DR4759-WA-CAS - CAS SOW.pdf

STATEMENT OF WORK

DHS/FEMA/OEA

COMMUNICATION ACCESS SERVICE (CAS)

FOR

WILDFIRE IN WASHINGTON

(DR4759-WA)

1. REFERENCES

N/A

2. GENERAL DESCRIPTION

The Department of Homeland Security (DHS), Federal Emergency Management Agency (FEMA), Office of External Affairs (OEA) would like to solicit the services of a contractor to provide Sign Language Interpretation and Communication Access Real-Time Translation (CART) Services for all its components (Disaster Operations, International-Intergovernmental-Congressional and Public Affairs, Private Sector and Resource Management) and ALL FEMA Operations to include joint efforts with other FEMA Directorates, Programs and Offices, Federal, State, Local, Tribal and Territorial partners, international and domestic organizations, voluntary/ community/faith based, profit/non-profit and private organizations in support of response and recovery operations for the Wildfire in Washington (DR4759-WA).

3. BACKGROUND

Solicitation Overview:

The DHS, FEMA, OEA is soliciting contractor(s) for Sign Language Interpretation onsite, virtual/remote, prescheduled and Communication Access Real-Time Translation (CART) Services for response and recovery operations for the Wildfire in Washington (DR4759-WA), including any additional counties added to the disaster. The services are mandated by the Americans with Disabilities Act (ADA) to ensure accessible communications in compliance with federal laws and regulations, including the Rehabilitation Act of 1973 and the Americans with Disabilities Act (ADA) Title II.

Objectives:

• Provide Sign Language and CART services for inclusive communication during disaster response and recovery.

• Ensure accessibility to FEMA programs and services for individuals who are Deaf or Hard of Hearing.

• Comply with federal laws, including the Rehabilitation Act of 1973 and ADA Title II.

Commitment to Inclusion: FEMA emphasizes its commitment to the inclusion of people with disabilities and those with access and functional needs. Inclusive planning initiatives and emergency management practices are employed to meet the diverse needs of the whole community before, during, and after disasters.

4. SCOPE OF WORK

The contractor is tasked with delivering Sign Language Interpretation and Communication Access Real-Time Transcription (CART) services as required for applicants or individuals affected by the Wildfire in Washington (DR4759-WA).

This involves active participation in FEMA public events and community meetings related to the for the Wildfire in Washington (DR4759-WA). The assigned tasks will be situated within the impacted area, covering Spokane County and any other declared counties. The mode of service delivery, whether In-person or Virtual, may be requested based on the specific service needs and the availability of service providers. The flexibility to provide both in-person and virtual services ensures responsiveness to the dynamic requirements of the situation.

5. Period of Performance The Period of Performance (PoP) for this contract spans 120 days, commencing one day after the award. Additionally, the contract includes the option for (1) 90-day extension periods.

6. Places of Performance For interpreting services in the State of Washington, covering all declared counties related to DR- 4759-WA, the following conditions apply:

A. Local Vendor Requirement:

o The vendor providing interpreting services must be local to the State of

Washington.

o Interpreters from outside the State of Washington will not be accepted.

o The contractor shall provide to the COR with email address(es) and a 24 hour on-call number(s), for immediate access to the contractor.

o The contractor shall include in their response the name(s) of the ASL or FLI (s) who will satisfy the call order 48 hours or more of the assignment.

B. Paid Time: Paid time begins from the start of the assignment(s) or when the interpreter(s) arrives on-site, (whichever is later). Paid time ends when the assignment(s) is completed or at the end of the two hour minimum.

o A two hour minimum is paid at the agreed upon rate for all call orders.

o The government will provide an escort from the designated entrance to the assignment.

o If a call order ends early, and there is another assignment in which the interpreter can be used during that 2-hour minimum, the interpreter shall work the additional assignment.

C. Mileage Reimbursement:

o Federal regulations mandate mileage reimbursement for travel exceeding a 50-mile threshold from the interpreter's place of residence.

D. Availability Confirmation:

o In the event that a qualified interpreter is not available, the vendor is obligated to reach out directly to the designated Point of Contact and the Contracting Officer's Representative (COR).

o This communication is crucial for tracking purposes.

o The contractor shall include in their response the name(s) of the ASL or FLI (s) who will satisfy the call order 48 hours or more of the assignment.

o On occasion the government may issue a call order for same day assignment(s) that is requested on short notice. When a call order is issued with less than a three hour notice, the contractor shall accept the assignment(s) provided that the sign language interpreter(s) dispatched to satisfy the call order arrives on or before the requested time.

E. Failure to Confirm Requests/Assignments:

o If the vendor fails to confirm requests or assignments, and neglects to communicate issues to the Point of Contact and the COR, it may be considered grounds for the termination of the contract.

o A call order is a request for services and contractor shall determine within one (1) hour of the request for services, whether or not an interpreter can fulfill the request for assignment. Request is considered accepted when the contractor provides written acknowledgement to the COR. If contractor determination is not received, FEMA reserves the right to obtain the service from another source and to charge the Contractor with any excess cost which may result therefrom. FEMA will be the sole judge in determining when to order service from another source.

F. Multiple Assignments on the Same Day: The two hour minimum applies if there are multiple assignments that are concurrent to each other and less than two hours total. There is no separate billing when one or more assignments are scheduled together within the two hour minimum time frame using the same sign language interpreter(s) on the same day.

Interpreter(s) shall be available for earlier or later time slots to complete the accepted assignment(s). The contractor may invoice for the total hours on-site from the originally scheduled assignment time until completion of the requirement.

G. On-Site Modifications: If the assignment(s) goes over the specified time, the contractor shall notify the COR of the situation. The contractor shall then invoice the government for the total time worked, including the two hour minimum of the initial assignment, and in 15 minute increments after the two hour minimum.

o If the authorized government point of contact dismisses the interpreter(s) prior to the time originally specified on the call order, the contractor or interpreter(s) shall contact the COR to inform them of the situation. The contractor may invoice for the two hour minimum rate plus mileage.

H. Team Interpreting (assignments over two hours in length): Whenever there is an assignment(s) of constant interpreting and processing of large quantities of information for two hours or more in length, the COR shall make arrangements with the contractor to send one interpreter to work with a MEDVAMC staff interpreter or a team of two sign language interpreters, to rotate approximately every half hour during the assigned time. If the contractor provides the two requested interpreters, the contractor shall invoice for each interpreter the two hour minimum and for time beyond the two hour minimum in 15 minute increments plus mileage for both interpreters.

7.0 SERVICE TO BE PROVIDED

The government mandates language access, necessitating Sign Language interpretation support for both Onsite and Video Remote services, as required, to address the Wildfire in Washington (DR4759-WA). The contractor must be promptly available to offer both Onsite and Remote services with a notice period of two (2) hours. In the event that an interpreter is unavailable for in-person service, the Contractor is required to notify the COR and reassign tasks to an alternative interpreter through virtual support. The interpreter is expected to establish virtual contact with the presiding official at least fifteen (15) minutes before the scheduled start time.

The government necessitates CART services providers, available both on location and remotely upon request, capable of consistently translating spoken English into written English verbatim and in real-time. CART, or Communication Access Realtime Translation, enables individuals who are Deaf or Hard of Hearing (D/HH) to read information as it is spoken, in real-time, through the transcription of spoken words into readable text. This process involves a certified real-time reporter using a stenotype machine with real-time software and a laptop. The resulting text can be displayed on a laptop, projection screen, or television monitor. CART accommodates D/HH individuals who prefer accessing information in written English during meetings, training sessions, and conferences.

Certified real-time reporters use a stenotype machine to swiftly transcribe dialogue by entering phonetic combinations in real-time. The government stipulates that, depending on the nature of the meeting environment and with appropriate audio and visual equipment in place, these CART services must be available either on-site or remotely. Additional details can be found in Section 4.1.b.

71.a Sign Language Interpretation Services - Contractor(s) offering Sign Language Interpretation Services in the aftermath of a disaster must possess expertise in disability law and associated accommodations, with a specialization in sign language interpretation. The Contractor(s) is expected to consistently supply qualified sign language interpreters capable of interpreting in the appropriate modality to meet the specific needs of disaster survivors.

Sign language interpreting contractors must be able to a cover a range of services, such as – general interpreting (basic or core interpreting), specialized interpreting (very specific or technical in nature), and/or cleared interpreting (in which an interpreter has to go through a client’s clearance process or hold a specific security clearance).

Contractors must be capable to accommodates the following sign languages and communication modes: American Sign Language (ASL), Manually Coded English, Pidgin Signed English, international sign languages, and gestures. Also provide language facilitation services through Deaf interpreters, including tactile and/or close-vision interpretation for the Deaf-Blind and conference platform relay interpretation for large groups.

Contractors shall be able to provide its sign language interpreting services on a regularly scheduled basis (during regular business hours), scheduled after core business hours, or on short notice (usually used for last minute requirements or in an emergency).

These services are integral to ensuring the accessibility of all FEMA-delivered information, goods, services, and related events to survivors who are Deaf or Hard of Hearing, relying on Sign Language Interpretation as their primary mode of communication. Given the high-stakes and consequential nature of emergency management, it is crucial to assign interpreters who not only meet the necessary qualifications but also possess a comprehensive understanding of government and emergency management terminology, as well as the response and recovery processes. This knowledge is vital for effectively supporting the needs of survivors during these critical situations.

The Contractor is obligated to provide qualified and certified sign language interpreters who are readily available to offer services either onsite/in-person or remotely/virtually, particularly in the counties of Spokane and any other impacted counties in Washington.

7.1.b Communication Access Real-Time Translation (CART) Services

CART services, delivered by a Contractor well-versed in disability law and accommodations, specializing in real-time captioning, are crucial to ensure the accessibility of all FEMA-delivered information, goods, services, and related events for survivors who are Deaf or Hard of Hearing and rely on captioning as their primary means of receiving information. In the critical environment of emergency management, it is paramount to engage qualified CART providers who possess a comprehensive understanding of government and emergency management terminology.

The Contractor is required to furnish qualified CART providers, either on location (if available) or remotely as requested. Any potential delays must be promptly communicated to the Contracting Officer's Representative (COR).

Requests for CART services shall be initiated by the COR or a designated Program Office Point of Contact with a minimum notice of 24 hours before the assignment. Although circumstances may arise where the 24-hour notice is not feasible, the contractor reserves the right to refuse an assignment when less than 24-hour notice is provided. In the event of acceptance, the agency shall be billed at the established hourly rate, without any special rates for requests with less than 24-hour notice. The contractor is obliged to provide the COR with the name(s) of the interpreter(s) as soon as possible or at least six (6) hours before the assignment.

FEMA requires vendors to provide CART services for an individual or for a group (using an overhead projection or big screen). Services can be in-person or remote; regularly scheduled or last-minute.

Vendors shall provide its Real Time Captioning services in numerous ways to accommodate clients:

• One-on-one or Individual settings o Regularly Scheduled o Short Notice

• Remote (Internet Captioning) o Regularly Scheduled o Short Notice

Upon request, Vendor must provide electronic or hard copy transcripts of the CART session.

Transcripts are provided on a per page basis.

7.2 The Contracting Officer's Representative (COR) will appoint a Point of Contact (POC) tasked with coordinating and scheduling requests for Sign Language interpreters and CART providers.

Communication with the contractor will primarily occur through telephone contact and, secondarily, via email or facsimile. The COR or designated POC will utilize these channels for submitting requests, making changes to existing requests, or canceling Sign Language interpreter and CART services.

When initiating contact, the COR or POC will furnish the contractor with essential details pertinent to the assignment. This information includes the assignment's date, time, anticipated duration, type, location, on-site Point of Contact (POC), and the on-site POC's phone number. This comprehensive communication ensures a smooth coordination process and facilitates the provision of effective services by the contractor.

7.3 The Contracting Officer's Representative (COR) or the designated Point of Contact (POC) is required to initiate communication with the contractor primarily through telephone and, secondarily, via email or facsimile. This contact will be made for the purpose of submitting requests, implementing changes to existing requests, or canceling Sign Language and/or CART services. This dual-channel communication ensures efficient and reliable coordination between the COR or POC and the contractor for the provision of these critical services.

8.0 QUALIFICATIONS

Sign language interpreters and Certified Deaf interpreters, at a minimum, must meet the following criteria:

A. Certification:

o Possess certification from the National Association of the Deaf/Registry of

Interpreters for the Deaf or any certification recognized by the state where the disaster is declared.

o Interpreters must be able to provide proof of certification upon request.

o In some states, compliance with licensure requirements for interpreters is mandated by law.

B. Versatility in Modality:

o Demonstrate the skill and experience to adapt their interpretation modality to meet the specific needs of the disaster survivor(s) they are serving.

o Be capable of adjusting their interpretation modality to address a broad spectrum of needs nationwide, including but not limited to American Sign Language (ASL), Conceptually Accurate Signed English (CASE), Tactile Sign Language, and Puerto Rican Sign Language (PRSL).

o If requested, the contractor must be able to provide a sign language interpreter with strong voicing skills.

C. Compliance and Professionalism:

o Adhere to the Professional Code of Conduct established by the national Registry of

Interpreters for the Deaf (RID).

o Comply with all relevant state laws, irrespective of the type of interpreter qualification they possess.

D. Attire:

o Dress in business casual attire unless instructed otherwise.

These standards are set to ensure that interpreters possess the necessary qualifications, flexibility, and professionalism to effectively support disaster survivors in various communication needs.

For Deaf interpreters, the minimum requirements are as follows:

1. Professional Experience:

o In cases where certification is not currently available, possess a minimum of 150 hours of professional interpreting experience.

o Within this experience, a minimum of 50 hours should be in platform or conference interpreting.

o The interpreter must be capable of providing proof of their experience upon request.

2. Versatility in Modality:

o Demonstrate the skill and experience to adapt their interpretation modality to meet the broad spectrum of needs nationwide.

3. Compliance and Professionalism:

o Adhere to the Professional Code of Conduct established by the national Registry of Interpreters for the Deaf (RID), irrespective of the type of qualification they possess.

For CART providers, the minimum requirements are as follows:

1. Certification:

o Hold one type of certification recognized by the state where the disaster is declared.

This may include certification from the National Court Reporters Association (NCRA), National Verbatim Reporters Association (NVRA), or an equivalent certification.

2. Equipment and Connectivity:

o Provide their own CART writing equipment.

o Collaborate with the FEMA Point of Contact (POC) to ensure connectivity and address display needs.

These standards are set to ensure that Deaf interpreters and CART providers possess the necessary qualifications, experience, and professionalism to effectively contribute to disaster response efforts.

9 . 1 A s s i g n m e n t s

• COR/POC will not use vendor portals or place assignments on vendor preferred systems.

All assignments will be emailed to vendor daily or weekly.

• The COR and POC will issue assignment to the contractor(s) in this format:

Event Name:

Event Description (please include as much detail as possible):

Event Link:

Event Time (Start/End):

Event POC (Full contact info):

Prep materials (Agenda, PPT, list of speakers’ names, etc.)

• Assignment Confirmation Timeframe: Contractor(s) must confirm receipt of the assignment within 15 minutes of the time of the email.

• Assignment Confirmation and Communication:

o Vendor must communicate immediately to the Contracting Officer's Representative

(COR) of any issues or delays.

• Regional Limitations:

o Vendor must not bring interpreters from outside of the disaster states or region.

Travels outside of the state will not be approved.

• On-Demand Service Request:

o Services are provided on an as-needed, as-requested basis at the discretion of the

Requestor.

o The Requestor will contact the Contractor primarily by phone, followed by email, providing details such as date, assignment type, language preference (if other than ASL), times, and location or remote specifications.

• Requestor Documentation:

o The Requestor will maintain a log or spreadsheet documenting the time of the request.

o For Interpretation and CART services, the log includes the date, start time, anticipated duration, location, and a description of the event. This log is available for inspection by the Contracting Officer.

• Provider Information:

o For Interpretation and CART services, the Contractor will provide the names of the assigned Providers as soon as possible or at a minimum of six hours before the start of the assignment.

• Industry Standards:

o Two interpreters are required for assignments lasting more than ninety (90) minutes, detailed or technical assignments, or those involving a general audience with a duration of more than one hour.

o If a CDI/ASL team is assigned, two ASL interpreters will be provided for every CDI in the team.

o One CART provider at a time will be contracted per event need. Due to duration, the need might arise for a CART provider to be replaced by another CART provider. In this event, the CART providers are expected to share relevant knowledge and meeting context as it pertains to their provision of service at the time of replacement. An unedited copy of the transcript needs to be available upon request.

• Cancellation Policy:

o Sign Language Interpretation and CART service requests canceled by the Requestor with less than 48 business hours’ notice prior to the start of the request are to be billed for the hours requested. If cancellation occurs with more than 48 hours’ notice, no costs will be billed to the Agency.

• Contractor Availability:

o The Contractor shall be able to receive, confirm, mobilize, and start work on the first day of the period of performance.

o The Contractor shall be able to work 24 hours per day, 7 days per week, and 365 days per year (inclusive of weekends and holidays).

8 . 2 C a n c e l l a t i o n s a n d C h a n g e s

1. Request Method:

o All cancellations or schedule adjustments will be requested by the Requestor to the

Contractor primarily by phone and followed via email within 48 business hours.

2. Provider Availability:

o Providers will remain available to work for the entire scheduled time, regardless of changes to events. COR to be notified immediately when changes occurs.

3. Replacement Notification:

o In the event any or all Provider(s) are unable to work, the Contractor is required to notify the Requestor.

4. Provider Replacement Responsibility:

o The Contractor will be required to replace the Provider(s).

o In the event the Contractor is unable to supply the replacements, the Contractor will not bill the government for those service hours. COR to be notified immediately when changes occurs.

These guidelines aim to ensure efficient communication and coordination in the case of cancellations or changes, with a focus on maintaining provider availability and prompt replacement in case of unavailability.

8.3 Other Unscheduled Federal Government Closures

• Provider Response:

o In the event of an unscheduled closure of the federal government, Providers will not report to work or to their scheduled assignments.

• Cancellation Fee/Charges:

o No cancellation fee or charges will be assessed in such circumstances. If COR is not in agreement.

• Billing Arrangement:

o The Contractor will not bill the government for services when the government is closed.

8 . 4 F e d e r a l H o l i d a y s

• Provider services may be required on federal holidays and weekends during a disaster declaration. If work is performed on holidays, the contractor shall bill for services performed at the contracted rate with no premiums.

8 . 5 I n c l e m e n t W e a t h e r o r E m e r g e n c y

• Providers will not report to work if the federal government is closed due to inclement weather or emergency. No cancellation fee or charges will be assessed. The Contractor will not bill the government for service hours when the government is closed due to inclement weather or emergency.

• In the event of inclement weather or an emergency, Providers are responsible for calling

Requestor or alternate Requestor to receive instruction and will abide by the Delayed Arrival policy pertaining to federal employees outlined by the Joint Field Office. If services cannot be provided, the Contractor will not bill the government for service hours for the day(s)/hours.

8.0 EVALUATION OF SERVICES

Certainly, here's a summary of the points related to quality control, feedback, and dismissal of providers:

1. Quality Responsibility:

o The Contractor shall be solely responsible for the quality of services provided.

2. Liability:

o The Contractor shall also be liable for negligence, fraud, waste, or abuse incurred by the Provider.

3. Feedback Mechanism:

o Recipients of interpreter or CART services, qualified FEMA staff, and the event POC may provide feedback on the quality of the services to the Requestor.

4. Feedback Timeliness:

o Feedback will be provided to the Contractor within 24 hours of receipt of the feedback when necessary.

5. Dismissal Criteria:

o Providers can be dismissed at the discretion of the Requestor for deficiencies in performance, ethical standards, dress, timeliness, or other quality standards.

6. Billing for Dismissal:

o If dismissal is necessary, the Contractor will only bill for the actual time worked on the day of dismissal.

7. Replacement and Future Assignments:

o If replacement of Provider is requested, the Contractor will fulfill that request.

o The dismissed Provider will not be sent to any future event under this contract unless told otherwise by the Requestor.

These provisions establish a framework for maintaining and ensuring the quality of services, incorporating feedback mechanisms, and defining the process for provider dismissal and replacement.

9.0 INVOICING

1. Minimum Billing Duration:

o Bill all onsite and virtual interpretation services at a minimum of two (2) hours.

o Bill remote CART services at a minimum of two (2) hours.

2. Actual Duration Billing:

o If the assignment is longer than the minimum stated hours for the service, the assignment will be billed for the actual duration of the assignment.

3. Invoicing Instructions:

o Follow the invoicing instructions outlined in the SOW and the contract.

4. Invoice Content:

o Draft all invoices to include:

Invoice date Contract number Period of performance Provider name Individual dates of service Time of service for each Provider.

5. Billing Frequency:

o Bill on a biweekly basis.

6. Hourly Rate:

o Use the fixed hourly rate as established in the contract.

7. Separate Line Items:

o Use separate line items with the corresponding CLIN to show the hours of service worked.

8. Flat Rate Billing:

o Bill work hours at the flat rate established within the contract.

These guidelines ensure clarity and consistency in the billing process, covering the minimum billing duration, invoicing details, frequency, and rate structure.

HYGIENE CLAUSES

IV. SAFEGUARDING OF SENSITIVE INFORMATION (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) 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 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);

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);

(2) 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

(3) 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, 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

(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 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.

http://csrc.nist.gov/groups/STM/cmvp/standards.html

(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 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 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.

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 http://www.dhs.gov/privacy-compliance 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 4300A Sensitive Systems Handbook 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.