DRAFT Performance Work Statement.docx

United States Coast Guard Command, Control, Communications, Computers, Cyber and Intelligence

Microsoft Unified Support Services Performance Work Statement October 22, 2023

USCG

Microsoft

Unified

Support

Services

Table of Contents

Designated Support Engineers…………………………………………………………………………………………………….6

Security Requirement for Unclassified IT Resources (HSAR3052.204-7)……………………… Requirements for Providing Hardware, Software, and Services 14 Contractor Employee Access Clause ALT I……………………………………………………………………….14

OCISO Cyber Supply Chain Risk Management Program…………………………………………………………………….33

APPENDIX A …………………………………………………………………………...…35

1. INTRODUCTION

This Performance Work Statement (PWS) defines the infrastructure engineering and operational tasking required to support the United States Coast Guard (USCG), Command, Control, Communication, Computer, Cyber and Intelligence Service Center (C5ISC). This PWS incorporates the tasking required to support the C5ISC Product Lines and Shared Services and must provide development, delivery, support, and technical expertise for assigned services and associated products.

Support services required by this PWS include all solutions needed to sustain systems at the highest levels of service and availability consistent with cost, schedule, and performance goals. The Contractor must adhere to all standards, guidelines and procedures set forth in the Department of Homeland Security (DHS), Department of Defense (DoD) and USCG policy.

1.1 Scope

The scope includes infrastructure support services for enterprise applications and information systems maintained by the USCG C5ISC with the goal of enhancing its capabilities. The work must be performed on site as necessary in both unclassified and classified environments. The focus of this work is to maintain operational efforts of each product line and service line while striving to enhance engineering tasks. Support services will include on-premises systems (government), Microsoft365 and Azure tenants (commercial). The provided support must span multiple product lines and service lines as deemed necessary by the Contracting Officer Representative (COR).

2. REQUIREMENTS

2.1 Microsoft Unified Base Support Package

The Contractor shall provide Unified Support, a support service that minimizes and resolves issues and provides the Government access to Microsoft experts to keep applications and systems running smoothly.

The Contractor shall provide technical support through proprietary resources, such as tools and knowledge bases, problem resolution assistance from product developers who have access to source code when applicable. The Contractor shall provide problem resolution efficiently with Microsoft technology as part of solution development and architectural planning. The Contractor shall provide timely support to the Government by delivering problem and break-fix resolutions based on the Contractor’s ability to reach back to Microsoft product groups and developers.

The Contractor shall also provide technical support, problem resolution, workshops, strategic guidance, and assistance to the United States Coast Guard with technical issues pertaining to developing intranet/internet strategies, prototyping, implementation, and deployment of solutions spanning across infrastructure and application areas. The Contractor shall provide Unified Support designed to help the USCG maximize its investments in Microsoft technologies, reduce risk, accelerate deployment, and optimize solutions to meet the USCG mission requirements.

The core requirement the Contractor shall provide is the agile relationship and real-time reach back to Microsoft software developers and product teams.

2.1.1 Information Services

The Contractor must provide extensive information services to ensure staff remains current on technology issues and products.

In addition to the services provided by the CSAM, USCG enterprise customers will have access to the following information services provided directly by Microsoft Unified Support:

· Product News Flashes – Regular News Flashes covering all Microsoft business products, written by senior Microsoft support professionals, and containing expert advice on the latest technical information, technologies, support issues, problems, and fixes.

· Critical Problem Alerts – An email-based subscription service giving early warning of (and guidance on how to avoid) potential high-impact problems.

· Expert Roundtables – Participation in regularly scheduled teleconference discussions delivered live by Microsoft developers, product managers and senior support staff, covering key areas of Microsoft technology.

· Knowledgebase – Online access to Microsoft’s extensive information resource of common problems and their solutions.

2.1.2 Responsive Services

The Contractor must provide formal escalation procedures to ensure the appropriate level of attention is applied to each support incident until final resolution.

· Incident Support – Available 24 hours a day, 7 days a week onsite or offsite. Incidents must have designated severity level procedures and response times.

· Incident Submission – Support incidents may be submitted either via the web or phone.

· Multi-vendor Coordination –Microsoft and third-party software suppliers work collaboratively to resolve complex multivendor product issues.

2.2 Customer Success Account Manager

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

· The CSAM must be available to the COR via telephone and emails between the hours of 0830 and 1700 EST, Monday through Friday, and must respond to a request for discussion or resolution within two (2) hours of notification.

· The CSAM must coordinate and streamline the support services relationship. This position is the customer’s advocate within Microsoft and must facilitate a team that can provide workshops, problem resolution support, support assistance, and information services. This position must serve as the point of information delivery for planning and resource facilitation, status meetings and reporting, and escalation management.

2.3 Designated Support Engineer

The Contractor must provide Designated Support Engineer(s) (DSE) as requested for Infrastructure Services Division (ISD). The DSE must have advanced experience in the following topics and must be responsible for providing technical expertise in support of its services and associated products. The DSE is further designated as Key by the Government.

2.3.1 Minimum Requirements

· Advanced experience supporting:

· Azure PaaS/SaaS (minimum of 700 hours/year)

· SCCM / Microsoft Endpoint Configuration Manager (MECM) (minimum of 700 hours/year)

· Major upgrades

· Migrating services to the cloud

· Security (minimum of 300 hours/year)

· Microsoft Defender

· Microsoft Sentinel

2.4 U.S. Citizen Support Program

The Contractor must provide enhanced support with the explicit citizenship requirements for Problem Resolution Support. For remote Problem Resolution (“PRS”) on qualified products, first interaction with technical support engineers will be limited to citizens of and physically located in the United States (“U.S. Citizen”). Support Data shall be stored in data centers in the United States. Access to Support Data will be limited to U.S. Citizen staff. Staff will not have access to Government Data without Government consent.

The minimum requirement for U.S. Citizen support is 160 total hours.

3. CONTRACTOR PERSONNEL

3.1 Qualified Personnel

The Contractor must provide qualified personnel with skills and experience as defined in this PWS to perform the specified requirements. All contractors must meet the required security clearance to support the USCG environments as listed for each position defined in the requirements. All Contractor employees supporting this PWS must be citizens of the United States. The USCG reserves the right to request unqualified and inexperienced personnel be removed from this project if deemed necessary.

3.2 Key Personnel

Before replacing any individual designated as Key by the Government, the Contractor must notify the KO no less than 15 business days in advance and provide the name and qualifications of any proposed substitute(s). All proposed substitutes must possess qualifications equal to or superior to those of the Key person being replaced, unless otherwise approved by the KO. The Contractor must not replace Key Contractor personnel without approval from the KO. Note: The Government may designate additional Contractor personnel as Key at the time of award.

Positions designated as Key Contractor personnel:

· CSAM

· DSE

3.3 CSAM Minimum Qualifications

· Must have five (5) years relevant experience and five (5) years of leadership experience with progressively higher responsibility in the IT and/or IT consulting fields.

· Must have primarily supported DoD agency connected to DoD Information Network (DoDIN) in IT Management position within the past 2 years.

· Have a favorably adjudicated Tier 1 background investigation, requiring completion of a Questionnaire for Non-Sensitive Positions (SF-85) submitted to Deputy Commandant for Mission Support (DCMS) Security Center (SECCEN) through the COR.

3.4 Designated Support Engineer Minimum Qualifications

The following requirement applies to all DSE contractors to perform work.

· Cleared for Secret work.

· DoD Approved 8140 Baseline Certification at the Intermediate Level (equivalent to previous DoD 8570 Baseline Certification IAT Level II).

· Have a favorable adjudicated Tier 1 background investigation, requiring completion of an SF-85 submitted to DCMS SECCEN through the COR.

· 5 years of experience supporting Microsoft products and services in a large enterprise (>50K employees and endpoints)

3.5 Personnel Training and Certification

The Contractor must require its employees to take any required USCG security training upon initiation of employment and any required annual security training. These mandated trainings are authorized to be completed during normal working hours. The Contractor is responsible for monitoring and reporting to the COR the completion of all USCG security training.

Contractor professional certifications is required under this PWS. The Contractor must ensure that necessary professional certifications are kept up to date and is responsible for all costs associated with it. The Government will not allow costs, nor reimburse costs, associated with the Contractor’s professional training or certifications. The Contractor is responsible for monitoring and reporting to the COR all required valid professional certificates that is mentioned in this PWS.

3.6 Personnel Identification

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

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

3.7 Personnel Conduct

Contractor’s employees must comply with all applicable Government regulations, policies, and procedures (e.g., fire, safety, sanitation, environmental protection, security, “off limits” areas, wearing of parts of DHS and/or USCG uniforms, and possession of weapons) when visiting or working at Government facilities. The Contractor must ensure Contractor employees always present a professional appearance and that their conduct must not reflect discredit on the United States or the DHS/USCG. The CSAM must ensure Contractor employees understand and abide by DHS/and USCG established rules, regulations and policies concerning safety and security.

3.8 Removing Personnel for Misconduct or Security Reasons

The Government may, at its sole discretion (via the KO/COR) direct the Contractor to remove any Contractor employee from DHS/USCG facilities for misconduct or security reasons.

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

4. OTHER APPLICABLE CONDITIONS

4.1 Enterprise Architecture Compliance

All solutions and services must meet DHS and USCG Enterprise Architecture policies, standards, and procedures. Specifically, the Contractor must comply with the following Homeland Security Enterprise Architecture (HLS EA) and Coast Guard Enterprise Architecture (CGEA) requirements:

· All developed solutions and requirements must be compliant with the HLS EA and CGEA.

· All IT hardware or software must be compliant with the HLS EA Technical Reference Model (TRM) Standards and Products Profile.

· Description information for all data assets, information exchanges and data standards, whether adopted or developed, must be submitted to the DHS Enterprise Data Management Office (EDMO) for review and insertion into the DHS Data Reference Model and Enterprise Architecture Information Repositor.

· Development of data assets, information exchanges and data standards will comply with the DHS Data Management Policy MD 103-01 and all data- related artifacts will be developed and validated according to DHS data management architectural guidelines.

· In compliance with Office of Management and Budget (OMB) mandates (per OMB Memorandum M-05-22, August 2, 2005), all network hardware must be IPv6 compatible without modification, upgrade, or replacement.

· All Information Technology assets being developed, procured, or acquired must be IPv6 capable as defined in the U.S. Government Version 6 (USGv6) Profile National Institute of Standards and Technology (NIST) Special Publication 500-267 and the corresponding declarations of conformance defined in the USGv6 Test Program.

4.2 Security

The performance of this contract requires the safeguarding of classified and Sensitive but Unclassified Information. Contractor employees must safeguard this information against unauthorized disclosure or dissemination in accordance with the law and Government policy and regulation.

Contractor access to classified information is required under this PWS. The maximum level of classification is SECRET. Classified information is U.S. Government information which requires protection in accordance with Executive Order 13526, “Classified National Security Information,” and supplemental directives. The Contractor must abide by the requirements set forth in the DD Form 254, Contract Security Classification, and the National Industrial Security Program Operating Manual (NISPOM), 32 CFR Part 117 for protection of classified information, as directed by the Federal Acquisition Regulation FAR) FAR 52.204-2, Security Requirements Clause (Mar 2021).

The Contractor’s facility must possess a current Facility Clearance (FCL) at the Secret level. Any subcontractors identified to support classified task must possess the appropriate FCL level based on the task sought.

Contractor personnel must possess U.S. Citizenship and must have a current background investigation to obtain the appropriate Personnel Clearance (PCL) at the Secret level based on mission support. Persons determined by the Government to be a substantial risk to U.S. national security interests will not be employed under this task order.

Contractor personnel must maintain their security clearance eligibility for the duration of the contract. All contractor personnel working this contract must have a Classified Information Non- Disclosure Agreement (SF-312) properly executed by their contracting company’s Facility Security Officer (FSO) and file with their clearance granting authority. The contractor must provide a list of employees’ PCL with assigned functions to the COR. The contractor will advise the COR immediately upon reassignments of personnel to other duties not associated with this task order.

Contractor performance must support classified work only at the government facility as specify to the locations within this PWS, and any additional locations approved by the COR.

Contractor personnel requiring access to DHS/USCG or DoD facilities where proof of a security clearance is a prerequisite, must meet the security requirements of the [contract or task order] for accessing classified information and/or IT systems/networks as specified by the host and/or owner of those facilities. Access to all classified information is based on a strict need-to-know principle. Classification markings on the material to be furnished must provide the classification guidance necessary for the performance of this contract.

The contractor has no performance requirements involving actual knowledge of, generation, or production of classified information, but has only a requirement to be physically present in a classified workspace. Cleared personnel are required to perform services because access to classified information cannot be precluded by escorting personnel. The DD Form 254 must serve as written notice of letting of a classified service contract.

Other classified account includes the SECRET Internet Protocol router Network (SIPRNET). Information managed under the “NATO-SECRET” caveat may be accessible via SIPRNet and JWICS. Actual knowledge of, generation, or production of information under NATO handling caveats is not required for performance of this task order. A NATO security briefing and the requisite security read-on will be required due to NATO information residing on the SIPRNet and JWICS. The contractor must not access, download, or further disseminate any special access data (i.e., intelligence, NATO, etc.) outside the execution of the defined contract requirements.

Contractor must comply with all installation security requirements and all security regulations and directives for this contract. There is no requirement for the Contractor to process or store classified information at company own facilities.

Contractor must provide a visit authorization letter (VAL), equivalent to the USCG Visit Access Request (VAR), to the place of performance. All requests must contain the information required by the NISPOM and must not exceed the completion date of the contract or a 12-month period, whichever is shorter. Additionally, the VAL must note the applicable government COR or

Technical Assistant (TA) responsible for coordinating the visit so that the host location can verify “Need-to-Know,” as necessary.

The Contractor must require regular physical access to the U.S. government facilities / IT systems under this acquisition, so contractor personnel must undergo a security check and obtain a Common Access Card (CAC) [Further guidance applies under the Access Control/TASS Requirements].

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

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

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

Contractor personnel working on-site at Government facilities must comply with all installation security requirements and all security regulations and directives for this contract.

Contractor performance may require OCONUS support for CG mission. Any travelling oversea for classified support must abide by the International Security Requirements as directed within the NISPOM and any additional directives by USCG.

Contractor personnel must adhere to the USCG escorting rules and regulations of the installations as prescribed in COMDTINST M5510.23B.

Contractor is not required/authorized to generate or store classified material at its facility.

This clause applies to the extent that this contract involves access to information classified "SECRET".

a) The contractor must comply with-

1. The Security Agreement (DD Form 441), including the National Industrial Security Program Operating Manual (DOD 5220.22-M); and

2. Any revisions to that manual, notice of which has been furnished to the contractor.

b) If, after the date of this contract, the security classification or security requirements under this contract are changed by the Government and if the changes cause an increase or decrease in security costs or otherwise affect any other term or condition of this contract, the contract must be subject to an equitable adjustment as if the changes were directed under the Changes clause of this contract.

c) The contractor agrees to insert terms that conform substantially to the language of this clause, including this paragraph (d) but excluding any reference to the Changes clause of this contract, in all subcontracts under this contract that involve access to classified information.

4.2.1 Information Technology Security and Privacy Training (HSAR 15-01) In accordance with COMDTINST M5500.13G 3. A. 3. - Account Management – All CGOne Account Holders must complete the mandated Federal Cyber Awareness Challenge (FCAC) training and digitally sign the Automated Information Systems (AIS) User Acknowledgement, Form CG-5500A, which is located at the conclusion of the training. The training must be completed using the USCG Learning Management System (LMS) within 24 - 96 hours of initial access. After completion of the initial FCAC training, all CGOne Account Holders must complete FCAC training annually. Any account delinquent more than 60 days must be disabled.

The Contractor must comply with all applicable requirements to access federal government IT systems. Contractors must take the Information Technology Security Awareness Training before accessing information under this task order. This training must be completed on an annual basis by all Contractor personnel working under this PWS not later than October 31st of each year.

Any new Contractor employees assigned to the task order must complete the training before accessing sensitive information under the task order. This training is accessible at http://www.dhs.gov/dhs-security-and-training-requirements-contractors. Training certificates are to be provided to the COR within thirty (30) days of task order award.

4.2.2 Requirements for Handling Sensitive and/or Proprietary Information Contractor access to proprietary information is required under this task order. Contractor employees must safeguard this information against unauthorized disclosure or dissemination in accordance with DHS MD 11042.1, Safeguarding Sensitive but Unclassified (SBU) Information. SBU includes information categorized by DHS or other Government agencies as: For Official Use Only (FOUO); Official Use Only (OUO); Sensitive Homeland Security Information (SHSI); Limited Official Use (LOU); Law Enforcement Sensitive (LES); Safeguarding Information (SGI); Unclassified Controlled Nuclear Information (UCNI); and any other identifier used by other Government agencies to categorize information as sensitive but unclassified. The Contractor must ensure that all Contractor personnel having access to business or procurement sensitive information sign a non-disclosure agreement (DHS Form 11000-6).

4.2.3 Safeguarding Sensitive Information (HSAR 15-01, Mar 2015)

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

(b) Definitions. As used in this clause—

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

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

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

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

Other PII may be “sensitive” depending on its context, such as a list of employees and their performance ratings or an unlisted home address or phone number. In contrast, a business card or public telephone directory of agency employees contains PII but is not sensitive.

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

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

(2) DHS Sensitive Systems Policy Directive 4300A version 13.2, 2022

(3) DHS Security Authorization Process Guide

(4) DHS Handbook for Safeguarding Sensitive Personally Identifiable Information

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

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

(7) DHS Privacy Incident Handling Guidance

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

(9) 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 version 13.2, 2022 provide the policies and procedures on security for Information Technology (IT) resources. The DHS Handbook for Safeguarding Sensitive Personally Identifiable Information provides guidelines to help safeguard SPII in both paper and electronic form. DHS Instruction Handbook 121-01-007 Department of Homeland Security Personnel Suitability and Security Program establishes procedures, program responsibilities, minimum standards, and reporting protocols for the DHS Personnel Suitability and Security Program.

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

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

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

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

(1) Complete the Security Authorization process. The SA process must proceed according to the DHS Sensitive Systems Policy Directive 4300A (Version 13.2, 2022), or any successor publication, or any successor publication, and the Security Authorization Process Guide including templates.

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

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

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

(2) Renewal of ATO. Unless otherwise specified in the ATO letter, the ATO must be renewed every three (3) years. The Contractor is required to update its SA package as part of the ATO renewal process. The Contractor must update its SA package by one of the following methods: (1) Updating the SA documentation in the DHS automated information assurance tool for acceptance by the Headquarters or Component CIO, or designee, at least 90 days before the ATO expiration date for review and verification of security controls; or (2) Submitting an updated SA package directly to the COR for approval by the Headquarters or Component CIO, or designee, at least 90 days before the ATO expiration date for review and verification of security controls. The 90 day review process is independent of the system production date and therefore it is important that the Contractor build the review into project schedules. The reviews may include onsite visits that involve physical or logical inspection of the Contractor environment to ensure controls are in place.

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

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

(5) Revocation of ATO. In the event of a sensitive information incident, the Government may suspend or revoke an existing ATO (either in part or in whole). If an ATO is suspended or revoked in accordance with this provision, the Contracting Officer may direct the Contractor to take additional security measures to secure sensitive information. These measures may include restricting access to sensitive information on the Contractor IT system under this task order. Restricting access may include disconnecting the system processing, storing, or transmitting the sensitive information from the Internet or other networks or applying additional security controls.

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

(f) Sensitive Information Incident Reporting Requirements.

(1) All known or suspected sensitive information incidents must be reported to the Headquarters or Component Security Operations Center (SOC) within one hour of discovery in accordance with DHS 4300A Sensitive Systems Policy Directive version 13.2, 2022 requirements. When notifying the Headquarters or Component SOC, the Contractor must also notify the Contracting Officer, COR, Headquarters or Component Privacy Officer, and US-CERT using the contact information identified in the task order. If the incident is reported by phone or the Contracting Officer’s email address is not immediately available, the Contractor must contact the Contracting Officer immediately after reporting the incident to the Headquarters or Component SOC. The Contractor must not include any sensitive information in the subject or body of any e-mail. To transmit sensitive information, the Contractor must use FIPS 140-2 Security Requirements for Cryptographic Modules compliant encryption methods to protect sensitive information in attachments to email. Passwords must not be communicated in the same email as the attachment. A sensitive information incident must not, by itself, be interpreted as evidence that the Contractor has failed to provide adequate information security safeguards for sensitive information, or has otherwise failed to meet the requirements of the task order.

(2) If a sensitive information incident involves PII or SPII, in addition to the reporting requirements in DHS 4300A Sensitive Systems Policy Directive version 13.2, 2022, Contractors must also provide as many of the following data elements that are available at the time the incident is reported, with any remaining data elements provided within 24 hours of submission of the initial incident report:

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

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

i. Inspections,

ii. Investigations,

iii. Forensic reviews, and

iv. Data analyses and processing.

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

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

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

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

i. A brief description of the incident;

ii. A description of the types of PII and SPII involved;

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

iv. Steps individuals may take to protect themselves;

(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…