Attch_5_-_Security_Requirements.pdf

DJJA-15-RFP-0889

Attachment 5 – Security Requirements Microsoft Services Premier Support

1. SECURITY REQUIREMENTS - CLASSIFIED

(a) The work to be performed under this contract may involve access to classified information [National Security Information (NSI)] as well as access to unclassified information. All references to “contract(or) personnel” and “contract employee” in this clause include all individuals that will perform under this contract, including individuals employed by the Contractor, team member, subcontractor, consultant, and/or independent contractor.

(b) The Contractor shall comply with the National Industrial Security Program Operating Manual (NISPOM) for all work performed under this contract that involves access to classified information.

(c) Duplication or disclosure of the data and other information (classified and unclassified) to which the Contractor may have access as a result of this contract is prohibited by Public Law and is subject to criminal penalties.

1.1 Contractor Personnel

(a) The type of security investigation required will be governed by the type of information made available to Contractor personnel. Contractor personnel that require access to classified information will be processed through the National Industrial Security Program (NISP). Contractor personnel that require access to unclassified information will be subject to a Public Trust Investigation (PTI). Except where specifically noted otherwise (e.g., 1.1.2.4(a)), the Government will be responsible for conducting the investigation and the cost of the investigation. All investigations will be conducted in accordance with applicable Executive Orders, DOJ Orders, Office of Personnel Management (OPM) guidance, Homeland Security Presidential Directive 12 (HSPD-12), and Federal Information Processing Standard Publication 201 (FIPS 201).

(b) PTI certifications will be accepted from other Federal agencies provided the investigation performed by the other agency meets or exceeds DOJ requirements.

(c) The Contractor will not be permitted to commence performance under this contract until a sufficient number of its personnel, as determined by the COR and Security Programs Manager (SPM), have received the requisite NSI Clearance or PTI security approval.

(d) During the life of the contract, the Contractor shall ensure that no contract employee commences performance hereunder prior to receipt of a written authorization from the Contracting Officer, the COR, or the SPM.

(e) During the life of this contract, other Departmental Components may utilize this contract to meet the requirements of Premier Support. The Contractor shall meet the security requirements as outlined herewith and of the Component as detailed in the individual statement of work for the task order. Such security requirements may include a condition for individuals to obtain and maintain a secret or top secret clearance.

1.1.1 Access to Classified Information

(a) The Contractor shall possess or be capable of obtaining a Defense Industrial Security Clearance Office (DISCO) Defense Industrial Security Clearance Facility Code and a Top Secret Facility Clearance to fully perform this contract. As directed by the COR and SPM, the Contractor shall submit the information necessary to allow the Government to prepare and obtain for the Contractor a "Department of Defense Contract Security Classification Specification" (DD Form 254) for this contract.

Where such clearance is required, the Contractor agrees to provide information and access to Contractor facilities as may be required by Government investigators.

(b) Immediately after contract award (or receipt of the required Facility Clearance), the Contractor’s Facility Security Officer (FSO) shall furnish to the COR a list of all personnel proposed to work under this contract who have been processed through the NISP by the Defense Security Service (DSS). The Contractor shall update this information as individuals are added or deleted from the contract and the FSO shall provide the updated list to the COR.

(c) For each contract employee that requires access to classified information under this contract, the Contractor shall forward a Visit Authorization Request (VAR) or a copy of the Joint Personnel Adjudication System (JPAS) Personnel Summary printout indicating the current background investigation information and clearance level.

1.1.2 Access to Unclassified Information

Note: Contractor personnel that have a currently active, approved NSI clearance will not be processed for a Public Trust Investigation (PTI) if the current investigation meets the investigative requirements for the risk level of the position to be occupied under this DOJ contract.

(a) Contractor personnel only requiring access to unclassified information will fall under the following categories:

(1) High Risk. High risk positions are those positions that have the potential for exceptionally serious impact on the integrity and efficiency of the DOJ and involve duties especially critical to the DOJ or a program mission with broad scope of policy or program authority.

(2) Moderate Risk. Moderate risk positions are those positions that have the potential for moderate to serious impact on the integrity and efficiency of the DOJ.

Duties involved are very important to the DOJ or program mission with significant program responsibility or delivery of services.

(3) Low Risk. Low Risk positions are those positions that have limited potential for adversely affecting the national security operations of the Department.

1.1.2.1 Pre-Appointment Background Investigations and Waivers

(a) Background investigations must be conducted and favorably adjudicated for each contract employee prior to commencing work on this contract. However, where programmatic needs do not permit the Government to wait for completion of the entire background investigation, a pre-appointment background investigation waiver can be granted by the SPM, in consultation with the cognizant COR. The extent of the background investigation will vary depending upon the Risk Category associated with each position and whether each position is long- or short-term. Short-term is defined as contract employees having access to Federally-controlled information systems and/or unescorted access to Federally-controlled facilities or space for six months or fewer. The requisite background investigation does not need to be initiated for short-term positions as part of the pre-employment waiver except in the case of non-U.S. citizen contract employees. However, long-term contract employees requiring unescorted access to Federally-controlled facilities and/or access to any Federally-controlled information system shall be subject to the requisite background investigations described below. A waiver will be disapproved if it develops derogatory information that cannot be resolved in the contract employee’s favor. When a waiver has been disapproved, the COR, in consultation with the SPM, will determine (1) whether the contract employee will no longer be considered for work on a DOJ contract or (2) whether to wait for the completion and favorable adjudication of the background investigation before the contract employee commences work on a Department contract. The minimum pre-appointment investigative requirements are as follows:

(1) High Risk Positions. The minimum background investigation required is a five year scope Background Investigation (BI), and the five year reinvestigation required is an Access National Agency Check with Inquiries (ANACI). The Standard Form (SF) 85P, Questionnaire for Public Trust Positions, is required.

(2) Moderate Risk Positions. The minimum background investigation required is a

Minimum Background Investigation (MBI) for “moderate” impact on the integrity and efficiency of the DOJ or a Limited Background Investigation (LBI) for “serious” impact potential on the DOJ’s integrity and efficiency. The five year reinvestigation required is a National Agency Check with Law and Credit (NACLC). The SF-85P is required.

(3) Low Risk/Non-Sensitive Positions. The minimum background investigation required for Low Risk/Non-Sensitive positions is a National Agency Check with Written Inquiries (NACI) and the required five year reinvestigation is also a NACI. The SF-85, Questionnaire for Non-Sensitive Positions, is required.

(b) The pre-appointment background investigation waiver requirements include:

(1) Favorable review of the security questionnaire form;

(2) Favorable FBI fingerprint results;

(3) Verification of citizenship (copy of a birth certificate, Naturalization Certificate, or U.S. Passport);

(4) Verification of compliance with the DOJ residency requirement;

(5) Favorable credit report for contract personnel in High Risk and Moderate Risk positions; and

(6) Verification of the initiation of the appropriate background investigation for long-term Contractor personnel.

1.1.2.2 Required Security Forms

(a) The following forms must be completed and submitted by the Contractor’s Corporate Security Officer for each contract employee PTI:

(1) FD-258 Applicant Fingerprint Card. Two sets are required per applicant. The Contractor may schedule appointments with the SPM to be digitally fingerprinted; otherwise, fingerprinting by the FBI is required. All pertinent information must be completed by the individual taking the prints, or by the FBI if prints are taken there.

(2) SF-85 Questionnaire for Non-Sensitive Positions -or- SF-85P Questionnaire for Public

Trust Positions. The contract employee shall complete the SF-85/SF-85P via the Electronic Security Questionnaires for Investigations Processing (e-QIP) System after first obtaining access to e-QIP from the SPM (see paragraph (c) below). The Contractor shall also submit a hard copy of the form (as completed and signed by the contract employee) with the remainder of the security package.

(3) DOJ-555 Fair Credit Reporting Act Disclosure. Authorizes DOJ to obtain one or more consumer/credit reports on the individual. This is required for Contractor personnel in High Risk and Moderate Risk positions.

(4) Foreign National Relatives and Associates Statement. This is only required if any relatives listed on the SF-85/SF-85P are foreign nationals.

(5) Confidentiality Agreement for Contractor and Subcontractor Employee. See Section 3.0.

(b) The Contractor shall also submit a credit report for each individual designated at the High Risk or Moderate Risk level, and have resolved satisfactorily any individual credit issues.

(c) Using e-QIP. Immediately after contract award, the Contractor shall designate an employee as its “e-QIP Initiator” and provide the name of this person to the COR. The e-QIP Initiator must have, at a minimum, a favorably adjudicated MBI and the appropriate DOJ security approval before being given access to e-QIP. After the e-QIP Initiator’s security approval is granted, the Contractor will be configured in e-QIP as a sub-agency to DOJ. The Contractor will then be responsible for initiating all contract personnel in e-QIP for completion of the security questionnaire form and forwarding the electronic form along with a hard copy of the form (as completed and signed by the contract employee) with the remainder of the security package to the designated DOJ representative. Subject to the prior approval of the SPM, the Contractor may designate an e-QIP Initiator for each subcontractor. Subcontractor e-QIP Initiators must have, at a minimum, a favorably adjudicated MBI and the appropriate DOJ security approval before being given access to e-QIP.

1.1.2.3 Citizenship and Residency Requirements

(a) Residency Requirement. Contract employees, both United States (U.S.) citizens and non-U.S. citizens, must meet the Department’s Residency Requirement, i.e., he/she must have lived in the U.S. three of the last five years immediately prior to employment under the Department contract;

and/or worked for the U.S. overseas in a Federal or military capacity; and/or be a dependent of a Federal or military employee serving overseas. At the Department’s sole discretion, the residency requirement may be waived by the Department Security Officer (DSO) on a case-by-case basis where justified by extenuating circumstances.

(b) Citizenship. The DOJ gives strong priority to contract employees that are U.S. citizens and nationals. Any prospective contract employee that is a foreign national must be from a country allied with the U.S. (See http://www.opm.gov/employ/html/Citizen.htm). At the Department’s sole discretion, a waiver of the allied nations list requirement may be granted by the DSO on a case-by-case basis where justified by extenuating circumstances. The Contractor is responsible for verifying that all non-U.S.

citizens working under this contract have been lawfully admitted to the U.S. Contract employees requiring access to DOJ Information Technology (IT) resources are subject to the following additional restriction:

Non-U.S. citizens are not authorized access to or permitted to assist in the development, operation, management or maintenance of DOJ IT systems unless a waiver has been granted by the Head of the DOJ component, with the concurrence of the DSO and the DOJ Chief Information Officer (CIO). Such a waiver will be granted only in exceptional and unique circumstances. It should be noted that the Justice Consolidated Office Network (JCON) is a sensitive “DOJ IT system” and any contract employee that will need access to JCON must be a U.S. citizen or have received a waiver.

(c) Dual Citizenship. U.S. citizens who hold dual citizenship with a foreign country may be considered for contract employment. However, how the contract employee obtained or exercises his or her dual citizenship status will be a consideration in the adjudication process.

1.1.2.4 Procedures for Pre-Screening Applicants and Investigation

(a) The Contractor shall perform the following pre-screening and investigation duties for all persons proposed for work under this contract:

(1) Furnish to each proposed contract employee the forms described in Section

1.1.2.2 above and ensure that adequate instructions for completing the forms are provided to each applicant.

(2) Ensure that applicants obtain two (2) complete sets of their fingerprints on the prescribed Form FD-258 from an organization qualified to take fingerprints.

(3) Collect completed forms from each applicant and review all forms for completeness and correctness. This includes, for example, satisfactory resolution of address issues or discrepancies. Return any incomplete or incorrect form(s) to applicant(s) to be corrected and re-submitted.

(4) Submit completed forms to the COR by no later than (14) calendar days after receipt of the blank forms and access to e-QIP has been initiated.

(5) As directed by the COR, initiate pre-appointment waivers for certain positions.

This may entail performing credit history checks and submission of these checks as part of the security package, including satisfactory resolution of any issues prior to submission to the Government.

(6) As directed by the COR, review all forms prior to their being submitted to DOJ to ensure that candidates meet DOJ requirements, including residency and citizenship requirements.

(b) The Department will be responsible for the following:

(1) Determine the appropriate risk level for each contract employee position.

(2) Provide the Contractor an adequate supply of forms and instructions for completing the forms within five business days after contract award. Ensure that the Contractor is provided access to the e-QIP system as described in 1.1.2.2(c).

(3) Ensure that completed security forms are forwarded to the appropriate investigating agency in accordance with appropriate internal procedures. The investigating agency will conduct the requisite investigations.

(4) Determine whether pre-appointment background investigation waivers will be needed, and if so, which positions will require such waivers. The COR will notify the Contractor which pre-appointment waivers to initiate.

(5) Notify the Contractor of the results of background investigations as they are completed and adjudicated. The COR will notify the Contractor of any applicants who are found ineligible for employment security approval so that the Contractor can immediately recruit and initiate paperwork to clear replacement applicants.

(6) Notify the Contracting Officer when a sufficient number of contract employees have received employment security approvals or pre-appointment waivers approvals.

Upon receipt of this information and any other information which may be required elsewhere in the contract, the Contracting Officer will issue the Contractor a Notice to Proceed which permits the commencement of work under the contract.

(7) Maintain an up-to-date file of Certificates of Investigation (COI) and other background investigation-related documentation for all contract employees throughout the life of the contract.

(c) The investigating agency will furnish the relevant SPM the results of each proposed contract employee’s investigation through issuance of a Certificate of Investigation (COI). Upon receipt of the COI and any other pertinent documents from the investigating agency, the SPM will determine whether or not each proposed contract employee should be granted employment security approval. This decision process is called “adjudication.” The SPM will notify, if required, the investigating agency of the adjudicative determination of each investigation. If OPM is the investigating agency, this will be accomplished by the SPM completing and submitting to OPM an INV Form 79A, “Report of Agency Adjudicative Action.”

1.1.2.5 Identity Proofing and Badging

(a) During the life of this contract, the right to unescorted access to Federally-controlled facilities and/or access Federally-controlled information systems shall be made available after the contract employees have (1) met the identity proofing requirements outlined below, and (2) completed all other security requirements stated elsewhere in this contract. During all operations on Government premises, the contract employees shall comply with the rules and regulations governing the conduct of personnel and the operation of the facility. The Government reserves the right to require contract employees to "sign-in" upon entry and "sign-out" upon departure from the DOJ facility.

(b) All contract employees requiring unescorted access to Federally-controlled facilities and/or access to Federally-controlled information systems (regardless of whether they will be issued a DOJ badge), shall comply with the identity proofing and registration requirements outlined below:

(1) Contract employees must present two forms of identification in original form prior to commencement of work under this contract and badge issuance (acceptable documents are listed in Form I-9, OMB No. 1615-0047, “Employment Eligibility Verification,” and at least one document must be a valid State or Federal government-issued picture ID);

(2) Contract employees must appear in person at least once before a DOJ official who is responsible for checking the identification documents. This identity proofing must be completed prior to commencement of work under this contract and badge issuance (as applicable), and must be documented by the DOJ official.

(c) All contract employees requiring unescorted access to a DOJ controlled facility shall comply with the badge requirements outlined below:

(1) When any Contractor employees enter a DOJ building for the first time, the contract employees shall allow one hour for security processing and the fabrication of buildings access badges.

(2) Building access badges shall be subject to periodic review by the Contractor's

Supervisor and checked against the employee's personal identification. The contract employees shall present themselves for the issuance of renewed badges when required by the Government as scheduled by the COR or his designee. The Contractor shall notify the COR when employee badges are lost, and must immediately apply for reissuance of a replacement badge. The Contractor shall pay for reissued building access badges. It is the Contractor's responsibility to return badges to the COR or his designee when a contract employee is dismissed, terminated or assigned to duties not within the scope of this contract.

1.1.2.6 Replacement Personnel

(a) Security investigations are very costly to the Government. The Contractor shall make every effort to preclude incurrence of costs by the Government for security investigations for replacement of employees, and in so doing, shall assure that otherwise satisfactory and physically able employees assigned hereunder remain in contract performance for at least one (1) year. The Contractor shall take all necessary steps to assure that Contractor personnel who are selected for assignment to this contract are professionally qualified and personally reliable, of reputable background and sound character, and meet all other requirements stipulated herein.

(b) The fact that the Government performs security investigations shall not in any manner relieve the Contractor of its responsibility to assure that all personnel furnished are reliable and of reputable background and sound character. Should a security investigation conducted by the Government render ineligible a Contractor furnished employee, the Contracting Officer will investigate the cause and determine whether the Contractor has abdicated its responsibilities to make every effort to select reliable employees of reputable background and sound character. Should there be need to replace a contract employee due to nonperformance, the Contracting Officer will determine whether the Contractor has abdicated its responsibilities to make every effort to select trained and experienced employees.

(c) Should the Contracting Officer determine that the Contractor has failed to comply with the terms of Section 1.1.2.4(a), the Contractor may be held monetarily responsible, at a minimum, for all reasonable and necessary costs incurred by the Government to (a) provide coverage (performance) through assignment of individuals employed by the Government or third parties in those cases where absence of Contractor personnel would cause either a security threat or DOJ program disruption and (b) conduct security investigations in excess of those which would otherwise be required.

(d) Nothing in this Clause shall require the Contractor to bear costs involved in the conduct of security investigations for replacement of an employee who becomes deceased or severely ill for a long period of time.

(e) Acceptance by the Government of consideration to which the Government may be entitled pursuant to paragraph (c) above shall not be construed to establish a course of conduct which will serve to limit the rights and remedies otherwise available to the Government. Under no circumstances shall the Contractor fail to comply with the terms and conditions set forth herein without assuming liability for such failure as may be established pursuant to this Clause. The rights and remedies conferred upon the Government by this Clause are in addition to all and other rights and remedies specified elsewhere in this contract or established by law.