Attachment_B_ITAR_Clauses.pdf

Sensitive Information Required Special Contract Terms (MARCH 2015)

SAFEGUARDING OF SENSITIVE INFORMATION (MAR 2015)

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

(b) Definitions. As used in this clause—

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

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

“Sensitive Information” is defined in HSAR clause 3052.204-71, Contractor Employee Access, as any information, which if lost, misused, disclosed, or, without authorization is accessed, or modified, could adversely affect the national or homeland security interest, the conduct of

Federal programs, or the privacy to which individuals are entitled under section 552a of Title 5, United States Code (the Privacy Act), but which has not been specifically authorized under criteria established by an Executive Order or an Act of Congress to be kept secret in the interest of national defense, homeland security or foreign policy. This definition includes the following categories of information:

(1) Protected Critical Infrastructure Information (PCII) as set out in the Critical Infrastructure

Information Act of 2002 (Title II, Subtitle B, of the Homeland Security Act, Public Law 107-

296, 196 Stat. 2135), as amended, the implementing regulations thereto (Title 6, Code of Federal

Regulations, Part 29) as amended, the applicable PCII Procedures Manual, as amended, and any supplementary guidance officially communicated by an authorized official of the Department of

Homeland Security (including the PCII Program Manager or his/her designee);

(2) Sensitive Security Information (SSI), as defined in Title 49, Code of Federal Regulations, Part 1520, as amended, “Policies and Procedures of Safeguarding and Control of SSI,” as amended, and any supplementary guidance officially communicated by an authorized official of the Department of Homeland Security (including the Assistant Secretary for the Transportation

Security Administration or his/her designee);

(3) Information designated as “For Official Use Only,” which is unclassified information of a sensitive nature and the unauthorized disclosure of which could adversely impact a person’s privacy or welfare, the conduct of Federal programs, or other programs or operations essential to the national or homeland security interest; and

(4) Any information that is designated “sensitive” or subject to other controls, safeguards or protections in accordance with subsequently adopted homeland security information handling procedures.

“Sensitive Information Incident” is an incident that includes the known, potential, or suspected exposure, loss of control, compromise, unauthorized disclosure, unauthorized acquisition, or unauthorized access or attempted access of any Government system, Contractor system, or sensitive information.

“Sensitive Personally Identifiable Information (SPII)” is a subset of PII, which if lost, compromised or disclosed without authorization, could result in substantial harm, embarrassment, inconvenience, or unfairness to an individual. Some forms of PII are sensitive as stand-alone elements. Examples of such PII include: Social Security numbers (SSN), driver’s license or state identification number, Alien Registration Numbers (A-number), financial account number, and biometric identifiers such as fingerprint, voiceprint, or iris scan. Additional examples include any groupings of information that contain an individual’s name or other unique identifier plus one or more of the following elements:

(1) Truncated SSN (such as last 4 digits)

(2) Date of birth (month, day, and year)

(3) Citizenship or immigration status

(4) Ethnic or religious affiliation

(5) Sexual orientation

(6) Criminal History

(7) Medical Information

(8) System authentication information such as mother’s maiden name, account passwords or personal identification numbers (PIN)

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

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

(1) DHS Management Directive 11042.1 Safeguarding Sensitive But Unclassified (for

Official Use Only) Information http://www.dhs.gov/dhs-security-and-training-requirements-contractors

(2) DHS Sensitive Systems Policy Directive 4300A

(3) DHS 4300A Sensitive Systems Handbook and Attachments

(4) DHS Security Authorization Process Guide

(5) DHS Handbook for Safeguarding Sensitive Personally Identifiable Information

(6) DHS Instruction Handbook 121-01-007 Department of Homeland Security Personnel

Suitability and Security Program

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

(8) DHS Privacy Incident Handling Guidance

(9) Federal Information Processing Standard (FIPS) 140-2 Security Requirements for

Cryptographic Modules accessible at http://csrc.nist.gov/groups/STM/cmvp/standards.html

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

Security and Privacy Controls for Federal Information Systems and Organizations accessible at http://csrc.nist.gov/publications/PubsSPs.html

(11) NIST Special Publication 800-88 Guidelines for Media Sanitization accessible at http://csrc.nist.gov/publications/PubsSPs.html

(d) Handling of Sensitive Information. Contractor compliance with this clause, as well as the policies and procedures described below, is required.

(1) Department of Homeland Security (DHS) policies and procedures on Contractor personnel security requirements are set forth in various Management Directives (MDs), Directives, and Instructions. MD 11042.1, Safeguarding Sensitive But Unclassified (For

Official Use Only) Information describes how Contractors must handle sensitive but unclassified information. DHS uses the term “FOR OFFICIAL USE ONLY” to identify sensitive but unclassified information that is not otherwise categorized by statute or regulation. Examples of sensitive information that are categorized by statute or regulation are PCII, SSI, etc. The DHS Sensitive Systems Policy Directive 4300A and the

DHS 4300A Sensitive Systems Handbook provide the policies and procedures on security for Information Technology (IT) resources. The DHS Handbook for Safeguarding

Sensitive Personally Identifiable Information provides guidelines to help safeguard SPII in both paper and electronic form. DHS Instruction Handbook 121-01-007 Department of

Homeland Security Personnel Suitability and Security Program establishes procedures, program responsibilities, minimum standards, and reporting protocols for the DHS

Personnel Suitability and Security Program.

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

(3) All Contractor employees with access to sensitive information shall execute DHS

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

http://csrc.nist.gov/publications/PubsSPs.html

(4) The Contractor’s invoicing, billing, and other recordkeeping systems maintained to support financial or other administrative functions shall not maintain SPII. It is acceptable to maintain in these systems the names, titles and contact information for the

COR or other Government personnel associated with the administration of the contract, as needed.

(e) Authority to Operate. The Contractor shall not input, store, process, output, and/or transmit sensitive information within a Contractor IT system without an Authority to Operate (ATO) signed by the Headquarters or Component CIO, or designee, in consultation with the

Headquarters or Component Privacy Officer. Unless otherwise specified in the ATO letter, the

ATO is valid for three (3) years. The Contractor shall adhere to current Government policies, procedures, and guidance for the Security Authorization (SA) process as defined below.

(1) Complete the Security Authorization process. The SA process shall proceed according to the DHS Sensitive Systems Policy Directive 4300A (Version 11.0, April 30, 2014), or any successor publication, DHS 4300A Sensitive Systems Handbook (Version

9.1, July 24, 2012), or any successor publication, and the Security Authorization Process

Guide including templates.

(i) Security Authorization Process Documentation. SA documentation shall be developed using the Government provided Requirements

Traceability Matrix and Government security documentation templates. SA documentation consists of the following: Security

Plan, Contingency Plan, Contingency Plan Test Results, Configuration

Management Plan, Security Assessment Plan, Security Assessment

Report, and Authorization to Operate Letter. Additional documents that may be required include a Plan(s) of Action and Milestones and

Interconnection Security Agreement(s). During the development of

SA documentation, the Contractor shall submit a signed SA package, validated by an independent third party, to the COR for acceptance by the Headquarters or Component CIO, or designee, at least thirty (30) days prior to the date of operation of the IT system. The Government is the final authority on the compliance of the SA package and may limit the number of resubmissions of a modified SA package. Once the ATO has been accepted by the Headquarters or Component CIO, or designee, the Contracting Officer shall incorporate the ATO into the contract as a compliance document. The Government’s acceptance of the ATO does not alleviate the Contractor’s responsibility to ensure the IT system controls are implemented and operating effectively.

(ii) Independent Assessment. Contractors shall have an independent third party validate the security and privacy controls in place for the system(s). The independent third party shall review and analyze the

SA package, and report on technical, operational, and management level deficiencies as outlined in NIST Special Publication 800-53

Security and Privacy Controls for Federal Information Systems and

Organizations. The Contractor shall address all deficiencies before submitting the SA package to the Government for acceptance.

(iii) Support the completion of the Privacy Threshold Analysis (PTA) as needed. As part of the SA process, the Contractor may be required to support the Government in the completion of the PTA. The requirement to complete a PTA is triggered by the creation, use, modification, upgrade, or disposition of a Contractor IT system that will store, maintain and use PII, and must be renewed at least every three (3) years. Upon review of the PTA, the DHS Privacy Office determines whether a Privacy Impact Assessment (PIA) and/or Privacy

Act System of Records Notice (SORN), or modifications thereto, are required. The Contractor shall provide all support necessary to assist the Department in completing the PIA in a timely manner and shall ensure that project management plans and schedules include time for the completion of the PTA, PIA, and SORN (to the extent required) as milestones. Support in this context includes responding timely to requests for information from the Government about the use, access, storage, and maintenance of PII on the Contractor’s system, and providing timely review of relevant compliance documents for factual accuracy. Information on the DHS privacy compliance process, including PTAs, PIAs, and SORNs, is accessible at http://www.dhs.gov/privacy-compliance.

(2) Renewal of ATO. Unless otherwise specified in the ATO letter, the ATO shall be renewed every three (3) years. The Contractor is required to update its SA package as part of the ATO renewal process. The Contractor shall update its SA package by one of the following methods: (1) Updating the SA documentation in the DHS automated information assurance tool for acceptance by the Headquarters or Component CIO, or designee, at least 90 days before the ATO expiration date for review and verification of security controls; or (2) Submitting an updated SA package directly to the COR for approval by the Headquarters or Component CIO, or designee, at least 90 days before the

ATO expiration date for review and verification of security controls. The 90 day review process is independent of the system production date and therefore it is important that the

Contractor build the review into project schedules. The reviews may include onsite visits that involve physical or logical inspection of the Contractor environment to ensure controls are in place.

(3) Security Review. The Government may elect to conduct random periodic reviews to ensure that the security requirements contained in this contract are being implemented and enforced. The Contractor shall afford DHS, the Office of the Inspector General, and other Government organizations access to the Contractor’s facilities, installations, operations, documentation, databases and personnel used in the performance of this contract. The Contractor shall, through the Contracting Officer and COR, contact the

Headquarters or Component CIO, or designee, to coordinate and participate in review and inspection activity by Government organizations external to the DHS. Access shall be provided, to the extent necessary as determined by the Government, for the Government to carry out a program of inspection, investigation, and audit to safeguard against threats and hazards to the integrity, availability and confidentiality of Government data or the function of computer systems used in performance of this contract and to preserve evidence of computer crime.

(4) Continuous Monitoring. All Contractor-operated systems that input, store, process, output, and/or transmit sensitive information shall meet or exceed the continuous monitoring requirements identified in the Fiscal Year 2014 DHS Information Security

Performance Plan, or successor publication. The plan is updated on an annual basis. The

Contractor shall also store monthly continuous monitoring data at its location for a period not less than one year from the date the data is created. The data shall be encrypted in accordance with FIPS 140-2 Security Requirements for Cryptographic Modules and shall not be stored on systems that are shared with other commercial or Government entities.

The Government may elect to perform continuous monitoring and IT security scanning of

Contractor systems from Government tools and infrastructure.

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

(6) Federal Reporting Requirements. Contractors operating information systems on behalf of the Government or operating systems containing sensitive information shall comply with Federal reporting requirements. Annual and quarterly data collection will be coordinated by the Government. Contractors shall provide the COR with requested information within three (3) business days of receipt of the request. Reporting requirements are determined by the Government and are defined in the Fiscal Year 2014

DHS Information Security Performance Plan, or successor publication. The Contractor shall provide the Government with all information to fully satisfy Federal reporting requirements for Contractor systems.

(f) Sensitive Information Incident Reporting Requirements.

(1) All known or suspected sensitive information incidents shall be reported to the Headquarters or Component Security Operations Center (SOC) within one hour of discovery in accordance with 4300A Sensitive Systems Handbook Incident Response and Reporting requirements. When notifying the Headquarters or Component SOC, the Contractor shall also notify the Contracting

Officer, COR, Headquarters or Component Privacy Officer, and US-CERT using the contact information identified in the contract. If the incident is reported by phone or the Contracting

Officer’s email address is not immediately available, the Contractor shall contact the Contracting

Officer immediately after reporting the incident to the Headquarters or Component SOC. The

Contractor shall not include any sensitive information in the subject or body of any e-mail. To transmit sensitive information, the Contractor shall use FIPS 140-2 Security Requirements for

Cryptographic Modules compliant encryption methods to protect sensitive information in attachments to email. Passwords shall not be communicated in the same email as the attachment.

A sensitive information incident shall not, by itself, be interpreted as evidence that the Contractor has failed to provide adequate information security safeguards for sensitive information, or has otherwise failed to meet the requirements of the contract.

(2) If a sensitive information incident involves PII or SPII, in addition to the reporting requirements in 4300A Sensitive Systems Handbook Incident Response and Reporting, Contractors shall also provide as many of the following data elements that are available at the time the incident is reported, with any remaining data elements provided within 24 hours of submission of the initial incident report:

(i) Data Universal Numbering System (DUNS);

(ii) Contract numbers affected unless all contracts by the company are affected;

(iii) Facility CAGE code if the location of the event is different than the prime contractor location;

(iv) Point of contact (POC) if different than the POC recorded in the System for

Award Management (address, position, telephone, email);

(v) Contracting Officer POC (address, telephone, email);

(vi) Contract clearance level;

(vii) Name of subcontractor and CAGE code if this was an incident on a subcontractor network;

(viii) Government programs, platforms or systems involved;

(ix) Location(s) of incident;

(x) Date and time the incident was discovered;

(xi) Server names where sensitive information resided at the time of the incident, both at the Contractor and subcontractor level;

(xii) Description of the Government PII and/or SPII contained within the system;

(xiii) Number of people potentially affected and the estimate or actual number of records exposed and/or contained within the system; and

(xiv) Any additional information relevant to the incident.

(g) Sensitive Information Incident Response Requirements.

(1) All determinations related to sensitive information incidents, including response activities, notifications to affected individuals and/or Federal agencies, and related services (e.g., credit monitoring) will be made in writing by the Contracting Officer in consultation with the Headquarters or Component CIO and Headquarters or

Component Privacy Officer.

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

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

(i) Inspections,

(ii) Investigations, (iii)Forensic reviews, and

(iv) Data analyses and processing.

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

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

(1) The Contractor shall have in place procedures and the capability to notify any individual whose PII resided in the Contractor IT system at the time of the sensitive information incident not later than 5 business days after being directed to notify individuals, unless otherwise approved by the Contracting Officer. The method and content of any notification by the

Contractor shall be coordinated with, and subject to prior written approval by the Contracting

Officer, in consultation with the Headquarters or Component Privacy Officer, utilizing the DHS

Privacy Incident Handling Guidance. The Contractor shall not proceed with notification unless the Contracting Officer, in consultation with the Headquarters or Component Privacy Officer, has determined in writing that notification is appropriate.

(2) Subject to Government analysis of the incident and the terms of its instructions to the

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

(i) A brief description of the incident;

(ii) A description of the types of PII and SPII involved;

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

(iv) Steps individuals may take to protect themselves;

(v) What the Contractor and/or the Government are doing to investigate the incident, to mitigate the incident, and to protect against any future incidents; and

(vi) Information identifying who individuals may contact for additional information.

(i) Credit Monitoring Requirements. In the event that a sensitive information incident involves

PII or SPII, the Contractor may be required to, as directed by the Contracting Officer:

(1) Provide notification to affected individuals as described above;

and/or

(2) Provide credit monitoring services to individuals whose data was under the control of the Contractor or resided in the Contractor IT system at the time of the sensitive information incident for a period beginning the date of the incident and extending not less than 18 months from the date the individual is notified. Credit monitoring services shall be provided from a company with which the

Contractor has no affiliation. At a minimum, credit monitoring services shall include:

(i) Triple credit bureau monitoring;

(ii) Daily customer service;

(iii)Alerts provided to the individual for changes and fraud; and

(iv) Assistance to the individual with enrollment in the services and the use of fraud alerts; and/or

(3) Establish a dedicated call center. Call center services shall include:

(i) A dedicated telephone number to contact customer service within a fixed period;

(ii) Information necessary for registrants/enrollees to access credit reports and credit scores;

(iii)Weekly reports on call center volume, issue escalation (i.e., those calls that cannot be handled by call center staff and must be resolved by call center management or

DHS, as appropriate), and other key metrics;

(iv) Escalation of calls that cannot be handled by call center staff to call center management or DHS, as appropriate;

(v) Customized FAQs, approved in writing by the Contracting Officer in coordination with the Headquarters or Component Chief Privacy Officer; and

(vi) Information for registrants to contact customer service representatives and fraud resolution representatives for credit monitoring assistance.

(j) Certification of Sanitization of Government and Government-Activity-Related Files and

Information. As part of contract closeout, the Contractor shall submit the certification to the

COR and the Contracting Officer following the template provided in NIST Special Publication

800-88 Guidelines for Media Sanitization.

(k) Security Training Requirements.

(1) All users of Federal information systems are required by Title 5, Code of Federal

Regulations, Part 930.301, Subpart C, as amended, to be exposed to security awareness materials annually or whenever system security changes occur, or when the user’s responsibilities change.

The Department of Homeland Security (DHS) requires that Contractor employees take an annual

Information Technology Security Awareness Training course before accessing sensitive information under the contract. Unless otherwise specified, the training shall be completed within thirty (30) days of contract award and be completed on an annual basis thereafter not later than October 31st of each year. Any new Contractor employees assigned to the contract shall complete the training before accessing sensitive information under the contract. The training is accessible at http://www.dhs.gov/dhs-security-and-training-requirements-contractors. The

Contractor shall maintain copies of training certificates for all Contractor and subcontractor employees as a record of compliance. Unless otherwise specified, initial training certificates for each Contractor and subcontractor employee shall be provided to the Contracting Officer’s

Representative (COR) not later than thirty (30) days after contract award. Subsequent training certificates to satisfy the annual training requirement shall be submitted to the COR via e-mail notification not later than October 31st of each year. The e-mail notification shall state the required training has been completed for all Contractor and subcontractor employees.

(2) The DHS Rules of Behavior apply to every DHS employee, Contractor and subcontractor that will have access to DHS systems and sensitive information. The DHS Rules of Behavior shall be signed before accessing DHS systems and sensitive information. The DHS Rules of

Behavior is a document that informs users of their responsibilities when accessing DHS systems and holds users accountable for actions taken while accessing DHS systems and using DHS

Information Technology resources capable of inputting, storing, processing, outputting, and/or transmitting sensitive information. The DHS Rules of Behavior is accessible at http://www.dhs.gov/dhs-security-and-training-requirements-contractors. Unless otherwise specified, the DHS Rules of Behavior shall be signed within thirty (30) days of contract award.

Any new Contractor employees assigned to the contract shall also sign the DHS Rules of

Behavior before accessing DHS systems and sensitive information. The Contractor shall maintain signed copies of the DHS Rules of Behavior for all Contractor and subcontractor employees as a record of compliance. Unless otherwise specified, the Contractor shall e-mail copies of the signed DHS Rules of Behavior to the COR not later than thirty (30) days after contract award for each employee. The DHS Rules of Behavior will be reviewed annually and the COR will provide notification when a review is required.

(l) Privacy Training Requirements. All Contractor and subcontractor employees that will have access to Personally Identifiable Information (PII) and/or Sensitive PII (SPII) are required to take

Privacy at DHS: Protecting Personal Information before accessing PII and/or SPII. The training is accessible at http://www.dhs.gov/dhs-security-and-training-requirements-contractors.

Training shall be completed within thirty (30) days of contract award and be completed on an annual basis thereafter not later than October 31st of each year. Any new Contractor employees assigned to the contract shall also complete the training before accessing PII and/or SPII. The

Contractor shall maintain copies of training certificates for all Contractor and subcontractor employees as a record of compliance. Initial training certificates for each Contractor and subcontractor employee shall be provided to the COR not later than thirty (30) days after contract award. Subsequent training certificates to satisfy the annual training requirement shall be submitted to the COR via e-mail notification not later than October 31st of each year. The e-mail notification shall state the required training has been completed for all Contractor and subcontractor employees.

(End of Clause)

Accessibility Requirements (Section 508)

Section 508 of the Rehabilitation Act, as amended by the Workforce Investment Act of 1998

(P.L. 105-220) requires that when Federal agencies develop, procure, maintain, or use electronic and information technology (EIT), they must ensure that it is accessible to people with disabilities. Federal employees and members of the public who have disabilities must have equal access to and use of information and data that is comparable to that enjoyed by non-disabled

Federal employees and members of the public.

All EIT deliverables within this work statement shall comply with the applicable technical and functional performance criteria of Section 508 unless exempt. Specifically, the following applicable EIT accessibility standards have been identified:

Section 508 Applicable EIT Accessibility Standards

36 CFR 1194.21 Software Applications and Operating Systems, applies to all EIT software applications and operating systems procured or developed under this work statement including but not limited to GOTS and COTS software. In addition, this standard is to be applied to Web-based applications when needed to fulfill the functional performance criteria. This standard also applies to some Web based applications as described within 36 CFR 1194.22.

36 CFR 1194.22 Web-based Intranet and Internet Information and Applications, applies to all

Web-based deliverables, including documentation and reports procured or developed under this work statement. When any Web application uses a dynamic (non-static) interface, embeds custom user control(s), embeds video or multimedia, uses proprietary or technical approaches such as, but not limited to, Flash or Asynchronous Javascript and XML (AJAX) then 1194.21

Software standards also apply to fulfill functional performance criteria.

36 CFR 1194.24 Video and Multimedia Products, applies to all video and multimedia products that are procured or developed under this work statement. Any video or multimedia presentation shall also comply with the software standards (1194.21) when the presentation is through the use of a Web or Software application interface having user controls available.

36 CFR 1194.31 Functional Performance Criteria, applies to all EIT deliverables regardless of delivery method. All EIT deliverable shall use technical standards, regardless of technology, to fulfill the functional performance criteria.

36 CFR 1194.41 Information Documentation and Support, applies to all documents, reports, as well as help and support services. To ensure that documents and reports fulfill the required

1194.31 Functional Performance Criteria, they shall comply with the technical standard associated with Web-based Intranet and Internet Information and Applications at a minimum. In addition, any help or support provided in this work statement that offer telephone support, such as, but not limited to, a help desk shall have the ability to transmit and receive messages using

TTY.

Section 508 Applicable Exceptions

Exceptions for this work statement have been determined by DHS and only the exceptions described herein may be applied. Any request for additional exceptions shall be sent to the

COTR and determination will be made in accordance with DHS MD 4010.2. DHS has identified the following exceptions that may apply: 36 CFR 1194.3(b) Incidental to Contract, all EIT that is exclusively owned and used by the contractor to fulfill this work statement does not require compliance with Section 508. This exception does not apply to any EIT deliverable, service or item that will be used by any Federal employee(s) or member(s) of the public. This exception only applies to those contractors assigned to fulfill the obligations of this work statement and for the purposes of this requirement, are not considered members of the public.

Section 508 Compliance Requirements

36 CFR 1194.2(b) (COTS/GOTS products), When procuring a product, each agency shall procure products which comply with the provisions in this part when such products are available in the commercial marketplace or when such products are developed in response to a

Government solicitation. Agencies cannot claim a product as a whole is not commercially available because no product in the marketplace meets all the standards. If products are commercially available which meet some but not all of the standards, the agency must procure the product that best meets the standards. When applying this standard, all procurements of EIT shall have documentation of market research that identify a list of products or services that first meet the agency business needs, and from that list of products or services, an analysis that the selected product met more of the accessibility requirements than the non-selected products as required by FAR 39.2. Any selection of a product or service that meets less accessibility standards due to a significant difficulty or expense shall only be permitted under an undue burden claim and requires authorization from the DHS Office of Accessible Systems and

Technology (OAST) in accordance with DHS MD 4010.2.

All tasks for testing of functional and/or technical requirements must include specific testing for

Section 508 compliance, and must use DHS Office of Accessible Systems and Technology approved testing methods and tools. For information about approved testing methods and tools send an email to accessibility@hq.dhs.gov.

Information Assurance Requirements for TSA Government Acquisitions

(April 2016)

A. General Security Requirements

A.1. The Contractor shall comply with all Federal, Department of Homeland Security (DHS) and

Transportation Security Administration (TSA) security and privacy guidelines in effect at the time of the award of the contract, As well as those requirements that may be discretely added during the contract.

A.2. The Contractor shall perform periodic reviews to ensure compliance with all information security and privacy requirements.

A.3. The Contractor shall comply with all DHS and TSA security controls to ensure that the

Government's security requirements are met. These controls are described in DHS PD 4300A and TSA

MD 1400 series security policy documents and are based on the current National Institute of Standards and Technology (NIST) Special Publication (SP) 800-53 standards.

A.4. The Contractor shall include this guidance in all subcontracts at any tier where the subcontractor is performing the work defined in this statement of work (SOW).

mailto:accessibility@hq.dhs.gov

A.5. The Contractor shall ensure all staff have the required level of security clearance commensurate with the sensitivity of the information being accessed, stored, processed, transmitted or otherwise handled by the System or required to perform the work stipulated by the contract. At a minimum, all Contractor staff shall be subjected to a Public Trust background check and be granted a Public Trust clearance before access to the System or other TSA resources is granted.

A.6. The Contractor shall sign a DHS Non-Disclosure Agreement (NDA) within (30) calendar days of the contract start date.

A.7. The Contractor shall not release, publish, or disclose agency information to unauthorized personnel, and shall protect such information in accordance with the provisions of the pertinent laws and regulations governing the confidentiality of sensitive information.

A.8. The Contractor shall ensure that its staff follow all policies and procedures governing physical, environmental, and information security described in the various TSA regulations pertaining thereto, and the specifications, directives, and manuals for conducting work to generate the products as required by this contract. Personnel shall be responsible for the physical security of their area and government furnished equipment (GFE) issued to the contractor under the terms of the contract.

A.9. The Contractor shall make all system information and documentation produced in support of the contract available to TSA upon request.

B. Training Requirements

B.1. All Contractor employees, requiring system access, shall receive initial Organizational Security

Fundamentals Training within 60 days of assignment to the contract via the Online Learning Center

(OLC). Refresher training shall be completed annually thereafter.

B.2. The Contractor shall complete annual online training for Organizational Security Fundamentals and TSA Privacy training.

B.3. Role Based training is required for contract employees with Significant Security Responsibility

(SSR), whose job proficiency is required for overall network security within TSA, and shall be in accordance with DHS and TSA policy. The contractor will be notified if they have a position with significant security responsibility.

B.4. Individuals with SSR shall have a documented individual training and education plan, which shall ensure currency with position skills requirements, with the first course to be accomplished within 90 days of employment or change of position. The individual training plan shall be refreshed annually or immediately after a change in the individual’s position description requirements.

B.5. Information Secuirty and Privacy training supplied by the Contractor shall meet standards established by NIST and set forth in DHS and TSA security policy.

B.6. The Contractor shall maintain a list of all employees who have completed training and shall submit this list to the contracting officer representative (COR) upon request, or during DHS/TSA onsite validation visits performed on a periodic basis.

B.7. The contractor shall its employees review and sign the TSA Form 1403 Computer and Wireless

Mobile Device Access Agreement (CAA) prior to accessing IT systems.

https://team.ishare.tsa.dhs.gov/sites/OTWE3/OLC/OLC%20Home%20Page.aspx https://team.ishare.tsa.dhs.gov/sites/OTWE3/OLC/OLC%20Home%20Page.aspx

C. Configuration Management (hardware/software)

C.1. Hardware or software configuration changes shall be in accordance with the DHS Information

Security Performance Plan (current year and any updates thereafter), the DHS Continuous Diagnostics and Mitigation (CDM) Program to include dashboard reporting requirements and TSA’s Configuration

Management policy. The TSA Chief Information Security Officer (CISO)/Information Assurance and

Cyber Security Division (IAD) shall be informed of and involved in all configuration changes to the TSA

IT environment including systems, software, infrastructure architecture, infrastructure assets, and end user assets. The TSA IAD POC shall approve any request for change prior to any development activity occurring for that change and shall define the security requirements for the requested change. The COR will provide access to the DHS Information Security Performance Plan.

C.2. The Contractor shall ensure all application or configuration patches and/or Requests for Change

(RFC) have approval by the Technical Discussion Forum (TDF), Systems Configuration Control Board

(SCCB) and lab regression testing prior to controlled change release under the security policy document, TSA Management Directive (MD) 1400.3 Information Technology Security and TSA Information

Assurance (IA) Handbook, unless immediate risk requires immediate intervention. Approval for immediate intervention (emergency change) requires approval of the TSA CISO, SCCB co-chairs, and the appropriate Operations Manager, at a minimum.

C.3. The Contractor shall ensure all sites impacted by patching are compliant within 14 days of change approval and release.

C.4. The acquisition of commercial-off-the-shelf (COTS) Information Assurance (IA) and IA-enabled

IT products (to be used on systems entering, processing, storing, displaying, or transmitting “sensitive information”) shall be limited to those products that have been evaluated and validated, as appropriate, in accordance with the following:

The NIST FIPS validation program.

The National Security Agency (NSA)/NIST, National Information Assurance Partnership

(NIAP) Evaluation and Validation Program.

The International Common Criteria for Information Security Technology Evaluation

Mutual Recognition Agreement.

C.5. US Government Configuration Baseline and DHS Configuration Guidance

a) The provider of information technology shall certify applications are fully functional and operate correctly as intended on systems using the US Government Configuration Baseline (USGCB) and in accordance with DHS and TSA guidance.

1. USGCB Guidelines:

a. http://usgcb.nist.gov/usgcb_content.html

2. DHS Sensitive Systems Configuration Guidance

a. http://dhsconnect.dhs.gov/org/comp/mgmt/cio/iso/Pages/sscg.aspx

b) The standard installation, operation, maintenance, updates and/or patching of software shall not alter the configuration settings from the approved USGCB configuration. The information technology shall also use the Windows Installer Service for installation to the default “program files” directory and shall be able to discretely install and uninstall.

c) Applications designed for general end users shall run in the general user context without elevated system administration privileges.

http://usgcb.nist.gov/usgcb_content.html http://dhsconnect.dhs.gov/org/comp/mgmt/cio/iso/Pages/sscg.aspx

C.6. The Contractor shall establish processes and procedures for continuous monitoring of Contractor systems that contain TSA data/information by ensuring all such devices are monitored by, and report to, the TSA Security Operations Center (SOC). The Contractor shall perform monthly security scans on servers that contain TSA data, and shall send monthly scan results to the TSA IAD.

D. Risk Management Framework

This section is not applicable if contract has DHS Sensitive Information Required Special Contract

Terms (MARCH 2015), SAFEGUARDING OF SENSITIVE INFORMATION (MAR 2015)

D.1. The Security Authorization and Ongoing Authorization Process in accordance with NIST SP 800-

37 and SP 800-137 (current versions) is a requirement for all TSA IT systems, including General Support

Systems (e.g., standard TSA desktop, general network infrastructure, electronic mail), major applications and development systems (if connected to the operational network or processing, storing, or transmitting government data). These processes are documented in the NIST Risk Management Framework (RMF).

Ongoing Authorization is part of Step 6 “Monitoring” of the RMF. All NIST guidance is publicly available; TSA and DHS security policy is disclosed upon contract award with some exceptions, which are public facing (i.e., DHS Security and Training Requirements for Contractors).

D.2. A written Authorization to Operate (ATO) granted by the TSA Authorizing Official (AO) also known as TSA Chief Information Secuirty Officer (CISO) is required prior to processing operational data or connecting to any TSA network. The contractor shall provide all necessary system information for the security authorization effort.

D.3. TSA shall assign a security category to each IT system compliant with the requirements of

Federal Information Processing Standards (FIPS) Pub 199 Standards for Security Categorization of

Federal Information and Information Systems impact levels and assign security controls to those systems consistent with FIPS Pub 200 Minimum Security Requirements for Federal Information and Information

Systems methodology.

D.4. Unless the AO specifically states otherwise for an individual system, the duration of any

Accreditation shall be dependent on the FIPS 199 rating and overall residual risk of the system; the length can span up to 36 months.

D.5. The Security Authorization (SA)Package contains documentation required for Security

Authorizations and Ongoing Authorization. The package shall contain the following security documentation: 1) Security Assessment Report (SAR), 2) Security Plan (SP) or System Security

Authorization Agreement (SSAA), 3) Contingency Plan, 4) Contingency Plan Test Results, 5) Federal

Information Processing Standards (FIPS) 199 Security Categorization, 6) Privacy Threshold Analysis

(PTA), 7) E-Authentication, 8) Security Assessment Plan (SAP), 9) Authorization to Operate (ATO)

Letter, 10) Plan of Action and Milestones (POA&M), and 11) Ongoing Authorization Artifacts as required by the DHS Ongoing Authorization Methodology (current version). The SA package shall document the specific procedures, training, and accountability measures in place for systems that process personally identifiable information (PII). All security compliance documents shall be reviewed and approved by the CISO and the IAD, and accepted by the CO upon creation and after any subsequent changes, before they go into effect. Ongoing Authorization artifacts include monthly TRigger

Accountability Log (TRAL), monthly operating system scan results, application scans as directed, updated control allocation table (CAT), and associated memos as directed. All steps in the DHS

Information Assurance Compliance Systems (IACS) shall be completed correctly, thoroughly and in a timely manner for all steps of the RMF.

D.6. The contractor shall support the successful remediation of all identified system weaknesses and vulnerabilities that are identified as a result of the aforementioned security review process.

https://www.dhs.gov/dhs-security-and-training-requirements-contractors

D.7. The contractor shall submit and analyze monthly operating system vulnerability scans for the

DHS Information Security Performance Plan FISMA Scorecard. Vulnerabilities not remediated are generated into Plan of Action and Milestone (POA&M)s after 30 days.

E. Contingency Planning

Terms (MARCH 2015), SAFEGUARDING OF SENSITIVE INFORMATION (MAR 2015)

E.1. The Contractor shall develop and maintain a Contingency Plan (CP), to include a Continuity of

Operation Plan (COOP), to address circumstances whereby normal operations may be disrupted and thus require activation of the CP and/or COOP. are disrupted. The contractor’s CP/COOP responsibility relates only to the system they provide or operate under contract.

E.2. The Contractor shall ensure that contingency plans are consistent with template provided in the

DHS IACS Tool. If access has not been provided initially, the contractor shall use the DHS 4300A

Sensitive System Handbook, Attachment K IT Contingency Plan Template.

E.3. The Contractor shall identify and train all TSA personnel involved with COOP efforts in the procedures and logistics of the disaster recovery and business continuity plans.

E.4. The Contractor shall ensure the availability of critical resources and facilitate the COOP in an emergency situation.

E.5. The Contractor shall test their CP annually and retain records of the annual CP testing for review during periodic audits.

E.6. The Contractor shall record, track, and correct any CP deficiency; any deficiency correction that cannot be accomplished within one month of the annual test shall be elevated to IAD.

E.7. The Contractor shall ensure the CP addresses emergency response, backup operations, and recovery operations.

E.8. The Contractor shall have an Emergency Response Plan that includes procedures appropriate to fire, flood, civil disorder, disaster, bomb threat, or any other incident or activity that may endanger lives, property, or the capability to perform essential functions.

E.9. The Contractor shall have a Backup Operations Plan that includes procedures and responsibilities to ensure that essential operations can be continued if normal processing or data communications are interrupted for any reason.

E.10. The Contractor shall have a Post-disaster Recovery Plan that includes procedures and responsibilities to facilitate rapid restoration of normal operations at the primary site or, if necessary, at a new facility following the destruction, major damage, or other major interruption at the primary site.

E.11. The Contractor shall ensure all TSA data (e.g.,…