ESBD_File_344217_Exhibit H - DFPS Security Guard Background Check Info.pdf

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DFPS Custodial Services, Shred Services, and Security Services Employee Background Checks

Overview

Because of the potential for contact with confidential information while in Department of Family and Protective Services (DFPS) offices, all custodial service, shred services, and security service employees serving DFPS or shared DFPS/HHSC facilities must complete background checks.

A background check includes the following types of checks:

• A Texas name-based criminal history check

• A DFPS check for abuse/neglect/exploitation of children, elderly or disabled individuals

An FBI fingerprint check is also required for all Shred contractors and for any DFPS custodial services, shred services, and security services employee who has lived outside the state of Texas in the past 2 years.

Contractors must submit requests for criminal history checks and abuse/neglect/exploitation history checks through DFPS:

• All employees who access DFPS or shared DFPS/HHSC facilities must have all required checks completed and cleared before access is granted.

• DFPS policy regarding non-DFPS staff requiring access to DFPS or shared DFPS/HHS facilities is located in the DFPS Backgrounds Check Policy: Section 3000 Background Checks for Non-DFPS Staff.

• Bars to employment are also posted in the DFPS Backgrounds Check Policy:

o Appendix 3000-1: Criminal History Chart for DFPS Employees, Volunteers, Interns, Prospective Employees, and Non-DFPS Staff o Appendix 3000-2: DFPS History Chart for DFPS Employees, Prospective

Employees, Non-DFPS Staff, CASA Employees, Volunteers, and Board Members

Background checks are required annually for all employees who have access to DFPS or shared DFPS/HHSC facilities.

Background Check Process

Criminal and Abuse/Neglect background checks are submitted through the DFPS Automated Background Check System (ABCS). Each employer has their own ABCS account to submit background checks for staff who need access to DFPS or shared DFPS/HHSC facilities.

To initiate creation of the ABCS account, the company point of contact completes Form 4048 DFPS Janitor, Security Guard, and Shred Contractors Background Check Request Form and submits it to EXTACCBGC@dfps.texas.gov

Once Form 4048 is received, DFPS Background Check staff create the ABCS account and run background checks on the point of contact. If that person clears the checks, DFPS Background Checks staff notify the employer who must then submit a Form 4048 DFPS Janitor, Security Guard, and Shred Contractors Background Check Request Form for each employee who requires access DFPS or shared DFPS/HHSC facilities.

More information about ABCS can be found on the DFPS website: Automated Background Check System (ABCS) http://www.dfps.state.tx.us/handbooks/Background_Checks/Menu/Menu_BC_3000.asp http://www.dfps.state.tx.us/handbooks/Background_Checks/Menu/Menu_BC_3000.asp http://www.dfps.state.tx.us/handbooks/Background_Checks/Menu/Menu_BC_3000.asp https://www.dfps.state.tx.us/handbooks/Background_Checks/Files/BC_px_3000-1.asp%23BC_apx3000_1 https://www.dfps.state.tx.us/handbooks/Background_Checks/Files/BC_px_3000-1.asp%23BC_apx3000_1 https://www.dfps.state.tx.us/handbooks/Background_Checks/Files/BC_px_3000-2.asp#BC_apx3000_2 https://www.dfps.state.tx.us/handbooks/Background_Checks/Files/BC_px_3000-2.asp#BC_apx3000_2 https://www.dfps.state.tx.us/handbooks/Background_Checks/Files/BC_px_3000-2.asp#BC_apx3000_2 https://www.dfps.state.tx.us/handbooks/Background_Checks/Files/BC_px_3000-2.asp#BC_apx3000_2 https://www.dfps.state.tx.us/Application/Forms/showFile.aspx?Name=F-500-4048.docx https://www.dfps.state.tx.us/Application/Forms/showFile.aspx?Name=F-500-4048.pdf https://www.dfps.state.tx.us/Application/Forms/showFile.aspx?Name=F-500-4048.pdf mailto:EXTACCBGC@dfps.texas.gov https://www.dfps.state.tx.us/Application/Forms/showFile.aspx?Name=F-500-4048.pdf https://www.dfps.state.tx.us/Application/Forms/showFile.aspx?Name=F-500-4048.docx https://www.dfps.state.tx.us/Application/Forms/showFile.aspx?Name=F-500-4048.docx http://www.dfps.state.tx.us/Background_Checks/ABCS.asp http://www.dfps.state.tx.us/Background_Checks/ABCS.asp

Background Check Determinations

Employers are notified whether the individual’s request for access has been cleared or denied. The specific criminal history or abuse, neglect, or exploitation history is not included in the clearance or denial notice.

Employers or the individual employee who has been denied access may request a review of the decision. Information about this process can be found in the DFPS Backgrounds Check Handbook:

1320 Reviewing Background Check Decisions

DFPS Background Checks and Employment

If DFPS Background Checks issues a decision to deny access to an individual, that denial only prohibits the individual from accessing DFPS or shared DFPS/HHSC facilities.

The decision to hire or terminate an individual is at the discretion of the employer. However, the employer and DFPS sponsor must ensure that individuals who are not cleared by DFPS Background Checks do not have access to DFPS or shared DFPS/HHSC facilities.

Questions about DFPS background check requirements should be directed to:

• Tonda Owens, DFPS Background Checks Manager Tondalier.Owens@dfps.texas.gov

(512) 912-6428

• Tanya Oestrick, Program Administrator for DFPS Background Checks and FINDRS

Tanya.oestrick@dfps.texas.gov

(512) 919-7869 http://www.dfps.state.tx.us/handbooks/Background_Checks/Files/BC_pg_1000.asp#BC_1320 mailto:Tondalier.Owens@dfps.texas.gov mailto:Tanya.oestrick@dfps.texas.gov

Overview

Background Check Process

Background Check Determinations

DFPS Background Checks and Employment

Data and System Security Requirements

ARTICLE 1 – PURPOSE AND SCOPE

A. Data security and privacy for Sensitive Information and Information Resources is extremely important to the Texas Department of Family and Protective Services

(DFPS).

B. These Data and System Security Requirements (“Requirements”) describe the data security, system security, and privacy obligations of Contractors (“Vendors”) and their subcontractors that may connect to DFPS Information Resources and/or gain access to Sensitive Information.

C. Vendors with access to Sensitive Information and/or Information Resources agree to be bound by these Requirements. To the extent applicable, the Vendor also agrees to impose these terms and conditions on any subcontractor(s) retained by the Vendor to provide services under the Contract.

D. These Requirements may be updated from time to time. The Vendor is solely responsible for ensuring on-going compliance with all terms contained herein by periodically checking for updates.

ARTICLE 2 – DEFINITIONS

A. Breach

A “Breach” is the actual, or possible exposure of Sensitive Information, regardless of format (electronic, paper, etc.), to an unauthorized person by any means, including the unauthorized action of a person currently authorized to access that Sensitive Information.

Examples of a breach include but are not limited to:

1. Losing or misplacing all or part of a case file that contains Sensitive Information;

2. Losing or misplacing an electronic device or record containing Sensitive Information;

3. The acquisition, access, use, or disclosure of Sensitive Information in a manner that compromises the security or privacy of the Sensitive Information; or

4. Any accidental or inadvertent disclosure by a person who is authorized to access

DFPS Sensitive Information to another person who is not authorized to access

Sensitive Information.

5. Complying with this Contract helps ensure that DFPS meets its statutory responsibility to protect Sensitive Information and Information Resources and report breaches as required by law. Statutory responsibility related to Sensitive Information and Information Resources includes:

a. Texas Family Code § 261.201 https://statutes.capitol.texas.gov/Docs/FA/htm/FA.261.htm#261.201

b. Texas Human Resources Code § 48.101

c. Texas Administrative Code Title 40 TAC Chapter §§ 700 – 745

1. Adult Protective Services Case Confidentiality, §§ 705.7101 – 705.7123

2. Child Care Investigation Case Confidentiality, §§ 745.8481 – 745.8493

3. Child Protective Services Case Confidentiality, §§ 700.201 – 700.207

B. Sensitive Information

“Sensitive Information” is data that has been designated as private or confidential by law or by DFPS. Sensitive Information includes:

1. “Confidential DFPS Case Records” are Adult Protective Services (APS) case file, a Child

Care Investigations (CCI) file, or a Child Protective Services (CPS) case file, Information

Management Protecting Adults and Children in Texas (IMPACT) case file, or a Child

Protective Investigations (CPI) case file.

2. “Personally identifiable information” (PII) means information that alone or in conjunction with other information identifies an individual, including an individual's:

a. Name, social security number, date of birth, or government-issued identification number;

b. Mother’s maiden name;

c. Unique biometric data, including the individual's fingerprint, voice print, and retina or iris image;

d. Unique electronic identification number, address, or routing code; and

e. Telecommunication access device as defined by Texas Penal Code § 32.51.

3. “Data” includes any information from DFPS such as created or managed business and research data, metadata, and credentials created by or issued on behalf of DFPS. Data also includes:

a. Protected Health Information (PHI)

b. Sensitive Personal Information (SPI)

c. Criminal History Record Information (CHRI)

d. Criminal Justice Information Services (CJIS) Information

e. Social Security Administration (SSA) Information

f. Centers for Medicare and Medicaid Services (CMS) Information

g. Internal Revenue Service (IRS) Federal Tax Information (FTI)

C. Information Resources

“Information Resources” are any devices, networks and related computing infrastructure that DFPS owns, operates, manages, or has obtained for use to conduct DFPS business. DFPS

Information Resources include but are not limited to, DFPS-owned or managed storage;

https://statutes.capitol.texas.gov/Docs/HR/htm/HR.48.htm#48.101 https://texreg.sos.state.tx.us/public/readtac%24ext.ViewTAC?tac_view=5&amp%3Bamp%3Bamp%3Bti=40&amp%3Bamp%3Bamp%3Bpt=19&amp%3Bamp%3Bamp%3Bch=705&amp%3Bamp%3Bamp%3Bsch=M&amp%3Bamp%3Bamp%3Brl=Y https://texreg.sos.state.tx.us/public/readtac%24ext.ViewTAC?tac_view=5&amp%3Bamp%3Bamp%3Bti=40&amp%3Bamp%3Bamp%3Bpt=19&amp%3Bamp%3Bamp%3Bch=745&amp%3Bamp%3Bamp%3Bsch=K&amp%3Bamp%3Bamp%3Bdiv=3&amp%3Bamp%3Bamp%3Brl=Y https://texreg.sos.state.tx.us/public/readtac%24ext.ViewTAC?tac_view=5&amp%3Bamp%3Bamp%3Bti=40&amp%3Bamp%3Bamp%3Bpt=19&amp%3Bamp%3Bamp%3Bch=700&amp%3Bamp%3Bamp%3Bsch=B&amp%3Bamp%3Bamp%3Brl=Y https://statutes.capitol.texas.gov/Docs/PE/htm/PE.32.htm#32.51 processing, communications devices and related infrastructure on which DFPS data is accessed, processed, stored, or communicated, and may include personally owned devices.

ARTICLE 3 – SECURITY PATCHES AND UPDATES

A. The Vendor must apply patches and updates to hardware, applications and/or operating systems used in connection with the services provided to

DFPS as follows:

1. The Vendor’s internal systems and networks necessary for the Vendor to fulfill its obligations to DFPS must have security patches and functional updates done to its internal systems software and firmware based on the severity established by the Common Vulnerability Scoring System (CVSS).

a. Low severity vulnerabilities should be patched no more than 90-days of patch/update’s commercial release.

b. Medium severity vulnerabilities should be patched no more than 60-days of patch/update’s commercial release.

c. High severity vulnerabilities should be patched no more than 30-days of patch/update’s commercial release.

d. Critical severity vulnerabilities should be patched as soon as possible and should not exceed more than 30-days of patch/update’s commercial release.

2. The Vendor will implement, maintain and use appropriate administrative, technical and physical security measures to protect Sensitive Information. This shall include the use of virus and malware protection software that covers all devices and networks used to perform under this Contract. Vendor shall ensure that this software and virus/malware file definitions are regularly updated per manufacturer’s recommendations.

ARTICLE 4 – COMPLIANCE WITH REGULATIONS

A. The Vendor will strive to implement and use industry best practices regarding the collection, access, use, disclosure, safeguarding and destruction of Sensitive Information.

B. The Vendor will have a privacy policy and a prominently-posted privacy statement or notice.

C. The Vendor agrees to comply with all applicable state and federal laws that apply to data and system security as well as privacy including, but not limited to the following:

Section 106 of the Child Abuse Prevention and Treatment Act (CAPTA), found at 42 U.S.C. 5106a;

1. Title 1, Texas Administrative Code, Sections 202.1, 202.3 and

Subchapter B related to information security standards

2. Texas Human Resources Code, Sections 12.003, 40.005, and Chapter

48;

https://www.first.org/cvss/specification-document

3. Texas Business and Commerce Code, Subtitle B, related to identity theft;

4. Section 471 of Title IV-E of the Social Security Act found at 42 U.S.C.

671(a)(8) and related rules found at 45 C.F.R. 1355.30 and 45 C.F.R.

205.50;

5. Texas Family Code, Sections 261.201-.203 related to confidentiality and privileged communication and information about a child fatality;

6. Texas Family Code, Sections 264.408 and 264.511 related to use and ownership of confidential information and records;

7. Family Educational Rights and Privacy Act (FERPA) found at 20 U.S.C. 1232(g) and

34 C.F.R. Part 99;

8. Texas Health and Safety Code, Section 85.115 related to confidentiality of medical information;

9. Title 40, Texas Administrative Code, Subchapter B, related to confidentiality and release of records;

10. Texas Health and Safety Code, Section 81.046 and Chapters 181 related to confidentiality of medical records and 611 related to protection of mental health records;

11. The Federal Information Security Management Act of 2002 (FISMA) found at 44

USC 3541 et seq;

12. Internal Revenue Service Publication 1075 – Tax Information Security Guidelines for

Federal, State and Local Agencies and Title 26 USC Internal Revenue Code regarding taxes;

13. National Institute of Standards and Technology (NIST) Special Publication 800-53

Revision 4 Recommended Security Controls for Federal Information Systems and

Organizations, and Special Publication 800-47 Security Guide for Interconnecting

Information Technology Systems; and

14. Federal and State Public Information Acts found at 5 USC 552 and 552a and Texas Government Code Chapter 552.

ARTICLE 5 – UNAUTHORIZED USE, STORAGE OR DISCLOSURE OF

INFORMATION

A. The Vendor will not access, use or disclose Sensitive Information other than to carry out the purposes for which DFPS disclosed the Sensitive Information, except as required by applicable law, or as otherwise authorized in writing by DFPS. For the avoidance of doubt, this provision prohibits the Vendor from using, for its own benefit, Sensitive Information or any information that may be derived from it. If required to disclose information by a court of competent jurisdiction or an administrative body, the Vendor will notify DFPS in writing as soon as possible upon receiving notice of such requirement and prior to any such disclosure, unless prohibited by law from doing so.

B. The Vendor transmission, transportation or storage of Sensitive Information (including cloud storage by a third-party vendor or subcontractor) outside of the United States, or access of Sensitive Information from outside the United States, is prohibited unless the Vendor obtains prior written authorization from DFPS.

C. If Vendor leverages its existing cloud-based services or acquires cloud-based services to perform under this Contract, Vendor must use the Federal Risk and

Authorization Management Program (FedRAMP) information security and privacy requirements (including security and privacy controls, and controls selected for continuous monitoring) for cloud services and notify the DFPS Contract Manager of the cloud-based services FedRAMP compliance level.

• The DFPS Contract Manager must be notified by the Vendor prior to using the cloud-base service.

• If the Vendor employed cloud-based services prior to their contract with DFPS, the DFPS Contract Manager must be notified of the systems current FedRAMP level.

• The Vendor must ensure that the cloud-based platform maintains FedRAMP compliance annually and report any major changes to the DFPS Contract

Manager.

FedRAMP is a government-wide program that provides a standardized approach to security assessment, authorization, and continuous monitoring for cloud products and services.

D. Notwithstanding any other requirement contained in this Contract, the Vendor acknowledges and agrees that DFPS owns all right, title and interest in any data or

Sensitive Information provided to Vendor that is related to any services the Vendor may provide under this Contract.

ARTICLE 6 – INFORMATION SECURITY PLAN

A. The Vendor will establish, maintain and comply with an information security plan

(“Information Security Plan”) which must contain, at a minimum, those elements set forth in this contract. The Vendor Information Security Plan will be designed to:

1. Ensure the security, integrity and confidentiality of Sensitive Information;

2. Protect against any known or anticipated threats or hazards to the security or integrity of such information;

3. Protect against unauthorized access to or use of Sensitive Information including use of an employee security acknowledgment or similar agreement;

4. Reduce risks associated with the Vendor having access to DFPS Information Resources through ongoing risk assessments;

5. Provide a plan for security incidents, disaster recovery, and business continuity; and

6. Comply with all applicable legal and regulatory requirements for data protection

B. On at least an annual basis, the Vendor will review its Information Security Plan and update and revise it as needed in order to incorporate new or revisions to controls based on new threats and technology improvements.

https://www.fedramp.gov/documents/

C. Upon reasonable notice, the Vendor must provide and cause its subcontractors and agents to provide to DFPS or its designee prompt, reasonable, and adequate access to any system security records or documents that are directly pertinent to the performance of the Contract including, but not limited to:

1. Vendor’s Information Security Plan, including information security policies and procedures;

2. Vendor logs of system, network or application violation reports;

3. Vendor’s employee security acknowledgement agreements; or

4. Lists of Vendor’s employees, subcontractors, and agents who have been authorized to have access to Sensitive Information under this Contract.

D. At least annually, the Vendor will conduct an audit such as System and Organization

Control (SOC) 2 Type II, AICPA SSAE 18 review, or an IT General Controls or

Application audit conducted by a certified auditor demonstrating that appropriate network and computing security safeguards and controls are in place and functioning properly. Additionally, the Vendor will conduct a vulnerability assessment such as a network penetration test by an external, third-party on an annual basis to validate network and computing security controls are in place and functioning properly.

The Vendor will provide, and will cause its subcontractors and agents to provide, to

DFPS, upon reasonable notice, current, written certification demonstrating that appropriate system, network, and data protection controls including those controls over data transfers and the handling of PII are in place and functioning properly.

Acceptable forms of written certification may also include:

1. The American Institute of Certified Public Accountants’ Statement on

Standards of Attestation Engagements 18 (SSAE 18) or similar subsequent report;

2. General Security Controls Audit performed within one year of DFPS’ request;

3. Application Controls Audit performed within one year of DFPS’ request;

Upon review of any documentation related to the system, network, or data security DFPS may require that Vendor make modifications that will ensure better protection of

Sensitive Information. However, DFPS review of or failure to review any Vendor documentation will not relieve, waive, or satisfy any of the Vendor’s obligations under this Contract.

ARTICLE 7 – RETURN OR DESTRUCTION OF SENSITIVE

INFORMATION

A. Within 30 days after the termination, cancellation, expiration, or other conclusion of this contract or contractual agreement between DFPS and the Vendor, the Vendor will return any and all information supplied by DFPS, unless DFPS requests in writing that such data be destroyed. This provision will apply to all DFPS information (including Sensitive

Information) that is in the possession of subcontractors or agents of the Vendor. This provision will also apply to DFPS information stored on routinely backed up media for disaster recovery purposes. Such destruction will be accomplished by “purging” or

“physical destruction,” in accordance with National Institute of Standards and

Technology (NIST) Special Publication 800-88. The Vendor will certify in writing to DFPS that such return or destruction has been completed. If the Vendor believes that return or destruction of the information is technically impossible or impractical, the Vendor must provide DFPS with a written statement of the reason that return or destruction by the

Vendor is technically impossible. If DFPS determines that return or destruction is technically impossible, the Vendor will continue to protect the information in accordance with the terms of this contract.

B. Data stored on routine back-up media for the purpose of disaster recovery will be subject to destruction in due course of normal Contractor operations. Latent data such as deleted files and other non-logical data types such as memory dumps, swap files, temporary files, printer spool files, and metadata that can customarily only be retrieved by computer forensic experts and are generally considered inaccessible without the use of specialized tools and techniques will not be within the requirement for the return or destruction of data as contemplated by this section. Such archival copies or latent data are subject to the obligations set forth in this Contract for so long as such copies may exist, but they shall remain protected as required by this Contract until they no longer exist.

C. Foster Care Litigation. IN ORDER TO COMPLY WITH ONGOING FOSTER CARE

LITIGATION INVOLVING DFPS, THE VENDOR MUST NOT DISPOSE OF OR

DESTROY RECORDS PERTAINING TO CHILDREN IN DFPS CONSERVATORSHIP

BEFORE PROVIDING DFPS’ CONTRACT MANAGER WRITTEN NOTICE OF ITS

INTENT TO DISPOSE OF OR DESTROY RECORDS AND RECEIVING WRITTEN

APPROVAL TO DO SO FROM DFPS’ CONTRACT MANAGER.

ARTICLE 8 – BREACHES

A. Reporting Breach: The Vendor must notify DFPS Contract Manager and Office of

Information Security (infosec@dfps.texas.gov) verbally and in writing of any confirmed or suspected breach of its systems that may affect Sensitive Information within one calendar day after discovery of a breach or of receiving notification of a breach. The

Vendor report will identify:

1. the nature of the unauthorized access, use or disclosure;

2. the information accessed, used or disclosed;

3. the person(s) who accessed, used, disclosed and/or received information (if known);

4. what the Vendor has done or will do to mitigate any deleterious effect of the unauthorized access, use or disclosure, and

5. What corrective action the Vendor has taken or will take to prevent future unauthorized access, use or disclosure

B. The Vendor must notify the DFPS Office of Information Security within 24-hours of discovery if the vendor experiences or suspects a breach or loss of PII or a security incident which includes SSA-provided information.

https://nvlpubs.nist.gov/nistpubs/SpecialPublications/NIST.SP.800-88r1.pdf

In the event of a confirmed or suspected breach, the Vendor will keep DFPS informed regularly as determined and required by DFPS of the progress of its investigation until the reported breach and all accompanying issues are resolved.

C. Investigation, Response and Mitigation: The Vendor will fully cooperate with DFPS’s investigation of any breach experienced by the Vendor. The Vendor’s full cooperation will include but not be limited to the Vendor:

1. immediately preserving any potential evidence relating to the breach;

2. promptly (but in no event no later than 48 hours after breach or notification of breach event occurred) designating a contact person to whom DFPS will direct inquiries, and who will communicate the Vendor’s responses to DFPS inquiries;

3. as rapidly as circumstances permit, applying appropriate resources to remedy the breach condition, investigate, document, restore DFPS service(s) as directed by

DFPS, and undertake appropriate response activities;

4. providing status reports to DFPS on breach response activities, either on a daily basis or a frequency required by DFPS;

5. Coordinating all media, law enforcement, or other breach notifications with

DFPS in advance of such notification(s), unless expressly prohibited by law;

6. Ensuring that knowledgeable Vendor staff is available at all times, if needed, to participate in DFPS-initiated meetings and/or conference calls regarding the breach; and

7. DFPS may direct Vendor to provide notification to individuals, regulators, or third-parties including consumer reporting agencies, if applicable, following a breach as required by 15

U.S.C. 7001 et seq. If requested to provide notification, Vendor must comply with all applicable legal and regulatory requirements for breach notification as provided to the vendor by DFPS. Vendor will have the burden of demonstrating to DFPS’ satisfaction that any required notifications the Vendor is asked to provide was timely made.

In the event of a breach involving Sensitive Information, DFPS may, at DFPS’ sole discretion and without limitation, do any or all the following:

a. Require that Vendor obtain cyber security, crime theft, and notification expense insurance coverage with policy limits sufficient to cover any liability arising under this Contract, naming the State of Texas through

DFPS as an additional named insured and loss payee with primary and non-contributory status;

b. Require that Vendor indemnify DFPS;

c. Require that Vendor defend DFPS in any court or administrative proceedings;

d. Assess liquidated or actual damages, sanctions, or remedies as permitted by the Contract or law.

D. Assistance in Litigation or Administrative Proceedings. The Vendor will make itself and any employees, subcontractors, or agents assisting the Vendor in the performance of its obligations available to DFPS at no cost to DFPS to testify as witnesses, or otherwise, in the event of a breach or other unauthorized disclosure of information caused by the

Vendor that results in litigation, governmental investigations, or administrative proceedings against DFPS.

ARTICLE 9 – M I N I M U M SYSTEM SECURITY STANDARDS

To the extent that the Vendor electronically stores or transmits Sensitive Information or has access to any DFPS Information Resources, it will include in its written, comprehensive

Information Security Plan the establishment and maintenance of a security system covering its computers, including any wireless system that, at a minimum, must include the following elements:

A. Secure user authentication protocols by including:

1. Control of user IDs and other identifiers;

2. A secure method of assigning and selecting passwords, or use of unique identifier technologies, such as biometrics or token devices;

3. Multi‐factor authentication for remote connections, like VPN access.

B. Password requirements where passwords must:

1. Contain:

a. both upper and lower case characters, such as: a-z, A-Z;

b. have digits and special characters as well as letters, such as: 0-9!@#$

2. Be at least eight characters long for standard user accounts and 14 characters for administrative accounts;

3. Not contain consecutive duplicate characters such as: 99 or BB;

4. Not contain consecutive-count numbers or letters such as: 1234 or ABCD;

5. Not be words found in any dictionary, including slang, dialect, jargon, and so on;

6. Not be based on personal information, names of family, and so on;

7. Be easily remembered. One way to do this is create a password based on a song title, affirmation, or other phrase. For example, the phrase might be: "This May Be

One Way to Remember" and the password could be: "TmB1w2R!" or "Tmb1W>r~" or some other variation;

8. Never be the same as your user ID.

a. Control of data security passwords to ensure that such passwords are kept in a location and/or format;

9. A requirement that passwords and personal identification numbers (PIN) must not be shared or written down;

10. A requirement that passwords must have an expiration period of at least every 90 days;

11. A requirement that users must change new or temporary passwords when they receive them. The network passwords must be set for one-time use to support this policy; and

12. Blocking access to user identification after multiple unsuccessful attempts to gain access or the limitation placed on access for the particular system.

C. Secure access control measures that:

1. Restrict access to records and files containing Sensitive Information and systems that may have access to DFPS Information Resources to those who need such information to perform their job duties;

2. Restrict access to active users and active user accounts only;

3. Assign unique identifications plus passwords, which are not vendor/manufacturer supplied default passwords, to each person with computer access;

4. Ensure review of account and account access levels every 12 months, at a minimum;

5. Ensure employee accounts are disabled upon termination; and

6. Ensure all access accounts established for subcontractors, vendors, and/or maintenance accounts are disabled and deleted upon termination or completion of the contract period; and

7. The Vendor must make every reasonable effort to prevent users from capturing, transmitting, and storing DFPS data on employee personal devices.

D. User Controls

1. Users must not purposely engage in activity that may circumvent computer security measures;

2. Users of Information Resources and Sensitive Information must not engage in any act that would violate this Contract;

3. Users must not alter, disable, or bypass virus protection software;

4. Automatic updates must be enabled on antivirus protection software.

5. Users are prohibited from installing unauthorized and pirated software on their desktop or laptop computer;

6. Users must be required to either log off or lock access to their workstations before leaving them unattended; and

7. All removable media must be scanned for malicious code content before use on any Vendor systems or networks.

E. Encryption

1. Sensitive Information transmitted over external network connections must be encrypted or otherwise similarly protected using HTTPS, FTPS, SFTP or equivalent means;

2. Minimum encryption requirements should be no less than 128 bit key for symmetric encryption and a 1024 (or larger) bit key length for asymmetric encryption;

3. Sensitive Information back-up data must be encrypted;

4. Any type of removable media that contains Sensitive Information must be encrypted and securely stored;

5. All Sensitive Information stored on removable media or portable storage devices must be encrypted using the standards contained in Federal Information Processing

Standards (FIPS) Publication 140-2. Removable media or portable storage devices must be scanned for malicious code content before use on any Vendor systems or networks.

https://nvlpubs.nist.gov/nistpubs/FIPS/NIST.FIPS.140-2.pdf

6. Emails transmitting any Sensitive Information must be encrypted;

7. Data-at-rest encryption must include the encryption of individual files, portions of the file system (e.g., directories or partitions), or the entire drive (e.g. hard disks or solid-state drives);and

8. Stored passwords must be encrypted.

F. Physical Controls:

1. Physical access to all restricted facilities or areas must be documented and managed

2. Physical security systems must comply with applicable regulations such as building codes and fire regulations;

3. Access to information resource facilities must be granted only to authorize personnel whose job responsibilities require access;

4. The process for granting access, by key card or otherwise, to information resource facilities must include the approval of the designated office or staff person responsible for the facility;

5. Access to secured facilities and key cards must not be shared or loaned;

6. Access materials and key cards that are no longer required must be returned;

7. Users must report lost or stolen access key cards to the building manager immediately upon becoming aware of the loss;

8. Secured facilities that allow visitor access must track that access with a sign in log;

9. Authorized staff must escort visitors to controlled facilities at all times;

10. Facilities must keep access records, entry and exit logs, and visitor logs; and

11. Designated staff must deactivate functional capabilities for an access key card upon termination of need

G. The Vendor must request a technical exception before a contract is signed if a requirement outlined in Article 9 is not technically feasible. These requests must be submitted to the DFPS Contract Manager. The DFPS Contract Manager will work with the DFPS CISO for approval.

ARTICLE 10 – CYBERSECURITY TRAINING

A. The Contractor will comply with Texas Government Code Section 2054.5192, and complete Cybersecurity Training. As directed by DFPS, Contractor will submit verification of completion and compliance with this Article to DFPS.

B. Contractor will ensure that it or each employee, subcontractor, volunteer, or agent completes if they had access to the following DFPS Systems on or after June 14, 2019:

1. Prevention and Early Intervention Reporting System (PEIRS);

2. Information Management Protecting Adults and Children in Texas (IMPACT);

3. Texas Adoption Resource Exchange (TARE); and

4. Childcare Licensing Automated Support Services (CLASS).

https://statutes.capitol.texas.gov/SOTWDocs/GV/htm/GV.2054.htm

C. The cybersecurity training requirements of this Section do not apply to the following

DFPS systems:

1. Automated Background Check System (ABCS);

2. Performance Management Evaluation Tool (PMET);

3. Performance Assessment Compliance Evaluation System (PACES);

4. GPS Placement Portal; and

5. DFPS Learning or Training Sites.

D. From June 14, 2019, and on an annual basis thereafter, Contractor certifies that it will ensure that all individuals who access one of the DFPS systems identified in Subsection B will complete one of the approved cybersecurity trainings certified by the Texas Department of Information Resources (DIR) at https://dir.texas.gov/View-

About- DIR/Information-Security/Pages/Content.aspx?id=154.

E. Contractor will maintain a list that includes each individual with access to one of the above identified systems, which system that individual accesses, and the date the individual completed the required DIR cybersecurity training.

F. Contractor will also maintain a record or other proof of completion of the required

Cybersecurity Training in the personnel file of each individual who accesses any of the above identified systems through this Contract.

G. If Contractor accesses a DFPS system not identified in Subsections A or B of this

Section, Contractor will contact the identified DFPS Contract Manager for further instructions.

ARTICLE 11 – CJIS MANAGEMENT CONTROL REQUIREMENT

Vendors and Contractors must complete DFPS CJIS Security Checklist with the DFPS Contract Manager to determine whether this Article applies. DFPS will notify any Contractor who must meet and follow the requirements of this Article.

DFPS is authorized by Chapter 411, Subchapter F of the Texas Government Code to receive criminal history record information (CHRI) from the Department of Public Safety (DPS).

The Department of Public Safety (DPS) serves as the CJIS Systems Agency for the State of

Texas. CJIS Systems Agency (CSA) is a duly authorized state, federal, international, tribal, or territorial criminal justice agency on the CJIS network providing statewide (or equivalent) service to its criminal justice users with respect to the Criminal Justice Information (CJI) from various systems managed by the FBI CJIS.

The primary method of storage of all criminal history record information (CHRI) for DFPS is electronically within the IMPACT application. CJIS information shared through communication mediums must be protected with appropriate security safeguards. The exchange of information may take several forms including electronic mail, instant messages, web services, facsimile, hard copy, and information systems sending, receiving and storing CHRI.

Pursuant to the FBI CJIS Security Policy, Contractor agrees that with respect to administration of that portion of computer systems and network infrastructure interfacing directly or indirectly with the DFPS Network for the interstate exchange of CJIS information, that DFPS will have the authority, via managed control, to set, maintain, and enforce:

1. Priorities;

2. Standards for the selection, supervision, and termination of personnel access CJI/CHRI;

3. Any Policy governing the operation of justice systems, computers, access devices, circuits, hubs, routers, firewalls, and any other components, including encryption, that comprise and support a telecommunications network and related criminal justice systems to include but is not limited to criminal history record/criminal justice information, insofar as the equipment is used to process or transmit criminal justice systems information guaranteeing the priority, integrity, and availability of service needed by the criminal justice community;

4. Restriction of unauthorized personnel from access or use of equipment accessing the DFPS network; and

5. Compliance with all rules and regulations, DFPS policies and CJIS Security Policy in the operation of all information received.

Per Section 5.1.1.4 of the FBI CJIS Security Policy, “…management control of the criminal justice function remains solely with the Criminal Justice Agency.”

This Article 11 covers the overall supervision of all DFPS systems, applications, equipment, systems design, programming, and operational procedures associated with the development, implementation, and maintenance of any DFPS system to include NCIC Programs that may be subsequently designed and/or implemented within the DFPS.

ARTICLE 12 – INJUNCTIVE RELIEF

The Vendor acknowledges and agrees that DFPS may suffer irreparable harm if the Vendor or its subcontractors fails to comply with any of the terms of these Requirements or applicable laws. The Vendor further agrees that monetary damages may be inadequate to compensate DFPS for the Vendor’s or its subcontractor’s failure to comply with these

Requirements. The Vendor agrees that DFPS will, in addition to any other remedies available to it at law or in equity, be entitled to seek injunctive relief without posting a bond and without the necessity of demonstrating actual damages to enforce the terms of these

Requirements.

Change log

Revision

Date

Revision Version

Revision Notes

Sections Affected

12/10/2019 Ver 1.1 Added cybersecurity training requirement • Article 10

4/1/2021

Ver 2

Major update

• Article 5

• Article 6

• Article 8

• Article 9

• Article 11

8/2021 Ver 2.1 • Article 10

Form F-500-4048 Revised May 2021

DFPS JANITOR, SECURITY GUARD, AND SHRED CONTRACTORS

BACKGROUND CHECK REQUEST FORM

Purpose: DFPS policies and FBI outsourcing standards require DFPS to perform criminal and abuse, neglect, and exploitation background checks on people authorized under a contract or agreement for services to access DFPS confidential information. Use this form to authorize DFPS to conduct background checks on DFPS janitors, security guards, and shred contractors who require access to DFPS resources, clients, and facilities.

Directions: The entities below complete the following steps:

1. The employer or performing contractor completes Section 1: Contractor Information and Section 2: Contractor Certifications.

2. The contractor completes Section 3: Subject of the Background Check, Section 4: Previous Places of Residence, Section 5: Fingerprint Check (for Shred contractors and anyone who has resided outside Texas in the past two years), and Section 7: Signature.

3. The employer or performing contractor submits the completed form to DFPS via email at extaccbgc@dfps.texas.gov.

4. Background Checks staff notifies the employer or performing contractor of the person’s clearance when the check is completed, typically in one to two weeks.

SECTION 1 CONTRACT INFORMATION

Name of the company or vendor:

HHSC contract manager:

HHSC contract number: Purchase order number: Contract tax ID number:

Company or vendor address: City: State: ZIP code:

Contact person to receive results of background checks (name and title):

Email address to receive results:

mailto:extaccbgc@dfps.texas.gov

SECTION 2 CONTRACTOR CERTIFICATIONS

As the authorized agent of the performing contractor u nder an agreement with DFPS for:

Shredding services Security services Janitorial services

I c ertify _____________________________(enter subject’s n ame) is a uthorized personnel under the terms o f the outsourcing standard and has a legitimate business need to acce ss DFPS resources, clients, or f acilities.

I have verified, by viewing the person's Social Security card or d river lice nse, that the information on this form contains no w illful misrepresentation and that the information is true and correct to th e best of my knowledge. I understand that DFPS may contact others to se ek proof of the information contained here, and that any willful misrepresentation or f ailure to p rovide information may be cause for d enial or r evocation of my contract.

Signature:

X Printed name: Date:

Title: Phone:

SECTION 3 SUBJECT OF THE BACKGROUND CHECK

Please enter N/A for items that are not applicable.

First name: Middle name:

No middle name

Last name:

Other names or spellings used (married, maiden, alias, etc.) – first, middle, last:

No other names

Home address: City: State: ZIP code:

County of residence: Date of birth: Phone number:

Social Security number (If no SSN, provide ID number from alternate document and name of the document.)

Driver license number and state:

Gender:

Male Female

Ethnicity:

Hispanic or Latino Not Hispanic or Latino

Race:

White Black Asian American Indian or Alaska Native Native Hawaiian or Pacific Islander

SECTION 4 - PREVIOUS PLACES OF RESIDENCE

Have you lived outside Texas in the past two years?

Yes No

List the complete addresses of other places you have lived and the dates (month and year) you lived there.

Include information for a minimum of the past two (2) years. Continue on the back if needed.

Full address (include city, state, and ZIP code):

From (MM/YYYY):

To (MM/YYYY):

SECTION 5 – FINGERPRINT CHECK

To be completed by all shred contractors and anyone who an swered “Yes” in Section 4.

All shred contractors and anyone who answered “Yes” to the question in Section 4 require an FBI fingerprint background check and must provide either an email address or phone number in this section.

If you provide an email address, you will receive electronic instructions for scheduling your fingerprinting appointment. If you do not provide an email address, you must contact extaccbgc@dfps.texas.gov to get the required information.

Preferred method of contact for scheduling fingerprint appointment:

Email:

Phone number:

SECTION 6 - PRIVACY STATEMENT

DFPS values your privacy. For more information, read our Privacy and Security Policy.

mailto:extaccbgc@dfps.texas.gov https://www.dfps.state.tx.us/policies/Website/

SECTION 7 SIGNATURE

I am the contractor w ho is the subject of this background check, and I agree to th e following (all checkboxes are required):

I understand that in performing my assigned job duties, I may have access to or may view documents that contain data or information that is considered confidential under law. I understand that I may not disclose, distribute, or communicate this information unless authorized.

I am aware of the requirements of the FBI Outsourcing Standard and the state and federal laws that apply to my assigned job duties. I understand my responsibilities to follow and maintain DFPS Information Security policies and procedures and to safeguard the confidentiality of DFPS information at all times.

I understand that violating these or other Information Security policies, procedures, or standards may subject me to prosecution under one or more applicable statutes, and I will no longer be allowed to perform my job duties for this contractor.

I understand that background checks are conducted on an annual basis for janitors, security guards, and shred contractors. I authorize DFPS to conduct a criminal history and DFPS abuse and neglect check each year that I have access to DFPS clients and resources.

I declare the information provided on this form is true and correct, and I understand that any misrepresentation or omission may result in my being barred from my job duties with this contractor.

I agree to immediately inform my employer if I am named in allegations, complaints, indictments, or convictions of felony or misdemeanor offenses, or if I am named in allegations of abuse, neglect, or exploitation.

I understand that I have the right to contest the information found in my criminal background checks.

I understand that by signing this Electronic Signature Acknowledgement form, it is equivalent to my handwritten signature and legally binding. Whenever I execute an electronic signature, it has the same validity and meaning as my handwritten signature. I will not, at any time in the future, repudiate the meaning of my electronic signature or claim that my electronic signature is not legally binding. I acknowledge and warrant the truthfulness of the information provided in this document.

Signature:

X

Date Signed:

Name of the company or vendor:

HHSC contract manager:

HHSC contract number:

Purchase order number:

Contract tax ID number:

Company or vendor address:

City:

State:

ZIP code:

Contact person to receive results of background checks name and title:

Email address to receive results:

enter subjects name is authorized personnel under the terms of the:

Printed name:

Date:

Title:

Phone:

First name:

Last name:

Home address:

City_2:

State_2:

ZIP code_2:

County of residence:

Date of birth:

Social Security number If no SSN provide ID number from alternate document and name of the document:

Driver license number and state:

Full address include city state and ZIP code:

From MMYYYY:

To MMYYYY:

Full address include city state and ZIP code_2:

From MMYYYY_2:

To MMYYYY_2:

Full address include city state and ZIP code_3:

From MMYYYY_3:

To MMYYYY_3:

Full address include city state and ZIP code_4:

From MMYYYY_4:

To MMYYYY_4:

I understand that I have the right to contest the information found in my criminal background checks: Off

Date Signed:

As the authorized agent of the performing contractor under an agreement with DFPS for:: Off

Middle name:

No middle name: Off

Other names or spellings used (married, maiden, alias, etc:

) – first, middle, last::

No other name: Off

Gender: Off

Ethnicity: Off

White: Off

Black: Off

Asian: Off

American Indian or Alaska Native: Off

Native Hawaiian or Pacific Islander: Off

Have you lived outside Texas in the past two years: Off

Email:

Phone number:

Phone number_2:

I understand that in performing my assigned job duties, I may have access to or may view documents that contain data or information that is considered confidential under law:

I understand that I may not disclose, distribute, or communicate this information unless authorized: Off

I am aware of the requirements of the FBI Outsourcing Standard and the state and federal laws that apply to my assigned job duties:

I understand my responsibilities to follow and maintain DFPS Information Security policies and procedures and to safeguard the confidentiality of DFPS information at all times: Off

I understand that violating these or other Information Security policies, procedures, or standards may subject me to prosecution under one or more applicable statutes, and I will no longer be allowed to perform my job duties for this contractor: Off

I understand that background checks are conducted on an annual basis for janitors, security guards, and shred contractors:

I authorize DFPS to conduct a criminal history and DFPS abuse and neglect check each year that I have access to DFPS clients and resources: Off

I declare the information provided on this form is true and correct, and I understand that any misrepresentation or omission may result in my being barred from my job duties with this contractor: Off

I agree to immediately inform my employer if I am named in allegations, complaints, indictments, or convictions of felony or misdemeanor offenses, or if I am named in allegations of abuse, neglect, or exploitation: Off

I understand that by signing this Electronic Signature Acknowledgement form, it is equivalent to my handwritten signature and legally binding:

Whenever I execute an electronic signature, it has the same validity and meaning as my handwritten signature:

I will not, at any time in the future, repudiate the meaning of my electronic signature or claim that my electronic signature is not legally binding:

I acknowledge and warrant the truthfulness of the information provided in this document: Off