Combined Synopsis -Solicitation - 70RFP323QEH000011.pdf

The Department of Homeland Security (DHS), Federal Protective Service (FPS), Protective Investigations Division (PID) is soliciting quotes to procure Breaking Event Detection and Notification Subscription Services. The commercial service shall be secured through a streamlined solicitation as outlined under FAR

12.603. As such the following synopsis information as required under FAR 5.207 is being provided:

(1) Action Code: 70RFP323QEH000011

(2) Date: 08/14/2023

(3) Year: 2023

(4) Contracting Office Zip Code: 19106

(5) NAICS Code: 513210

(6) Contracting Office Address: 701 Market Street, Philadelphia, PA

(7) Subject: Breaking Event Detection Subscription Service

(8) Proposed Solicitation Number: 70RFP323QEH000011

(9) Closing Response Date: 08/28/2023

(10) Contact Point or Contract Specialist: Nicholas Milillo

(11) Description: Solicitation 70RFP323QEH000011 shall procure subscription services for breaking event detection and notification. DHS/FPS intends to award a Firm Fixed Price, Commercial Type Purchase Order in response to Request for Quote (RFQ) 70RFP323QEH000011. This requirement is being solicited as a full and open competition.

(12) Place of Delivery: Upon award, the COR will provide the Contractor with the name and email address of authorized account holders to gain subscription access.

(13) Set- Aside Statues: n/a

This is a combined synopsis/solicitation for commercial items prepared in accordance with the format in Subpart 12.6, as supplemented with additional information included in this notice. This announcement constitutes the only solicitation: quotes are being requested and a written solicitation is hereby included.

A complete description of the requirements briefly described herein, to include Statement of Work, terms and conditions and attachments are included in the formal Request for Quote (RFQ) 70RFP323QEH000011 attached to this synopsis/solicitation announcement.

The Government will conduct a best value procurement in accordance with FAR 13.106-2 to the lowest quote, responsible quoter.

Schedule of Item(s) – Responsible quoters shall provide a Firm Fixed Price (FFP) for the item described in the SOW:

Contract Line Item Number (CLIN) 0001 (Quantity – 10):

- Breaking Event Detection Software - Annual Subscription Fee

- Quoters shall include itemized pricing for the individual subscription cost.

- Quoters shall include specifications to meet the SOW requirements within their quotes.

Questions concerning the RFQ must be submitted via e-mail to the Contract Specialist, Nicholas Milillo at nicholas.milillo@fps.dhs.gov, no later than COB, Eastern Time, August 16, 2023.

Telephonic questions will not be accepted.

mailto:nicholas.milillo@fps.dhs.gov

Quotations are due no later than COB, Eastern Time on August 28, 2023, and shall be submitted electronically to the Contract Specialist, Nicholas Milillo, via email at nicholas.milillo@fps.dhs.gov. Facsimile proposals are not permitted and will be disregarded if received.

mailto:nicholas.milillo@fps.dhs.gov

Department of Homeland Security

Federal Protective Service (FPS)

Statement of Work (SOW)

Proactive Breaking Event Detection and Notification

1.0 GENERAL

1.1. Background

The Department of Homeland Security’s (DHS) Federal Protective Service (FPS) has a need to secure the services of a vendor for Breaking Event Detection and notification capability through publicly available information (PAI). Specifically, FPS personnel have a need to develop real time strategies resulting from event-based alerts (“Alerts”) sourced from publicly available data, information and materials, including public tweets and other public content made available through Twitter, Inc. and other social media and public message boards (collectively, the “Third Party Materials”) that can be made available to users via multiple mechanisms including email and dashboard-style interfaces.

1.2 Organization

1.2.1 U.S. Department of Homeland Security (DHS), Federal Protective Service (FPS).

1.3 Scope

1.3.1 The objective of this effort is to procure a solution to provide notification in real-time of events in all public tweets and other publicly available data which contain potentially threatening rhetoric towards FPS protected interests, both known and unknown, that could generate risk for US Government facility Infrastructure and US Government personnel.

1.3.2 The desired solution is to be a service, not a system, which addresses considerations such as the completion of a Privacy Threshold Assessment; and, if needed, a Privacy Impact Analysis.

Furthermore, the solution shall not target specific individuals or populations, as is generally performed in marketing-type analysis. Lastly, the service provider must be able to lawfully collect the information provided as part of the service; and document such collection and data access agreements.

1.3.3 The Contracted vendor shall provide a commercially available subscription to user accounts that leverages a wide variety of PAI sources to provide global real-time news alerts of emerging and/or breaking events. The Vendor shall deliver these alerts to users based on user-defined or predefined topics and geographical areas of interest via user-defined delivery methods, including email, web-based application and mobile platforms.

2.0 Requirements/Specific Tasks

FPS has a requirement for a subscription to a service that will provide real-time detection of event-based, breaking news alerts (“Alerts”) to enable real-time data on known and unknown global emerging events to which FPS may need to respond. Alerts are sourced from publicly available data, information and materials, including public tweets and other public content made available through Twitter, Inc. and other social media and public message boards (collectively, the “Third Party Materials”), and made available to users via multiple mechanisms including email and dashboard-style interfaces.

2.1 The Contractor shall provide User access via a subscription to effectively detect and display known and unknown global events via a real time dashboard in order to collect data on open sources potentially targeting FPS protected facilities.

2.2 The Contractor’s service must have the ability to scan open-source postings; looking for words, phrases, encrypted data, and other trends to provide the end users with an overall picture of current commentary and other rhetoric available online.

2.3 The Contractor’s service shall be able to screen a multitude of internet and dark web based open sources using themes and analytics in addition to solely key words to search for items based on a customizable search which can be geofenced based on user needs. The screening shall include social media sources such as Twitter and Instagram, chat boards such as 4Chan and 8Chan, and public commentary on media websites such as CNN and Fox News and shall be focused on the language used; not the individual posting the language.

2.4 The service shall allow for the detection, distillation, and correlation of information on specific events across multiple publicly available information platforms in real time, ensuring FPS personnel will be able to maintain a proactive situational awareness posture and a comprehensive view of events which may be used as the predicate basis for a preliminary investigation.

2.5 The desired solution shall allow users to open multiple windows within the application, and easily “drag & drop” data into other windows to expand analysis.

2.6 The Contractor’s service shall provide the ability to efficiently and effectively access, analyze, and contextualize information from non-textual data sources (e.g., image, video, sound, and machine sensor data).

2.7 The Contractor’s user web-based dashboard interfaces and email or text notifications must be fully compatible with the FPS enterprise environment.

2.8 The Contractor shall be an Official Twitter Data Partner. As described by Twitter on its partner’s page. That is, the vendor must be a certified Official Twitter Data Partner providing a solution specifically designed for the Public Sector.

2.9 The Contractor shall provide user support, training, and enablement services to ensure successful deployment and adoption of the service’s full range of capabilities, at no additional cost.

2.10 The Contractor must be able to lawfully collect the information provided as part of the service; and document such collection and data access agreements. The service to be provided must have the ability to scan open-source postings, looking for words, phrases, and other trends without targeting specific individuals and/or groups of people.

2.11 The Contractor service shall be able to triage source data for importance and/or urgency using AI, machine learning or similar capabilities that do not rely on knowledge or provision of key words by the User to recognize patterns or anomalies to enhance the accuracy of alerts.

2.12 The Contractor services shall provide FPS users and administrators with the ability to directly customize news alerts and views based on specific geographic areas and event types; and alter the display of information and alerts without significant vendor involvement.

2.13 The Contractor must maintain compliance with data providers’ terms of service. In addition, the service must include product modifications, safeguards and restrictions that prevent any use for surveillance purposes.

2.14 The Contractor must be able to provide a minimum of ten (10) individual user accounts initially. The Contractor should have the capacity to scale up to serve a larger volume of users. FPS currently has approximately 1400 potential users.

3.0 GOVERNMENT ACCEPTANCE PERIOD

The Contracting Officer’s Representative (COR) will review deliverables prior to acceptance; and provide the Contractor with an email that provides any documented reasons for non-acceptance. If the deliverable is acceptable, the COR will send an email to the Contractor notifying that the deliverable has been accepted. The COR will have the right to reject or require correction of any deficiencies found in the deliverables that are contrary to the information contained in the Contractor’s accepted proposal. In the event of a rejected deliverable, the Contractor will be notified in writing by the Contracting Officer (CO) of the specific reasons for rejection. The Contractor shall have an opportunity to correct the rejected deliverable and return it per delivery instructions.

4.0 CONTRACTOR LIABILITY

In the event the Contractor damages any software or equipment under this effort due to negligence of any type, the Contractor will be responsible for the replacement cost.

5.0 PERIOD OF PERFORMANCE

The Period of Performance is from September 28, 2023 through September 27, 2024.

6.0 INVOICING

6.1 The Contractor shall submit invoices within thirty (30) business days after award with the following information:

6.1.1 Name of Contractor

6.1.2 Contract Number

6.1.3 Date of Order and Period of Performance

6.1.4 Quantity, Unit Price, and Extension of each item

6.2 The Contractor shall submit invoices to the Contracting Officer (CO) and Contracting Officer’s

Representative (COR) no later than the 15th of each month, beginning the month following the award.

6.3 Once approved, each invoice shall be sent to the following email inbox:

FPSInvoice.Consolidation@ice.dhs.gov. The invoice shall cover all services provided for the period specified on the invoice. All questions concerning payment of an invoice must be directed to the COR.

7.0 DELIVERY

7.1 Upon contract award, the COR will provide the Contractor with the name and email address of authorized account holders. Information regarding these accounts may be sent directly to the user with a copy electronically delivered to the COR:

Susan.L.Hudson@FPS.DHS.Gov

8.0 REPRESENTATION

The Contracting Officer’s Representative (COR) is:

Susan L. Hudson 202-732-0329 Susan.L.Hudson@FPS.DHS.Gov

The Alternate Contracting Officer’s Representative (ACOR) is:

Jeff Levine 202-732-8056 Jeff.levine@fps.dhs.gov

9. ACCESSIBILITY REQUIREMENTS (SECTION 508)

9.1 Section 508 Requirements (include in the SOW, PWS, or SOO) mailto:FPSInvoice.Consolidation@ice.dhs.gov mailto:Susan.L.Hudson@FPS.DHS.Gov mailto:Susan.L.Hudson@FPS.DHS.Gov mailto:Jeff.levine@fps.dhs.gov

Section 508 of the Rehabilitation Act (classified to 29 U.S.C. § 794d) requires that when Federal agencies develop, procure, maintain, or use information and communications technology (ICT), it shall be accessible to people with disabilities. Federal employees and members of the public with disabilities must be afforded access to and use of information and data comparable to that of Federal employees and members of the public without disabilities.

All products, platforms and services delivered as part of this work statement that, by definition, are deemed ICT shall conform to the revised regulatory implementation of Section 508 Standards, which are located at 36 C.F.R. § 1194.1 & Appendixes A, C & D, and available at https://www.ecfr.gov/cgi-bin/text-idx?SID=e1c6735e25593339a9db63534259d8ec&mc=true&node=pt36.3.1194&rgn=div5. In the revised regulation, ICT replaced the term electronic and information technology (EIT) used in the original 508 standards. ICT includes IT and other equipment.

Exceptions for this work statement have been determined by DHS and only the exceptions described herein may be applied. Any request for additional exceptions shall be sent to the Contracting Officer and a determination will be made according to DHS Directive 139-05, Office of Accessible Systems and Technology, dated November 12, 2018, and DHS Instruction 139-05-001, Managing the Accessible Systems and Technology Program, dated November 20, 2018, or any successor publication.

9.1.1 Section 508 Requirements for Technology Products (include in the SOW, PWS, or SOO)

Section 508 applicability to Information and Communications Technology (ICT):

Proactive Breaking Event Detection and Notification Software Licenses

Applicable Exception: N/A Authorization #: N/A

Applicable Functional Performance Criteria: All functional performance criteria in Chapter 3 apply to when using an alternative design or technology that results substantially equivalent or greater accessibility and usability by individuals with disabilities than would be provided by conformance to one or more of the requirements in Chapters 4 and 5 of the Revised 508 Standards, or when Chapters 4 or 5 do not address one or more functions of ICT.

Applicable 508 requirements for electronic content features and components (including but not limited to electronic documents; Electronic emergency notifications):

All requirements in E205 apply, including all WCAG 2.0 Level A and AA Success Criteria apply as specified in E205

Applicable 508 requirements for software features and components (including but not limited to electronic content and software authoring tools and platforms; Software infrastructure)

Applicable 508 requirements for hardware features and components: Does not apply

Applicable 508 requirements for support services and documentation: All requirements in Chapter 6 apply https://uscode.house.gov/view.xhtml?req=(title:29%20section:794d%20edition:prelim)%20OR%20(granuleid:USC-prelim-title29-section794d)&f=treesort&edition=prelim&num=0&jumpTo=true https://www.ecfr.gov/cgi-bin/text-idx?SID=e1c6735e25593339a9db63534259d8ec&mc=true&node=pt36.3.1194&rgn=div5 https://www.ecfr.gov/cgi-bin/text-idx?SID=e1c6735e25593339a9db63534259d8ec&mc=true&node=pt36.3.1194&rgn=div5

9.1.2 Section 508 Requirements for Technology Services (include in the SOW, PWS, or SOO)

1. When providing Platform as a Service (PaaS) or Software as a Service (SaaS), the contractor shall ensure services conform to the applicable Section 508 standards (including the requirements in Chapter 5 for software and WCAG Level A and AA Level 2.0 success criteria for web and software. When the requirements in Chapter 5 do not address one or more software functions, the Contractor shall ensure conformance to the Functional Performance Criteria specified in Chapter 3.) The agency reserves the right to request an Accessibility Conformance Report (ACR) for PaaS and SaaS offerings. The ACR should be created using the Voluntary Product Accessibility Template Version 2.2 508 (or later). The template can be located at https://www.itic.org/policy/accessibility/vpat

2. When providing cloud hosting services (Infrastructure as a Service, Platform as a Service, Software as a Service, etc.) the Contractor shall ensure user administrative screens, dashboards and portals used to configure, and monitor cloud services conform to the Section 508 standards.

3. The Contractor shall ensure cloud hosting services shall not reduce the level of Section 508 conformance for ICT migrated by DHS to the cloud hosting environment.

4. Contractor personnel shall possess the knowledge, skills and abilities necessary to address the accessibility requirements in this work statement.

9.1.3 Section 508 Deliverables (include in the SOW, PWS, or SOO)

1. Section 508 Accessibility Conformance Reports: For each ICT item offered through this contract (including commercially available products, and solutions consisting of ICT that are developed or modified pursuant to this contract), the Offeror shall provide an Accessibility Conformance Report (ACR) to document conformance claims against the applicable Section 508 standards. The ACR shall be based on the Voluntary Product Accessibility Template Version 2.0 508 (or successor versions). The template can be found at https://www.itic.org/policy/accessibility/vpat. Each ACR shall be completed by following all of the instructions provided in the template, including an explanation of the validation method used as a basis for the conformance claims in the report.

9.4 Information Technology Security and Privacy Training (Mar 2015)

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

(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. Unless otherwise specified, the training shall be completed within thirty (30) days of contract award and be completed on an https://www.itic.org/policy/accessibility/vpat https://www.itic.org/policy/accessibility/vpat annual basis thereafter not later than October 31st of each year. Any new Contractor employees assigned to the contract shall complete the training before accessing sensitive information under the contract. The training is accessible at http://www.dhs.gov/dhs-security-and-training requirements-contractors. The Contractor shall maintain copies of training certificates for all Contractor and subcontractor employees as a record of compliance. Unless otherwise specified, initial training certificates for each Contractor and subcontractor employee shall be provided to the Contracting Officer’s Representative (COR) not later than thirty (30) days after contract award. Subsequent training certificates to satisfy the annual training requirement shall be submitted to the COR via e-mail notification not later than October 31st of each year.

The e-mail notification shall state the required training has been completed for all Contractor and subcontractor employees.

(1) The DHS Rules of Behavior apply to every DHS employee, Contractor and subcontractor that will have access to DHS systems and sensitive information. The DHS Rules of Behavior shall be signed before accessing DHS systems and sensitive information. The DHS Rules of Behavior is a document that informs users of their responsibilities when accessing DHS systems and holds users accountable for actions taken while accessing DHS systems and using DHS Information Technology resources capable of inputting, storing, processing, outputting, and/or transmitting sensitive information. The DHS Rules of Behavior is accessible at http://www.dhs.gov/dhs-security-and-training-requirements-contractors. Unless otherwise specified, the DHS Rules of Behavior shall be signed within thirty (30) days of contract award. Any new Contractor employees assigned to the contract shall also sign the DHS Rules of Behavior before accessing DHS systems and sensitive information. The Contractor shall maintain signed copies of the DHS Rules of Behavior for all Contractor and subcontractor employees as a record of compliance. Unless otherwise specified, the Contractor shall e-mail copies of the signed DHS Rules of Behavior to the COR not later than thirty (30) days after contract award for each employee. The DHS Rules of Behavior will be reviewed annually, and the COR will provide notification when a review is required.

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

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

9.5 Safeguarding of Sensitive Information (Mar 2015)

http://www.dhs.gov/dhs-security-and-training%20requirements-contractors http://www.dhs.gov/dhs-security-and-training-requirements-contractors

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

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

(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 Directive 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

(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.

DHS Sensitive Systems Policy Directive 4300A (Version 13.3, February 13, 2023) 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 http://csrc.nist.gov/publications/PubsSPs.html

Suitability and Security Program establishes procedures, program responsibilities, minimum standards, and reporting protocols for the DHS Personnel Suitability and Security Program.

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

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

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

(e) Authority to Operate. The Contractor shall not input, store, process, output, and/or transmit sensitive information within a Contractor IT system without an Authority to Operate (ATO) signed by the Headquarters or Component 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 shall 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 shall proceed according to the DHS Sensitive Systems Policy Directive 4300A (Version 13.3, February 13, 2023), or any successor publication, and the Security Authorization Process Guide including templates.

(i) Security Authorization Process Documentation. SA documentation shall be developed using the Government provided Requirements Traceability Matrix and Government security documentation templates. SA documentation consists of the following: Security Plan, Contingency Plan, Contingency Plan Test Results, Configuration Management Plan, Security Assessment Plan, Security Assessment Report, and Authorization to Operate Letter. Additional documents that may be required include a Plan(s) of Action and Milestones and Interconnection Security Agreement(s). During the development of SA documentation, the Contractor shall submit a signed SA package, validated by an independent third party, to the COR for acceptance by the Headquarters or Component CIO, or designee, at least thirty

(30) days prior to the date of operation of the IT system. The Government is the final authority on the compliance of the SA package and may limit the number of resubmissions of a modified SA package.

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

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

(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 shall provide all support necessary to assist the Department in completing the PIA in a timely manner and shall ensure that project management plans and schedules include time for the completion of the PTA, PIA, and SORN (to the extent required) as milestones. Support in this context includes responding timely to requests for information from the Government about 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 shall be renewed every three (3) years. The Contractor is required to update its SA package as part of the ATO renewal process. The Contractor shall update its SA package by one of the following methods: (1) Updating the SA documentation in the DHS automated information assurance tool for acceptance by the Headquarters or Component CIO, or designee, at least 90 days before the ATO expiration date for review and verification of security controls; or (2) Submitting an updated SA package directly to the COR for approval by the Headquarters or Component CIO, or designee, at least 90 days before the ATO expiration date for review and verification of security controls. The 90-day review process is independent of the system production date and therefore it is important that the Contractor build the review into project schedules. The reviews may include onsite visits that involve physical or logical inspection of the Contractor environment to ensure controls are in place.

(3) Security Review. The Government may elect to conduct random periodic reviews to ensure that the security requirements contained in this contract are being implemented and enforced. The Contractor shall afford DHS, the Office of the Inspector General, and other Government organizations access to the Contractor’s facilities, installations, operations, documentation, databases and personnel used in the performance of this contract. The Contractor shall, through the Contracting Officer and COR, contact the Headquarters or Component CIO, or designee, to coordinate and participate in review and inspection activity by Government organizations external to the DHS. Access shall be provided, to the extent necessary as determined by the Government, for the Government to carry out a program of inspection, investigation, and audit to safeguard against threats and hazards to the integrity, availability and confidentiality of Government data or the function of computer systems used in performance of this contract and to preserve evidence of computer crime.

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

(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 shall comply with Federal reporting requirements. Annual and quarterly data collection will be coordinated by the Government. Contractors shall provide the COR with requested information within three (3) business days of receipt of the request.

Reporting requirements are determined by the Government and are defined in the Fiscal Year 2014 DHS Information Security Performance Plan, or successor publication. The Contractor shall provide the Government with all information to fully satisfy Federal reporting requirements for Contractor systems.

(f) Sensitive Information Incident Reporting Requirements.

(1) All known or suspected sensitive information incidents shall be reported to the Headquarters or Component Security Operations Center (SOC) within one hour of discovery in accordance with DHS Sensitive Systems Policy Directive 4300A (Version 13.3, February 13, 2023) Incident Response and Reporting requirements. When notifying the Headquarters or Component SOC, the Contractor shall also notify the Contracting Officer, COR, Headquarters or Component Privacy Officer, and US-CERT using the contact information identified in the contract. If the incident is reported by phone or the Contracting Officer’s email address is not immediately available, the Contractor shall contact the Contracting Officer immediately after reporting the incident to the Headquarters or Component SOC. The Contractor shall not include any sensitive information in the subject or body of any e-mail. To transmit sensitive information, the Contractor shall use FIPS 140-2 Security Requirements for Cryptographic Modules compliant encryption methods to protect sensitive information in attachments to email. Passwords shall not be communicated in the same email as the attachment. A sensitive information incident shall not, by itself, be interpreted as evidence that the Contractor has failed to provide adequate information security safeguards for sensitive information or has otherwise failed to meet the requirements of the contract.

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

(i) Data Universal Numbering System (DUNS).

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

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

(2) Subject to Government analysis of the incident and the terms of its instructions to the Contractor regarding any resulting notification, the notification method may consist of letters to affected individuals sent by first class mail, electronic means, or general public notice, as approved by the Government.

Notification may require the Contractor’s use of address verification and/or address location services. At a minimum, the notification shall include:

(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) Step’s 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 shall be provided from a company with which the Contractor has no affiliation.

At a minimum, credit monitoring services shall 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 shall 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.

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

9.5 Information Technology Security and Privacy Training (Mar 2015)

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

(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. Unless otherwise specified, the training shall be completed within thirty (30) days of contract award and be completed on an annual basis thereafter not later than October 31st of each year. Any new Contractor employees assigned to the contract shall complete the training before accessing sensitive information under the contract. The training is accessible at http://www.dhs.gov/dhs-security-and-training requirements-contractors. The Contractor shall maintain copies of training certificates for all Contractor and subcontractor employees as a record of compliance. Unless otherwise specified, initial training certificates for each Contractor and subcontractor employee shall be provided to the Contracting Officer’s Representative (COR) not later than thirty (30) days after contract award.