Attachment_01_Statement_of_Work_12-2-2015.pdf

HSTS02-16-R-OIA011 Statement of Work

TSA Pre✓® Application Expansion Page 1 of 59

Last Modified Date: 10/2012/2/2015

1. Statement of Work (Section J)

2. Purpose The purpose of this Statement of Work (SOW) is to identify the tasks necessary to develop, deliver, and deploy private sector application capabilities expanding the public’s enrollment opportunities for TSA Pre✓® through an

Other Transactional Agreement (OTA) awarded by TSA.

TSA Pre✓® Application Expansion Scope:

TSA requests ready-to-market solutions to add private sector application capabilities for the TSA Pre✓®

Application Program to increase the public’s enrollment access to the TSA Pre✓® program. As a secondary benefit, increasing enrollment access may lead to increasing scale for TSA Pre✓® and providing the ability for

TSA to identify known travelers.

Companies that want to propose a private sector application capability must demonstrate an ability to effectively market the TSA Pre✓® program to the flying public and successfully enroll and pre-screen a large population of applicants. This includes the ability to offer convenient and accessible enrollment options, reliably perform identity validation and verification as well as appropriately apply disqualifying criminal history convictions to pre-screen potential applicants prior to final government review for TSA Pre✓® eligibility.

3. Background TSA Pre✓® is a voluntary program which allows low-risk travelers to be eligible for expedited screening at U.S.

airports. TSA Pre✓® is an expedited screening program that allows pre-approved airline travelers to leave on their shoes, light outerwear and belt, keep their laptop in its case and their 3-1-1 compliant liquids/gels bag in a carry-on in select screening lanes. Travelers who choose not to enroll, or for some reason are not eligible, for TSA Pre✓® are not subject to any limitations on their travel and will instead, be processed through standard TSA screening before entering the controlled areas of airports. TSA also retains the authority to perform random screening on travelers who are authorized to receive TSA Pre✓® or other forms of physical screening.

The current TSA Pre✓® Application Program allows U.S. citizens, U.S. Nationals and lawful permanent residents to directly enroll in TSA Pre✓®. Once approved, travelers will receive a "Known Traveler Number" (KTN) and may be eligible for TSA Pre✓® lanes at select security checkpoints when flying on participating carriers.

Currently, there are several ways for individuals to enroll for TSA Pre✓®. These channels include the current

Department of Homeland Security Trusted Traveler Programs, including TSA Pre✓® Application Program and the

U.S. Customs and Border Protection (CBP) Global Entry, SENTRI and NEXUS programs. In addition, certain other populations deemed to be low risk, such as certain Department of Defense personnel, are authorized to receive TSA Pre✓®.

In January 2013, TSA issued a Request for Information to conduct market research, technical demonstrations and testing of private sector capabilities to perform pre-screening of individuals for TSA Pre✓®. TSA requested that the respondents include the use of commercial, publicly available, and public records data (hereinafter collectively referred to as “commercial data”) and algorithms to validate identity and perform low-risk determinations at an acceptable standard of performance at the selected risk threshold. Although low-risk determinations were evaluated during market research, that element is not a requirement of this solicitation.

This initiative will expand enrollment into TSA Pre✓® by companies that receive Other Transactional Agreements

(OTAs) from TSA. TSA’s initiative with the companies awarded OTAs for the TSA Pre✓® program will allow these approved contractors to market, enroll and pre-screen individuals for TSA Pre✓® eligibility. TSA will make the final eligibility determination for actual TSA Pre✓® enrollment upon completion of TSA’s threat assessment of

TSA Pre✓® Application Expansion Page 2 of 59 an application that received successful pre-screened status and was forwarded by the pre-screening contractor.

TSA Pre✓® Application Expansion Approach:

Selected contractors shall receive an OTA from TSA to perform an initial, front-end pre- screening of applicants using proposed processes approved by TSA; of those applicants that qualify, TSA shall determine those applicants’ eligibility for TSA Pre✓® through TSA’s Security Threat Assessment (STA) process which includes U.S.

Citizenship and Lawful Permanent Resident (LPR) verification and terrorism-related database checks.

Contractors shall market TSA Pre✓® to potential applicants, in accordance with the TSA brand and approved licensing agreements, using their own industry partnerships and strategic business approaches, provide convenient and secure enrollment options and perform pre-screening of applicants to include identity validation and a criminal history records check using commercial data, publically available and/or public record data (hereinafter collectively referred to as “Commercial data”).

Further high-level information about these processes is below with more detailed information contained in Section

4.

Eligibility Evaluation (Pre-Screening) Contractors may use commercial data to conduct an eligibility evaluation (also known as pre-screening) of potential applicants. The eligibility evaluation shall include, at a minimum, validating identity and performing a criminal history records check to ensure that applicants do not have disqualifying convictions in conjunction with the TSA Pre✓® Application Program disqualifying offenses (please refer to the list of current disqualifiers available at http://www.tsa.gov/Disqualifying-Offenses-Factors).

Any solution used to perform pre-screening for identity validation and a criminal history records check must receive DHS approval, which will be based upon a DHS evaluation requiring testing and review of commercial data inputs during that process. If DHS determines that any particular commercial data inputs could potentially present disparate impacts to specific populations or unreasonably intrudes upon the personal privacy of the applicant, or is otherwise inappropriate, then DHS shall not approve those data inputs for use. The pre-screening process may consider some individual characteristics, such as race, sex, age, and nationality, but only to the extent appropriate and necessary to verify the identity of an applicant. It should not rely on or evaluate factors such as religion, financial status (e.g., credit ratings/scores, liens, bankruptcies, foreclosures, annual income), health records, constitutionally protected activity (e.g., social media use), or other records reflecting an individual’s socio-economic status.

Correction of Records (Redress) Based on Contractor’s Eligibility Evaluation

Applicants who are found to be ineligible by the contractor and/or systems shall be notified by the respective contractor of the reason. Information about the available correction of records process, if relevant, and other available channels for TSA Pre✓® enrollment (such as, but not limited to, the TSA Pre✓® Application Program or

U.S. Customs and Border Protection’s Global Entry Program), including any alternatives available for identity assurance shall be provided in the notification. Contractors shall be responsible for offering a correction of records process to applicants for any determination of ineligibility related to any pre-screening conducted by the Contractor.

Redress processes shall be approved by TSA prior to implementation and shall be incorporated into the OTA.

Contractor redress for the Contractor eligibility pre-screening is separate and TSA redress processes related to

TSA’s security threat assessment. TSA will not conduct the TSA security threat assessment for applicants unless the applicants have successfully completed the Contractor’s pre-screening checks.

Submission of Applications to TSA For successfully pre-screened applicants, Contractors shall provide minimum required data elements (to include, TSA Pre✓® Application Expansion Page 3 of 59 but not be limited to, name, date of birth, gender, address, contact information, and country of birth, identity documents, and biometrics - at a minimum fingerprints) to TSA, via a secure interface. TSA will determine final eligibility for TSA Pre✓® based upon checks against relevant government databases and watch lists. If TSA initially determines that an applicant is ineligible based upon the TSA-conducted checks, then TSA shall notify the applicant of their ineligibility and TSA redress procedures. If applicants call the Contractor regarding TSA related redress inquiries, then the Contractor shall provide the appropriate TSA contact information to the applicant.

Fee Remittance

For each application submitted to TSA, Contractors shall transmit a standard fee, per applicant, in accordance with the Government’s published fee notice, to TSA at the time of data transmission. As listed in the public fee notice, the fee will cover all of TSA’s pertinent program costs, to include performing the STA. The Contractor shall act as

TSA’s agent to collect and remit fees in accordance with guidelines from applicable program requirements and from the TSA Office of Revenue and Department of Treasury. The Contractor shall daily remit fees electronically to TSA as fees are collected via TSA Office of Revenue approved methods such as the use of Treasury’s online payment system, https://Pay.Gov form(s) and/or open collection interface (OCI).

The Contractor shall utilize all government banking services as TSA’s agent representative of the government as part of the fee collection and fee submission process following processes and forms approved by TSA and US

Treasury. The Contractor shall coordinate with the TSA Office of Revenue and TSA program office for approval to establish Fee Collection and Remittance procedures.

Submission of Criminally Disqualified Individuals to TSA

For individuals pre-screened by the Contractor and who were determined to be ineligible due to criminality, the

Contractor shall be required to send corresponding information about the denial to TSA. While TSA will not conduct a security threat assessment on these individuals, the denial information is required by TSA.

Privacy Requirements

This OTA relates to the TSA Pre✓® Application Program System of Records. The Contractor will be required to design, develop, or operate a system of records on individuals, to accomplish an agency function subject to the

Privacy Act of 1974, Public Law 93-579, December 31, 1974 (5 U.S.C. 552a) and applicable agency regulations.

Violation of the Act may involve the imposition of criminal penalties.

(a) The Contractor agrees to—

(1) Comply with the Privacy Act of 1974 (the Act) and the agency rules and regulations issued under the

Act in the design, development, or operation of any system of records on individuals to accomplish an agency function when the contract specifically identifies—

(i) The systems of records; and

(ii) The design, development, or operation work that the contractor is to perform;

(2) Include the Privacy Act notification contained in this contract in every solicitation and resulting subcontract and in every subcontract awarded without a solicitation, when the work statement in the proposed subcontract requires the redesign, development, or operation of a system of records on individuals that is subject to the Act; and

(3) Include this clause, including this paragraph (3), in all subcontracts awarded under this contract which requires the design, development, or operation of such a system of records.

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(b) In the event of violations of the Act, a civil action may be brought against the agency involved when the violation concerns the design, development, or operation of a system of records on individuals to accomplish an agency function, and criminal penalties may be imposed upon the officers or employees of the agency when the violation concerns the operation of a system of records on individuals to accomplish an agency function. For purposes of the Act, when the contract is for the operation of a system of records on individuals to accomplish an agency function, the Contractor is considered to be an employee of the agency.

(c)

(1) “Operation of a system of records,” as used in this clause, means performance of any of the activities associated with maintaining the system of records, including the collection, use, and dissemination of record.

(2) “Record,” as used in this clause, means any item, collection, or grouping of information about an individual that is maintained by an agency, including, but not limited to, education, financial transactions, medical history, and criminal or employment history and that contains the person’s name, or the identifying number, symbol, or other identifying particular assigned to the individual, such as a fingerprint or voiceprint or a photograph.

(3) “System of records on individuals,” as used in this clause, means a group of any records under the control of any agency from which information is retrieved by the name of the individual or by some identifying number, symbol, or other identifying particular assigned to the individual.

4. Technical Requirements/Tasks/Outcomes The Contractor shall provide enrollment services (including customer service) and applicant screening in support of expanding enrollment access by the general public to TSA Pre✓® benefit.

The sections below shall detail further the tasks required for the Contractor to (see also Attachment #1 2 - TSA

Pre✓® Application Expansion High Level Requirements_11_24_2015 for further detailed requirements):

Conduct Enrollment Activities o Online Pre-Enrollment Services o Identity Document Collection o In-Person Enrollment o Enrollment/Collection Personnel o In-Person Enrollment Location Logistics o Deployment Plan and Schedule

Conduct Identity Assurance Activities

Conduct Eligibility Evaluation o Criminal History Records Check o DHS Science and Technology Testing o Continuous Improvement o Contractor-Conducted Recurrent Eligibility Checks

Transmit and Reconcile Application Data and Fees o Submit Applications to TSA o Submission of Criminally Disqualified Individuals to TSA o Fee Remittance o Receive Application Status Data from TSA o Notify TSA of Applicant Data Changes

Provide Customer Service to Applicants

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Communications

Enrollment Opportunities Marketing

Data Storage and Usage

Support Future System or Operational Enhancements

4.1 Conduct Enrollment Activities

The Contractor shall deliver and maintain the infrastructure and framework (including but not limited to personnel, facilities, hardware, and connectivity) necessary to support all aspects of the enrollment and registration process.

The Contractor shall have the capability to collect, receive, store, and transmit applicant biographic and biometric

(at a minimum fingerprints) information for application processing.

Applicants have the option to submit biographic information and identity documents online. However, all applicants shall be required to complete the in-person enrollment process with the Contractor for identity verification and biometric collection.

During the initial contact, whether it is during either the optional pre-enrollment or in-person enrollment, Contractor must present a TSA-approved privacy statement and obtain express authorization from the applicant for all uses of personally identifiable information (PII). Additionally, the Contractor shall notify the applicant that the name on the application must exactly match the name on the applicant’s identity and proof of citizenship/immigration documents and be the name used when booking travel reservations.

No later than (NLT) 120 days from OTA award, the Contractor must be operationally ready to receive approval to begin enrolling applicants (i.e. launch operations) from TSA. This includes receiving an

Authority to Operate (ATO). In order to receive approval to launch operations, the Contractor must provide evidence that all operations and technology are established and meeting the requirements described in SOW Section 4.15. The deployment schedule will be determined by TSA and may not align directly with the Contractor’s operational readiness.

4.1.1 Online Pre-Enrollment Services

The Contractor shall establish a web-based pre-enrollment interface and process that shall allow applicants the opportunity to provide enrollment data online. The website shall allow the individual to enter biographical information and upload identity documents. A list of required data elements can be found in Attachment #2 3 –

TSA PreCheck Application Expansion Technical Overview Document v1.0.

The web-based pre-enrollment should include error-checking routines to help eliminate common input errors and ensure completeness of the application.

Additionally, the Contractor shall have the flexibility to propose a telephonic pre- enrollment capability on top of the required applicant self-service web pre-enrollment capability.

Telephonic pre-enrollment allows applicants who are unable to pre-enroll online (via the web), the option to pre-enroll by phone. Typically, this is accomplished with a live customer service representative, but may be possible via an advanced interactive voice response (IVR) system that is able to capture applicant biographic data accurately.

Customer service representatives are required to undergo the same training and background checks as on-site staff, if they have access to applicant data/PII.

Please note that while the Contractor is required to provide a pre-enrollment capability, applicants shall not be required to pre-enroll.

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4.1.2 Identity Document Collection

The Contractor shall collect identity documents from the applicant using the TSA Pre✓® Application Program list of identity documents available at:

http://www.tsa.gov/sites/default/files/precheckapplicationprogramrequiredid_factsheet_071615-508.pdf

Applicants may provide identity documents through one of the three options below:

1. Prior to the in-person enrollment process by uploading through the pre-enrollment website

2. During the in-person enrollment process

3. After the in-person enrollment process by uploading through the pre-enrollment website

Whether identity documents are uploaded prior to or after the in-person enrollment, the applicant must bring a government-issued photo ID to complete the in-person enrollment process.

The Contractor shall propose an approach for identity document authentication and a process for handling potentially fraudulent documents. The proposed approach and process shall be compliant with NIST 800-63

Assurance Level 3. (See Page 34 http://nvlpubs.nist.gov/nistpubs/SpecialPublications/NIST.SP.800-63-2.pdf).

The contractor may propose citizenship verification methods that may not require all the above listed TSA required documents. These alternate identification and proof of citizenship verification methods must be able to effectively verify an applicant’s citizenship status as either a U.S. Citizen or Lawful Permanent Resident.

4.1.3 In-Person Enrollment

The Contractor shall provide, at a minimum, enrollment services that include staffing and operations of in-person enrollment sites. The Contractor may also propose, and TSA may consider, equally secure alternatives to in-person enrollment. The staff at the in-person enrollment site is referred to as “on-site staff”.

Applicants have the option to provide biographical information and identity documents via a pre-enrollment website and appear in-person at Contractor enrollment sites to complete the enrollment process, or they may complete the entire enrollment process in- person.

Enrollment procedures at in-person enrollment centers may include but are not limited to any combination of identity verification, confirmation of application/enrollment data, submission of biometrics, and fee collection.

During the in-person enrollment process, the Contractor shall:

1) Capture required Personally-Identifiable Information (PII) and/or confirms PII entered during pre-enrollment.

2) Collect the required biometric data (at a minimum fingerprints compliant with the FBI’s Electronic Biometric

Transmission Specification version 10.0).

3) Verify the applicant’s identity with the identity documents presented. Please note that while the applicant is required to provide identity documents to complete the application process, the documents may be uploaded in advance of the in-person enrollment process or after. At a minimum, the applicant must provide a government-issued photo ID to the in-person enrollment.

- If an applicant uploads documents in advance of the in-person enrollment process, the Contractor shall review the uploaded document(s) and verify identity during the in-person process.

- If an applicant uploads documents either before or after the in-person enrollment process, then the Contractor shall review and validate the content of the identity documents before processing the application.

http://www.tsa.gov/sites/default/files/precheckapplicationprogramrequiredid_factsheet_071615-508.pdf http://nvlpubs.nist.gov/nistpubs/SpecialPublications/NIST.SP.800-63-2.pdf

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4.1.3.1 Biometrics Collection

The Contractor shall electronically collect fingerprints. Fingerprints captured must be compliant with the FBI’s

Electronic Biometric Transmission Specification version 10.0. Please reference https://www.fbibiospecs.cjis.gov/EBTS/Approved for details.

The Contractor shall be required to capture 10-prints and adhere to the acceptable quality metrics for each approach as defined in Section 4.10.1, #1(d). Inability to adhere to the acceptable quality metrics could result in the re-enrollment of an applicant. The Contractor shall also provide alternative options for individuals unable to provide fingerprints. Contractor procedures for fingerprint collection and transmission shall be provided to TSA for approval. The Contractor shall provide a rationale for the chosen biometrics capture approach, including performance metrics such as efficiency and effectiveness.

The collection of fingerprints must be compliant with the NIST Special Publication 800-76-1. NIST Fingerprint

Image Quality (NFIQ) scores should be used to provide a real-time quality assessment and indicate if reacquisition of the images is needed. For all enrollments submitted to TSA, the contractor shall be required to meet the prescribed fingerprint quality performance metrics as detailed in section 4.10.1. Contractors will be required to track and report on NFIQ scores for all biometrics submitted to TSA on a monthly basis.

In addition to the fingerprint submission requirement, the Contractor may propose other biometric modalities for consideration of future capabilities by TSA. The Contractor shall describe the means in which the collected biometrics data will be transmitted to TSA.

4.1.3.2 Applicant Identity Verification

Currently, TSA accepts the following list of identity documents for the TSA Pre✓® Application Program:

http://www.tsa.gov/sites/default/files/precheckapplicationprogramrequiredid_factsheet_071615- 508.pdf

The Contractor shall propose to accept all or a subset of the TSA Pre✓® Application Program identity documents.

Identity verification shall be compliant with NIST 800-63 Assurance Level 3. (See Page 34 http://nvlpubs.nist.gov/nistpubs/SpecialPublications/NIST.SP.800-63-2.pdf).

Applicants are required to provide a government issued photo ID during in-person enrollment process to allow for in-person identity verification. However, additional documents such as immigration and secondary forms of documentation may be uploaded outside the in-person enrollment process. The contractor may propose citizenship verification methods that may not require all the above listed TSA required documents. These alternate identification and proof of citizenship verification methods must be able to effectively allow TSA to verify an applicant’s citizenship status as either a U.S. Citizen or Lawful Permanent Resident; the contractor still shall capture the applicant’s government-issued photo ID, Alien Registration Number (if applicable), and transmit data regarding the verification process used to support the TSA STA process.

While the applicant shall have the flexibility to upload documents before or after the in- person enrollment process, the applicant must present a government-issued photo ID during in-person enrollment.

If an applicant uploads documents before the in-person enrollment process, then when the applicant appears at in-person centers to complete the enrollment process, on-site staff shall confirm that the documents uploaded visually match the identity of the individual appearing at the enrollment center and that the documents are certified, unexpired and valid (as applicable to the document). An original or certified copy of a document must be issued by a Federal, State, Tribal, county, municipal authority, or outlying possession bearing an official seal. Notarized copies of documents are not acceptable. If the applicant did not upload a government- issued photo ID, then the https://www.fbibiospecs.org/ebts.html http://nvlpubs.nist.gov/nistpubs/SpecialPublications/NIST.SP.800-63-2.pdf

TSA Pre✓® Application Expansion Page 8 of 59 on-site staff shall capture the photo ID during in-person enrollment. Documents must be certified, unexpired and valid at the time the enrollment documents are collected/verified during enrollment. Contractors should allow for data corrections/updates during the in-person enrollment process, ensuring that all applicant data is accurate and the data provided in the application matches exactly with the data listed on the identity documents.

If an applicant presents identity documents during the in-person enrollment process, then the on-site staff shall confirm the documents presented match the identity of the applicant and capture the documents (if not done previously).

If the applicant does not have all necessary documentation during in-person enrollment (for example, if the applicant has a driver’s license but forgot to bring their birth certificate), then the on-site staff will capture the photo ID only. The applicant shall be required to upload any outstanding identity document(s) before their application can proceed further. Once the outstanding identity document(s) have been uploaded, the Contractor shall validate and verify identity by comparing the information on the government-issued photo ID captured during in-person enrollment with the identity document(s) uploaded by the applicant. If any discrepancies exist between documents, the applicant shall be required to resolve the issues before their application can proceed further.

Please note that Identity Verification is a subset of the Identity Assurance Activities as described in Section 4.2 –

Conduct Identity Assurance Activities.

4.1.4 Enrollment/Collection Personnel

The Contractor shall staff their locations with qualified and trained personnel, known as on-site staff. The

Contractor shall be responsible to ensure efficient background investigations prior to hiring. The Contractor must also provide its employees' security training prior to access to TSA physical and logical resources.The Contractor shall be responsible to train their employees and ensure efficient background investigations and security training has been completed prior to hiring. Each employee who requires access to TSA physical and logical resources shall be required to complete the TSA vetting process to include successful completion of a full STA (fingerprint based criminal history records check, citizenship, intelligence database check) and shall meet TSA Contractor

Personnel Entry On Duty requirements (see Special Requirements and Management Directive 2800.71). There is no cost to the Contractor associated with the vetting conducted as part of Management Directive 2800.71. Upon successful completion of the Management Directive 2800.71 vetting, the Contractor’s employee may will be issued a TSA PIV card. The Contractor may propose, and TSA may consider, alternate vetting and background checks for personnel if they include isolating the employee from the interactive capabilities of the vendor’s enrollment and TSA’s Information Technology systems and no access to Sensitive PII. All Contractor personnel who require access to TSA physical and logical resources will be required to obtain a TSA Personal Identification

Verification (PIV) Card. Contractor personnel who do not require access to either TSA physical or logical resources would not be required to obtain a TSA PIV Card.

TSA physical access is defined as access to a government (DHS/TSA) facility. TSA logical access is defined as access to a government (DHS/TSA) IT system or IT equipment/systems used to collect or process information

(e.g. applicant information, DHS sensitive information, Sensitive Personally Identifiable Information) on behalf of

TSA whether Government Furnished Equipment (GFE) or Contractor Furnished Equipment (CFE).

4.1.4.1 Personnel Training Plan

The Contractor shall provide a Personnel Training plan for TSA review and approval. The plan shall include both theoretical and practical (i.e. on the job) training. At a minimum, training must include annual TSA Information

Security Awareness and Privacy training. The Personnel Training Plan shall detail the approach for initial, recurrent, and ongoing training.

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4.1.5 In-Person Enrollment Location Logistics

The Contractor shall propose an approach to determining enrollment center locations for TSA review and approval.

The Contractor shall set up enrollment locations in a way that shall protect applicant privacy and prevent inadvertent visual and aural disclosure of applicant information.

The Contractor’s system will need to comply with the DHS Sensitive Systems Policy Document (4300A) controls including physical controls. The waiver/exception process is always available to address Physical Security controls that cannot be implemented or whose cost would outweigh the benefit of the control.

4.1.6 Deployment Plan and Schedule

The Contractor shall propose a deployment plan and schedule which provides detailed explanations of realistic enrollment volume and milestone/schedule estimates for enrollment volume. These projections must take into consideration all of the Contractor’s enrollment and marketing activities. The Contractor shall describe how volume and time projections have been developed, including any empirical data used to determine projections, and propose a schedule to allow TSA to accommodate volume from the Contractor accordingly. TSA reserves the right to scale deployment, as necessary, to mitigate any risk to its vetting and screening operations.

4.2 Conduct Identity Assurance Activities

In order to confirm the identity of an applicant to the program, the Contractor shall conduct identity assurance (i.e.

to ensure that the applicant is who he/she is claiming to be).

In order to apply, individuals must provide Personally-Identifiable Information (PII) to the contractor as well as identity documents and fingerprints.

Please see Section 4.1 -Conduct Enrollment Activities for further details on the enrollment process. In-person identity verification is a required component of the identity assurance process.

The Contractor shall propose an identity assurance process, using the PII submitted by the applicant. For example, one option for identity assurance could include the use of Knowledge Based Authentication (KBA) quizzes.

After an applicant completes the in-person enrollment process, the Contractor may establish a “digital footprint” for the individual using commercial data to conduct identity assurance.

- This “digital footprint” must not use commercial data that unreasonably intrudes upon the personal privacy of an applicant. It may consider factors such as race, sex, age, and nationality only to verify the identity of the applicant. It should not rely on or evaluate factors such as religion, financial status, health records, constitutionally protected activity, or other records reflecting an individual’s socio-economic status. The “digital footprint” may be used only for the purpose of generating identity assurance.

- The process shall validate the applicant’s identity with a breadth of available public records which match the individual’s information. The deeper and broader the digital footprint, the higher the confidence that the applicant’s identity can be validated as known. Once a sufficient digital footprint has been developed, an additional layer of verification may be established to confirm identity. As mentioned previously, this additional layer of verification could include Knowledge Based Authentication (KBA) quizzes.

- Applicants will be permitted to take a KBA twice within 24 hours if there is a failure.

If the applicant is unable to successfully complete the identity assurance process, then the Contractor shall not

TSA Pre✓® Application Expansion Page 10 of 59 submit the application to TSA and, instead, shall provide to the applicant other options to receive the TSA Pre✓® benefit (such as, but not limited to, the TSA Pre✓® Application Program or U.S. Customs and Border Protection’s

Global Entry Program).

Commercial data elements used for the identity assurance activities must undergo DHS review prior to use. As part of the test and evaluation/approval process, the Contractor shall be tested on a variety of identity/credentialing falsification or evasion techniques. Each Contractor shall be tested on the same set of scenarios. Further tests will be conducted as part of continuous evaluation to ensure that previously undiscovered vulnerabilities are closed as various falsification, evasion, or spoofing techniques evolve.

4.3 Conduct Eligibility Evaluation

The Contractor shall also use the PII submitted by the applicant to perform a pre-screening eligibility evaluation based on a criminal history records check.

4.3.1 Criminal History Records Check

After the identity assurance process has been successfully completed, the Contractor shall search commercial data or other sources for evidence of convictions for disqualifying crimes. Commercial data elements used for the criminal history records check must undergo DHS review prior to use. The Contractor- shall describe all data sources, commercial or governmental, utilized to determine that all criminal history associated with an applicant has been evaluated.

The Contractor shall perform a criminal history records check against Parts A, B, and C of the disqualifying offenses currently used for the TSA Pre✓® Application Program available at: http://www.tsa.gov/Disqualifying-

Offenses-Factors

The Contractor shall have the ability to disqualify applicants based on the current TSA Pre✓® disqualification list and the ability to comprehensively find and evaluate all pertinent information necessary to achieve an acceptable standard of performance that all criminal history associated with an applicant has been evaluated. Per the TSA Parts A and B of the current disqualifying offenses, this includes Permanent Disqualifying Criminal Offenses, in which a person is disqualified if he or she was convicted or found not guilty by reason of insanity for any of the felonies listed, and Interim Disqualifying Criminal Offenses, in which a person is disqualified if he or she was convicted or found not guilty by reason of insanity within the previous seven years or was released from prison in the last five years for any of the felonies listed. Part C states that a person will be disqualified if he or she is wanted or under indictment in any civilian or military jurisdiction for a felony listed under Part A or Part B until the want or warrant is released or the indictment is dismissed.

The Contractor shall have the ability to adjust their processes for performing the criminal history records check, based on new criteria for criminal disqualifying information as provided by TSA, within a reasonable period of time to be determined by TSA.

The Contractor shall notify the applicant of their potential ineligibility and how to apply for redress in the event a potentially disqualifying crime is found. The Contractor shall be responsible for providing redress to applicants with potentially disqualifying information; the Contractor shall review information provided by applicants to the

Contractor for redress and correction of record for the Contractor’s preliminary eligibility review. It will be incumbent upon the applicant to obtain corrected records for reconsideration by the Contractor. If corrected records are successfully presented by the applicant, then the Contractor shall continue processing of the application. If the individual is ultimately denied based upon criminality, then the Contractor shall provide the denial information to

TSA.

Specifics Regarding FBI Criminal History Records Checks

Any proposed approaches for conducting the criminal history records check which involve the utilization of Federal

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Bureau of Investigations (FBI) databases shall not involve transmission of data records to TSA for the purpose of transmission to the FBI. TSA will not be responsible for transmitting any data requests, on behalf of contractors, to the FBI. Contractors who choose to propose an FBI-based criminal history records check must have the capability to send records directly to the FBI and interface with TSA to receive the results as the FBI shall pass criminal history results to TSA (in accordance with FBI direct channeling policy). Once the criminal history results are received from TSA, Contractors shall begin adjudication. TSA shall not conduct any adjudication of criminal history data but instead shall only be a conduit for the Contractor to receive FBI criminal history. An interface control document related to the receipt of criminal history results shall be provided after contract award.

Contractors that propose an FBI criminal history records check as part of their proposed solution shall follow the below process:

Fingerprints Collection

The Contractor shall electronically collect ten-finger fingerprints. Fingerprint collection shall be in accordance with FBI Electronic Biometric Transmission Standards (EBTS). See www.fbibiospecs.org and www.fbi.gov/hq/cjisd/iafis/cert.htm for current FBI fingerprint capture and equipment specifications.

Contractors’ procedures for fingerprint collection and transmission shall be provided to TSA for approval in accordance with SOW Section 4.1.3.1 – Biometrics Collection.

FBI Direct Channeling

The Contractor may propose a solution that utilizes the FBI fingerprint-based criminal history records check process to obtain criminal history information for TSA Pre® applicants. If the Contractor’s solution relies on TSA authorization to submit requests to the FBI, the Contractor, or their subcontractor at a minimum, shall be an authorized direct channeler and have previous experience submitting fingerprints to the FBI prior to acting as the direct channeler in support of TSA. Should the Contractor end the arrangement with a sub-contractor direct channeler, the Contractor must replace the direct channeler with another FBI-approved direct channeler with previous experience submitting fingerprints to the FBI as an approved direct channeler. The Contractor shall schedule, coordinate and conduct activities for transition to the new subcontractor/direct channeler with the FBI and TSA. Notification of the change must be provided to TSA in advance and the replacement approved by TSA at minimum 60 days prior to the change unless otherwise authorized by TSA.

Fingerprint and Criminal History Records Information (CHRI) Transmission

If the Contractor’s solution relies on TSA authorization to submit requests to the FBI, the Contractor will submit fingerprints to the FBI as a direct channeler, receive CHRI results, and perform the criminal history check prior to submitting an enrollment and fingerprints to internal TSA systems or to systems authorized by TSA, as part of the enrollment package. The Contractor shall:

Submit fingerprints electronically directly to the FBI, CJIS as an FBI authorized direct channeler ensure the following:

o Fingerprints electronically compliant with FBI EBTS o Fingerprint acknowledgements

Submit a second set of fingerprints required by the FBI or TSA authorized entity due to poor quality rejection in accordance with FBI EBTS specifications as a direct channeler.

http://www.fbibiospecs.org/ http://www.fbi.gov/hq/cjisd/iafis/cert.htm

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When acting as a direct channeler, the Contractor shall receive acknowledgements of receipt of fingerprint transmission from CJIS. The Contractor shall also receive the responses including any associated CHRCs from CJIS.

The Contractor shall manage the need for any FBI name-based checks for those individuals whose fingerprints could not be processed by FBI.

The Contractor shall have the ability to resubmit fingerprints to the FBI CJIS due to quality issues, or as required for subsequent criminal history record checks if required by TSA.

The financial responsibility for transmission of fingerprints and receipt of CHRI is between the Offeror and FBI CJIS.

Procedures for fingerprint collection and transmission shall be provided to TSA for awareness and approval.

FBI Fee Reconciliation

As a direct channeler, the Contractor shall be financially responsible for all FBI fingerprint processing fee transactions directly with the FBI. TSA shall not be accountable or assume financial responsibility for fees and invoicing between the FBI and the Contractor. The Contractor shall establish a financial collection and reconciliation process for TSA and FBI auditing purposes to include collection and reconciliation report(s). The reconciliation shall track all complete applications collected and submitted to the

Government.

The Contractor shall submit the FBI fingerprint processing fee directly to FBI CJIS as part of the direct channeler agreement between the Contractor and FBI CJIS per FBI fee requirements. The Contractor shall establish a Financial Collection and Reconciliation process which shall include a report that shall provide the following information but not be limited to:

o Track incoming enrollment applications with FBI submissions as well as associated FBI fees collected and transmitted to FBI (at summary level as well as individual record detail level) o Match individual records to FBI fee submitted o Establish a process to reconcile any errors, report the errors and progress of the resolution

FBI Direct Channeling Authorities

1) If the Contractor’s solution relies on TSA authorization to submit requests to the FBI, the following are also applied and incorporated by reference:

o National Crime Prevention and Privacy Compact Council approval letter dated October 7, 2008;

o Criminal Justice Information Services (CJIS) Security Policy dated February 2011;

o Outsourcing Standard dated November 3, 2010; and o Outsourcing Table.

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2) The specific noncriminal justice administrative function of channeling functions as defined in the

Outsourcing Standard to be performed by the Contractor that involves access to Criminal History Records

Information on behalf of TSA are to:

o Receive noncriminal justice applicant fingerprint submissions and collect associated fees;

o Ensure each fingerprint submission is properly and adequately completed;

o Electronically store and forward fingerprint transactions to the FBIs CJIS Division for national criminal history records checks;

o Receive electronic criminal history record check results from the FBI; and o Comply with all Outsourcing Standard requirements.

4.3.2 DHS Science and Technology Testing

No later than (NLT) 10 days after the Contractor’s oral presentation, the Contractor must be ready to begin evaluation by DHS Science & Technology (S&T) Directorate, with involvement from the DHS Office for Civil

Rights and Civil Liberties and the DHS Privacy Office, of the criminal history records check as referenced in SOW

Section 4.3.1, as well as any automated identity assurance functionality as referenced in SOW Section 4.2.

Notification by TSA of a contractor’s selection for DHS evaluation may not align directly with the contractor’s readiness for DHS evaluation.

DHS S&T will use the information provided by Offerors in Volume III to understand the algorithms used for identity assurance and criminal history checks, infrastructure and architecture framework, system specifications and participate in meetings to discuss algorithm(s) and system(s) as required. Offerors should be prepared to provide additional information during the DHS S&T testing and evaluation phase.

If DHS determines that any particular commercial data inputs could potentially present disparate impacts to specific populations or unreasonably intrudes upon the personal privacy of the applicant, or is otherwise inappropriate, then DHS shall not approve those data inputs for use.

4.3.3 Continuous Improvement

TSA shall require continuous improvement of any approved private sector solutions and a review process will be in place after OTA award whereby TSA must approve any changes to solutions for identity assurance or criminal history records check pre-screening, to include the addition or deletion of any data inputs, as well as any other system upgrades and review formulas. In order to approve changes to commercial data inputs, TSA may perform additional tests to determine the analytics capability of the solutions as well as any potential disparate impacts to specific populations or unreasonable privacy intrusions. It is expected that continuous improvement may also help

Contractors improve both their security performance and enrollment rates over the life of the agreement with TSA by allowing Contractors to work with continuously expanding and improving training data elements.

Continuous improvement will be a shared responsibility, meaning that contractors should identify areas where solution performance can improve and TSA will do the same. There may be situations where TSA will need to direct improvement (e.g. if false positives or false negative ratios are problematic) based on ongoing solution evaluation by the Government. Given that each company will have its own solution, requirements and frequency for continuous improvement will not necessarily be standard. TSA will not compensate contractors for any changes necessary to improve solution performance. Contractors will be required to make any necessary changes in order to continue providing enrollment and pre-screening services for customers on behalf of TSA.

Government personnel shall have unlimited access to commercial data and software/code. The Government reserves the right to fully understand how the solution source code functions to produce the desired pre-screening determination per person record. This would be for solution technical audit and compliance purposes 24/7.

"Unlimited access" is defined as: "while under the control of the contractor, the current configuration of the

TSA Pre✓® Application Expansion Page 14 of 59 solution's computer source code, and associated commercial input data can be demonstrated to government representatives at any specified time and for as long as it takes for the government representative to fully comprehend the functions and outputs of the solution. For the government representatives to do their job, unlimited access would apply to source code; executable code; input data; and/or executable files. Once understanding is achieved, the government will not retain, modify for their own use, or share the code and/or associated input data.

This unlimited access applies to contractor/subcontractors' source code within the solution.

4.3.4 Contractor-Conducted Recurrent Eligibility Checks

The Contractor shall be capable of conducting recurrent eligibility evaluations and shall propose a recurrent applicant eligibility strategy. This recurrent eligibility capability shall include any changes as directed by TSA to criminal history records checks and may or may not be turned on at initial deployment as directed by TSA.

The Contractor shall make redress available to applicants with potentially disqualifying information as described in Section 4.3.1.

Regarding recurrent eligibility performed by the contractor after KTN issuance, TSA will provide a technical interface that allows the Contractor to “suspend” a TSA-issued KTN if recurrent eligibility results in potentially disqualifying information. The Contractor shall suspend the TSA-issued KTN at the time the disqualifying data is found, and then can turn off the suspension via the same technical interface if redress indicates the applicant should not be disqualified. The applicant will not have to re-enroll under this scenario. The Contractor shall notify TSA of any KTN suspensions based on recurrent eligibility.

4.4 Transmit and Reconcile Application Data and Fees

The Contractor shall integrate with TSA and US Treasury systems. Specific integration requirements are detailed below.

If the applicant does not successfully complete the Contractor's identity assurance and eligibility evaluation and is not passed to TSA, then the Contractor shall refund any fee charged to the applicant that was imposed to cover the

TSA fee. The Contractor shall not keep such charges and shall not offset such charges with a transaction processing fee.

No later than (NLT) 60 days from OTA award, the Contractor must be ready to begin integration/interface testing with TSA and TSA-required…