authorized Escort Authority as outlined per COMDTINST 5532.1, Chapter 9.D in this Instruction. The escort requirement is mandated for the duration of the individual’s visitation.

4.1.2.3. The contractor shall adhere to the access control requirements of the installation for site visits.

4.1.2.4. Contractor's employees may be exposed to FOUO while visiting the government sites, which require the contractor's employees to sign the DHS NDA, Form 11000-6. The following clauses apply: HSAR 3052.204-71, Contractor Employee Access (JULY 2023) and Special Clause Information Technology Security Awareness Training (JULY 2023) (see HSAR Class Deviation 15-01, Revision 1)

1.0 Mission Partner Identity, Credential and Access Management (MP ICAM) 2.0

(a) "Contractor employee" means an employee of a firm, or an individual, under contract or subcontract to the Coast Guard to provide services who also requires one or more of the following:

• Physical access to multiple Coast Guard facilities or multiple federally controlled facilities on behalf of the Coast Guard on a recurring basis (a minimum of 2 times per week and/or 8 times per month) for a period of 6 months or more.

• Remote access, via logon, to the Coast Guard network using Coast Guard-approved remote access procedures.

• Both physical access to Coast Guard facility and logical access, via logon, to Coast Guard networks on-site or remotely. Access to the Coast Guard network must

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require the use of a computer with Government-controlled configuration or use of Coast Guard-approved remote access procedure in accordance with the Defense Information Systems Agency (DISA) Security Technical Implementation Guide.

(b) Homeland Security Presidential Directive (HSPD)-12 mandates a federal standard for secure and reliable forms of identification for Federal employees and contractor employees. The Common Access Card (CAC) is a personal identification card for the DoD/Uniformed Services and complies with HSPD-12. The Coast Guard has instituted the CAC as its HSPD- 12 compliant personal identification card for contractor and subcontractor employees who are required to access a Coast Guard, DoD, or other federally controlled computer information system and/or facility or need public key infrastructure (PKI) authentication to perform their contractual duties. The Mission Partner Identity, Credential and Access Management (MP ICAM) is the automated application process for obtaining a CAC.

(c) Contractor and subcontractor employees working pursuant to this contract who are required to access a Coast Guard, DOD, or other federally controlled computer information system and/or facility or need PKI authentication to perform their contractual duties must use MP ICAM to obtain a CAC.

(d) The Contracting Officer Representative (COR) or Assisting Contracting Officer

Representative (ACOR) is the MP ICAM Mission Partner Affiliation Sponsor (MPAS) and initiates contractor accounts in the MP ICAM, approving, returning, or rejecting CAC applications (as applicable); re-verifying assigned contractors every six months;

revoking contractor and employee eligibility for a CAC.

(e) The MPAS ensures that contractor personnel satisfy the security requirements for CAC issuance prior to creating the CAC application in MP ICAM. Current investigative requirements must be verified according to Commandant Instruction COMDTINST 5500.18, Coast Guard Trusted Associate Sponsorship System. The initial CAC issuance requires a favorably adjudicated Tier 1 investigation (equivalent or higher) or a Tier 1 background investigation (BI) (equivalent or higher) package that has been successfully scheduled with the investigative service provider (ISP) and a FBI fingerprint check with favorable results. The MPAS and Sponsor or other appropriate Federal Government representative must coordinate with the unit BI Verifier (Command Security Officer /Mission Partner Affiliation Sponsor Manager) or the U.S.

Coast Guard Security (SECCEN) to confirm the appropriate investigation has been favorably adjudicated or scheduled at the ISP with favorable FBI fingerprint results.

(f) The COR or Contracting Officer provides such forms to, or requests such information from, contractor employees that may be necessary for obtaining a CAC via the MP ICAM. The Contractor submits completed forms and information as directed by the COR or Contracting Officer. Contractors are responsible for the accuracy and completeness of the information submitted and for any liability resulting from the Government's reliance on inaccurate or incomplete information.

https://www.dhs.gov/homeland-security-presidential-directive-12

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(g) Contractor employees who are declined via the MP ICAM are ineligible to perform work under this contract.

(h) When an employee with a CAC is no longer performing work under this contract, the employee must return the CAC to the COR/MPAS or Contracting Officer on the same day the employee stops working.

(i) The contractor must insert this clause in all subcontracts when a subcontractor's employee is required to access a Coast Guard, DOD, or other federally controlled computer information system and/or facility or need PKI authentication to perform contractual duties.

Homeland Security Acquisition Regulation (HSAR) Class Deviation 15-01 Safeguarding Controlled Unclassified Information (JULY 2023) Requirements:

(a) Applicability. This clause applies to the Contractor, its subcontractors, and Contractor employees (hereafter referred to collectively as “Contractor”). The Contractor must insert the substance of this clause in all subcontracts.

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

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

“Sensitive Information” is defined in HSAR clause 3052.204-71, Contractor Employee Access, as any information, which if lost, misused, disclosed, or, without authorization is accessed, or modified, could adversely affect the national or homeland security interest, the conduct of Federal programs, or the privacy to which individuals are entitled under section 552a of Title 5, United States Code (the Privacy Act), but which has not been specifically authorized under criteria established by an Executive Order or an Act of Congress to be kept secret in the interest of national defense, homeland security or foreign policy. This definition includes the following categories of information:

(1) Protected Critical Infrastructure Information (PCII) as set out in the Critical Infrastructure Information Act of 2002 (Title II, Subtitle B, of the Homeland Security Act, Public Law 107-296, 196 Stat. 2135), as amended, the implementing regulations thereto (Title 6, Code of Federal

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Regulations, Part 29) as amended, the applicable PCII Procedures Manual, as amended, and any supplementary guidance officially communicated by an authorized official of the Department of Homeland Security (including the PCII Program Manager or his/her designee);

(2) Sensitive Security Information (SSI), as defined in Title 49, Code of Federal Regulations, Part 1520, as amended, “Policies and Procedures of Safeguarding and Control of SSI,” as amended, and any supplementary guidance officially communicated by an authorized official of the Department of Homeland Security (including the Assistant Secretary for the Transportation Security Administration or his/her designee);

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

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

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

“Sensitive Personally Identifiable Information (SPII)” is a subset of PII, which if lost, compromised or disclosed without authorization, could result in substantial harm, embarrassment, inconvenience, or unfairness to an individual. Some forms of PII are sensitive as stand-alone elements. Examples of such PII include Social Security numbers (SSN), driver’s license or state identification number, Alien Registration Numbers (A-number), financial account number, and biometric identifiers such as fingerprint, voiceprint, or iris scan. Additional examples include any groupings of information that contain an individual’s name or other unique identifier plus one or more of the following elements:

(1) Truncated SSN (such as last 4 digits)

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

(3) Citizenship or immigration status

(4) Ethnic or religious affiliation

(5) Sexual orientation

(6) Criminal History

(7) Medical Information

(8) System authentication information such as mother’s maiden name, account passwords or personal identification numbers (PIN) Other PII may be “sensitive” depending on its context, such as a list of employees and their performance ratings or an unlisted home address or phone number. In contrast, a business card or public telephone directory of agency employees contains PII but is not sensitive.

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

(1) DHS Management Directive 11042.1 Safeguarding Sensitive but Unclassified (for Official Use Only) Information

(2) DHS Sensitive Systems Policy Directive 4300A

(3) DHS 4300A Sensitive Systems Handbook and Attachments

(4) DHS Security Authorization Process Guide

(5) DHS Handbook for Safeguarding Sensitive Personally Identifiable Information

(6) DHS Instruction Handbook 121-01-007 Department of Homeland Security Personnel Suitability and Security Program

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(7) DHS Information Security Performance Plan (current fiscal year)

(8) DHS Privacy Incident Handling Guidance

(9) Federal Information Processing Standard (FIPS) 140-2 Security Requirements for Cryptographic Modules accessible at http://csrc.nist.gov/groups/STM/cmvp/standards.html

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

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

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

(1) Department of Homeland Security (DHS) policies and procedures on Contractor personnel security requirements are set forth in various Management Directives (MDs), Directives, and Instructions. MD 11042.1, Safeguarding Sensitive but Unclassified (For Official Use Only) Information describes how Contractors must handle sensitive but unclassified information. DHS uses the term “FOR OFFICIAL USE ONLY” to identify sensitive but unclassified information that is not otherwise categorized by statute or regulation. Examples of sensitive information that are categorized by statute or regulation are PCII, SSI, etc. The DHS Sensitive Systems Policy Directive 4300A and the DHS 4300A Sensitive Systems Handbook provide the policies and procedures on security for Information Technology (IT) resources. The DHS Handbook for Safeguarding Sensitive Personally Identifiable Information provides guidelines to help safeguard SPII in both paper and electronic form. DHS Instruction Handbook 121-01-007 Department of Homeland Security Personnel Suitability and Security Program establishes procedures, program responsibilities, minimum standards, and reporting protocols for the DHS Personnel Suitability and Security Program.

(2) The Contractor must not use or redistribute any sensitive information processed, stored, and/or transmitted by the Contractor except as specified in the contract.

(3) All Contractor employees with access to sensitive information must execute DHS Form 11000-6, Department of Homeland Security Non-Disclosure Agreement (NDA), as a condition of access to such information. The Contractor must maintain signed copies of the NDA for all employees as a record of compliance. The Contractor must provide copies of the signed NDA to the Contracting Officer’s Representative (COR) no later than two (2) days after execution of the form.

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

(e) Authority to Operate. The Contractor must not input, store, process, output, and/or transmit sensitive information within a Contractor IT system without an Authority to Operate (ATO) signed by the Headquarters or Component CIO, or designee, in consultation with the Headquarters or Component Privacy Officer. Unless otherwise specified in the ATO letter, the ATO is valid for three (3) years. The Contractor must adhere to current Government policies, procedures, and guidance for the Security Authorization (SA) process as defined below.

(1) Complete the Security Authorization process. The SA process must proceed according to the DHS Sensitive Systems Policy Directive 4300A (Version 11.0, April 30, 2014), or any successor publication, DHS 4300A Sensitive Systems Handbook (Version 9.1, July 24, 2012), or any successor publication, and the Security Authorization Process Guide including templates.

(i) Security Authorization Process Documentation. SA documentation must be developed using the Government provided Requirements Traceability Matrix and Government security documentation templates. SA documentation consists of the following: Security Plan, PAGE 12/26

Contingency Plan, Contingency Plan Test Results, Configuration Management Plan, Security Assessment Plan, Security Assessment Report, and Authorization to Operate Letter. Additional documents that may be required include a Plan(s) of Action and Milestones and Interconnection Security Agreement(s). During the development of SA documentation, the Contractor must submit a signed SA package, validated by an independent third party, to the COR for acceptance by the Headquarters or Component CIO, or designee, at least thirty (30) days prior to the date of operation of the IT system. The Government is the final authority on the compliance of the SA package and may limit the number of resubmissions of a modified SA package. Once the ATO has been accepted by the Headquarters or Component CIO, or designee, the Contracting Officer must incorporate the ATO into the contract as a compliance document. The Government’s acceptance of the ATO does not alleviate the Contractor’s responsibility to ensure the IT system controls are implemented and operating effectively.

(ii) Independent Assessment. Contractors must have an independent third party validate the security and privacy controls in place for the system(s). The independent third party must review and analyze the SA package, and report on technical, operational, and management level deficiencies as outlined in NIST Special Publication 800-53 Security and Privacy Controls for Federal Information Systems and Organizations. The Contractor must address all deficiencies before submitting the SA package to the Government for acceptance.

(iii) Support the completion of the Privacy Threshold Analysis (PTA) as needed. As part of the SA process, the Contractor may be required to support the Government in the completion of the PTA. The requirement to complete a PTA is triggered by the creation, use, modification, upgrade, or disposition of a contractor IT system that will store, maintain, and use PII, and must be renewed at least every three (3) years. Upon review of the PTA, the DHS Privacy Office determines whether a Privacy Impact Assessment (PIA) and/or Privacy Act System of Records Notice (SORN), or modifications thereto, are required. The Contractor must provide all support necessary to assist the Department in completing the PIA in a timely manner and must ensure that project management plans and schedules include time for the completion of the PTA, PIA, and SORN (to the extent required) as milestones. Support in this context includes responding timely to requests for information from the Government about the use, access, storage, and maintenance of PII on the Contractor’s system, and providing timely review of relevant compliance documents for factual accuracy. Information on the DHS privacy compliance process, including PTAs, PIAs, and SORNs, is accessible at http://www.dhs.gov/privacy-compliance.

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

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

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

The Contractor must afford DHS, the Office of the Inspector General, and other Government organizations access to the Contractor’s facilities, installations, operations, documentation, databases, and personnel used in the performance of this contract. The Contractor must, PAGE 13/26 through the Contracting Officer and COR, contact the Headquarters or Component CIO, or designee, to coordinate and participate in review and inspection activity by Government organizations external to the DHS. Access must be provided, to the extent necessary as determined by the Government, for the Government to carry out a program of inspection, investigation, and audit to safeguard against threats and hazards to the integrity, availability and confidentiality of Government data or the function of computer systems used in performance of this contract and to preserve evidence of computer crime.

(4) Continuous Monitoring. All Contractor-operated systems that input, store, process, output, and/or transmit sensitive information must meet or exceed the continuous monitoring requirements identified in the Fiscal Year 2014 DHS Information Security Performance Plan, or successor publication. The plan is updated on an annual basis. The Contractor must also store monthly continuous monitoring data at its location for a period not less than one year from the date the data is created. The data must be encrypted in accordance with FIPS 140-2 Security Requirements for Cryptographic Modules and must not be stored on systems that are shared with other commercial or Government entities. The Government may elect to perform continuous monitoring and IT security scanning of Contractor systems from Government tools and infrastructure.

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

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

(6) Federal Reporting Requirements. Contractors operating information systems on behalf of the Government or operating systems containing sensitive information must comply with Federal reporting requirements. Annual and quarterly data collection will be coordinated by the Government. Contractors must provide the COR with requested information within three (3) business days of receipt of the request. Reporting requirements are determined by the Government and are defined in the Fiscal Year 2014 DHS Information Security Performance Plan, or successor publication. The Contractor must provide the Government with all information to fully satisfy Federal reporting requirements for Contractor systems.

(f) Sensitive Information Incident Reporting Requirements.

(1) All known or suspected sensitive information incidents must be reported to the Headquarters or Component Security Operations Center (SOC) within one hour of discovery in accordance with 4300A Sensitive Systems Handbook Incident Response and Reporting requirements.

When notifying the Headquarters or Component SOC, the Contractor must also notify the Contracting Officer, COR, Headquarters or Component Privacy Officer, and US-CERT using the contact information identified in the contract. If the incident is reported by phone or the Contracting Officer’s email address is not immediately available, the Contractor must contact the Contracting Officer immediately after reporting the incident to the Headquarters or Component SOC. The Contractor must not include any sensitive information in the subject or body of any e-mail. To transmit sensitive information, the Contractor must use FIPS 140-2 Security Requirements for Cryptographic Modules compliant encryption methods to protect sensitive information in attachments to email. Passwords must not be communicated in the same email as the attachment. A sensitive information incident must not, by itself, be interpreted as evidence that the Contractor has failed to provide adequate information security safeguards for sensitive information or has otherwise failed to meet the requirements of the contract.

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

(i) Unique Entity Identifier (UEI).

(ii) Contract numbers affected unless all contracts by the company are affected.

(iii) Facility CAGE code if the location of the event is different than the prime contractor location.

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

Management (address, position, telephone, email).

(v) Contracting Officer POC (address, telephone, email).

(vi) Contract clearance level.

(vii) Name of subcontractor and CAGE code if this was an incident on a subcontractor network.

(viii) Government programs, platforms, or systems involved.

(ix) Location(s) of incident.

(x) Date and time the incident was discovered.

(xi) Server names where sensitive information resided at the time of the incident, both at the Contractor and subcontractor level.

(xii) Description of the Government PII and/or SPII contained within the system.

(xiii) Number of people potentially affected, and the estimate or actual number of records exposed and/or contained within the system; and

(xiv) Any additional information relevant to the incident.

(g) Sensitive Information Incident Response Requirements.

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

(2) The Contractor must provide full access and cooperation for all activities determined by the Government to be required to ensure an effective incident response, including providing all requested images, log files, and event information to facilitate rapid resolution of sensitive information incidents.

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

(i) Inspections,

(ii) Investigations,

(iii) Forensic reviews, and

(iv) Data analyses and processing.

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

(h) Additional PII and/or SPII Notification Requirements.

(1) The Contractor must have in place procedures and the capability to notify any individual whose PII resided in the Contractor IT system at the time of the sensitive information incident not later than 5 business days after being directed to notify individuals, unless otherwise approved by the Contracting Officer. The method and content of any notification by the Contractor must be coordinated with, and subject to prior written approval by the Contracting Officer, in consultation with the Headquarters or Component Privacy Officer, utilizing the DHS Privacy Incident Handling Guidance. The Contractor must not proceed with notification unless

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

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

(i) A brief description of the incident.

(ii) A description of the types of PII and SPII involved.

(iii) A statement as to whether the PII or SPII was encrypted or protected by other means.

(iv) Steps individuals may take to protect themselves.

(v) What the Contractor and/or the Government are doing to investigate the incident, to mitigate the incident, and to protect against any future incidents and

(vi) Information identifying who individuals may contact for additional information.

(i) Credit Monitoring Requirements. In the event that a sensitive information incident involves PII or SPII, the Contractor may be required to, as directed by the Contracting Officer:

(1) Provide notification to affected individuals as described above; and/or

(2) Provide credit monitoring services to individuals whose data was under the control of the Contractor or resided in the Contractor IT system at the time of the sensitive information incident for a period beginning the date of the incident and extending not less than 18 months from the date the individual is notified. Credit monitoring services must be provided from a company with which the Contractor has no affiliation. At a minimum, credit monitoring services must include:

(i) Triple credit bureau monitoring.

(ii) Daily customer service.

(iii) Alerts provided to the individual for changes and fraud; and

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

(3) Establish a dedicated call center. Call center services must include:

(i) A dedicated telephone number to contact customer service within a fixed period.

(ii) Information necessary for registrants/enrollees to access credit reports and credit scores.

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

(iv) Escalation of calls that cannot be handled by call center staff to call center management or DHS, as appropriate.

(v) Customized FAQs, approved in writing by the Contracting Officer in coordination with the Headquarters or Component Chief Privacy Officer; and

(vi) Information for registrants to contact customer service representatives and fraud resolution representatives for credit monitoring assistance.

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(j) Certification of Sanitization of Government and Government-Activity-Related Files and Information. As part of contract closeout, the Contractor must submit the certification to the COR and the Contracting Officer following the template provided in NIST Special Publication 800-88 Guidelines for Media Sanitization.

INFORMATION TECHNOLOGY SECURITY AWARENESS TRAINING (JULY 2023)

(a) Applicability. This clause applies to the Contractor, its subcontractors, and Contractor employees (hereafter referred to collectively as “Contractor”). The Contractor must insert the substance of this clause in all subcontracts.

(b) Security Training Requirements.

(1) All users of Federal information systems are required by Title 5, Code of Federal Regulations, Part 930.301, Subpart C, as amended, to be exposed to security awareness materials annually or whenever system security changes occur, or when the user’s responsibilities change. The Department of Homeland Security (DHS) requires that Contractor employees take an annual Information Technology Security Awareness Training course before accessing sensitive information under the contract.