Mentor software_Solicitation.pdf

RFQ# 283-23-0628

Mentor Software Licenses

COMBINED SYNOPSIS

/SOLICITATION

Action Code: Combined Synopsis/Solicitation Date: 05/31/2023 Year: 2023 Contracting Office Zip Code: 20857 Classification Code: DA10 Contracting Office Address:

5600 Fishers Lane Rockville, MD 20857 Subject/Title: Mentoring Software License Subscription Proposed Solicitation Number: 283-23-0628 Closing Response Date: 06/13/2023 Contact Point(s): Ahmed Hassan, Contracting Officer Contract Award and Solicitation Number: TBD Contract Award Dollar Amount: TBD Contract Line-Item Number(s): TBD Contractor Award Date: TBD Contractor Name: TBD Description: TBD Set-aside Status: Small Business

This is a combined synopsis/solicitation for commercial items prepared in accordance with the format in Subpart 12.6 as supplemented with additional information included in this notice. This announcement constitutes the only solicitation; quotes/proposals are being requested and a separate written solicitation will not be issued.

PART I – ADMINISTRATION

The anticipated award/effective date of this Contract is July 1, 2023.

Introduction This is the Division of Contract Management (DCM) Request for Quotation (RFQ) to provide Mentoring Software License Subscription. The Government is issuing a competitive solicitation in accordance with the Federal Acquisition Regulations (FAR) Subpart 13 Simplified Acquisition Procedures. You are hereby invited to submit a quote in response to this RFQ. Respondents may submit a response in accordance with the instructions in this document. The resultant contract award will include all applicable provisions and clauses in effect through Federal Acquisition Circular 2023-03 Effective 05/26/2023

A. North American Classification System (NAICS) Code:

541512, Computer System Design Services with a Size Standard of 34 million.

B. Quote Due Date

1. The quote is due on June 13, 2023, by 12PM Eastern Standard Time.

C. Late Quote Provisions

1. Any quote, modification, or revision that is received at the designated

Government office after the exact date and time specified for receipt of quotes is “late” and will not be considered. Quotes received “late” will not be evaluated or considered for award.

2. If an emergency or unanticipated event interrupts normal Government processes so that quotes cannot be received at the Government office designated for receipt of quotes by the exact time specified in the solicitation, and urgent Government requirements preclude amendment of the solicitation closing date, the time specified for receipt of quotes will be deemed to be extended to the same time of day specified in the solicitation on the first work day on which normal Government processes resume.

PART II – GENERAL INFORMATION

A. General

1. You are invited to submit a quote in accordance with the instructions in this RFQ.

The resulting contract will be Firm Fixed Price. The quote will be evaluated in strict conformity with the evaluation factors, criteria, standards, and other non-cost factors as specified herein.

2. A response to the RFQ is not to be considered an offer that can be accepted by the Government to form a binding order. The actual award is considered the offer, by the Government to the contractor, and the contractor's written acceptance of the order or the commencement of performance under the order is the contractor's indication of their acceptance of the offer.

3. The RFQ does not commit the Government to pay for any cost for preparation and submission of a quote. In addition, the Contracting Officer is the only individual who can legally commit the Government to the expenditure of public funds in connection with this proposed acquisition.

4. The RFQ may be amended or canceled, as necessary, to meet the

Government’s requirements.

5. The FAR provision 52.212-1 – Instructions to Offerors – Commercial Items, applies to this acquisition and is hereby incorporated by reference.

6. In accordance with FAR provision 52.212-3 – Offeror Representations and

Certifications – Commercial Items, Offerors must complete annual representations and certifications on-line at https://www.sam.gov/portal/public/SAM/

7. FAR clause 52.212-4 – Contract Terms and Conditions – Commercial Items, applies to this acquisition.

8. FAR clause at 52.212-5, Contract Terms and Conditions Required to Implement Statutes or Executive Orders – Commercial Items, applies to this acquisition.

9. FAR Clause 52.217-9, Option to Extend the Term of the Contract (Mar 2000), applies to this acquisition.

PART III – INSTRUCTIONS

https://www.sam.gov/portal/public/SAM/

B. Quote Instructions:

1. Quotes must be emailed to the Contracting Officer, Ahmed Hassan at Ahmed.Hassan@samhsa.hhs.gov. Please reference the Solicitation Number 283-23-0628 for all communications and submissions.

2. Questions related to the RFQ shall be submitted to the Contracting Officer identified in Part I – Administration.

3. Price/Cost Quotes shall be submitted as Firm-Fixed Price.

4. All quotes shall contain the following:

a. Name of Contracting Organization.

b. Contract Number/RFQ Number (for subcontracts, provide the prime contract number and the subcontract number);

c. Contract Type; Firm Fixed Price

d. Total Contract Value and Discounts;

e. Description of Requirement;

f. North American Industry Classification System (NAICS) Code;

g. SAM Unique Entity ID CAGE Code and TIN Number;

h. Certification of business size;

i. Company’s Full Name and Address ;

j. Name, Telephone Number, and Email Address of Person Authorized to provide

Quote;

k. Any other information that is relevant to the award decision;

C. Basis for Award

1. Evaluations will be conducted in accordance with FAR 52.212-2, Evaluation – Commercial Items.

2. The evaluation will be based upon the demonstrated technical capabilities of the Offeror in relation to the needs of the requirement, as set forth in this RFQ and attached Statement of Need.

3. The Government intends to make an award to the best value technically acceptable response, although cost is required to be considered in every case.

4. The Offerors cost/price quote will be evaluated for reasonableness. For a price to be reasonable, it must represent a price to the government that a prudent person would pay when consideration is given to prices in the market.

5. An award will be made if the quote conforms to the requirements and is most advantageous to the Government. The Government reserves the right to reject any or all offers or any part thereof and to waive any minor informality or irregularity in offers received.

mailto:Ahmed.Hassan@samhsa.hhs.gov

All evaluation factors other than cost or price, when combined are significantly more important than cost or price.

6. A written notice of award or acceptance of an offer, mailed or otherwise furnished to the successful offeror within the time for acceptance specified in the offer, shall result in a binding contract without further action by either party. Before the offer’s specified expiration time, the Government may accept an offer (or part of an offer), whether or not there are negotiations after its receipt, unless a written notice of withdrawal is received before award.

FAR Clause 52.252-1 - Solicitation Provisions Incorporated by Reference (Feb 1998) This contract incorporates one or more clauses by reference with the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available.

FAR Clause 52.204-24 - Representation Regarding Certain Telecommunications and Video Surveillance Services or Equipment. Applicable clauses to this reference can be found under Attachment 3 – FAR Clause 52.204-24.

FAR Clause 52.204-25 Prohibition on Contracting for Certain Telecommunications and Video Surveillance Services or Equipment. Applicable clauses to this reference can be found under Attachment 4 – FAR Clause 52.204-25.

FAR Clause 52.212-4 – Contract Terms and Conditions – Commercial Items, applies to this contract.

FAR Clause at 52.212-5 – Contract Terms and Conditions Required to Implement Statutes or Executive Orders – Commercial Items, applies to this contract. Applicable clauses to this reference can be found under Attachment 5 – FAR Clause 52.212-5.

FAR Clause 52.215-8 – Order of Precedence-Uniform Contract Format, (October 1997).

FAR Clause 52.242-15 – Stop-Work Order (August 1989).

FAR Clause 52.242-17 – Government Delay of Work (April 1984)

FAR 52.227-14 – Rights in Data - Alternate IV (December 2007)

HHSAR Clause 352.224-70 Privacy Act (Dec 2015)

HHSAR Clause 352.227-70, Publications and Publicity (Dec 2015)

HHSAR Clause 352.232-71 Electronic Submission of Payment Requests

HHSAR Clause 352.239-73 Electronic Information and Technology Accessibility Notice (Dec 2015)

INFORMATION TECHNOLOGY APPLICATION DESIGN, DEVELOPMENT, OR SUPPORT

The Contractor (and/or any subcontractor) shall ensure IT applications designed and developed for end users (including mobile applications and software licenses) run in the standard user context without requiring elevated administrative privileges.

PART IV – Additional Clauses/Provisions

The Contractor (and/or any subcontractor) shall follow secure coding best practice requirements, as directed by United States Computer Emergency Readiness Team (US-CERT) specified standards and the Open Web Application Security Project (OWASP), that will limit system software vulnerability exploits.

The Contractor (and/or any subcontractor) shall ensure that computer software developed on behalf of HHS or tailored from an open-source product, is fully functional and operates correctly on systems configured in accordance with government policy and federal configuration standards. The contractor shall test applicable products and versions with all relevant and current updates and patches updated prior to installing in the HHS environment. No sensitive data shall be used during software testing.

The Contractor (and/or any subcontractor) shall protect information that is deemed sensitive from unauthorized disclosure to persons, organizations or subcontractors who do not have a need to know the information. Information which, either alone or when compared with other reasonably-available information, is deemed sensitive or proprietary by HHS shall be protected as instructed in accordance with the magnitude of the loss or harm that could result from inadvertent or deliberate disclosure, alteration, or destruction of the data. This language also applies to all subcontractors that are performing under this contract.

INFORMATION SECURITY AND/OR PHYSICAL ACCESS SECURITY

A. SECURITY REQUIREMENTS FOR GOVERNMENT-OWNED/CONTRACTOR-

OPERATED (GOCO) AND CONTRACTOR-OWNED/CONTRACTOR-OPERATED

(COCO) RESOURCES

1. Federal Policies. The Contractor (and/or any subcontractor) shall comply with applicable federal laws that include, but are not limited to, the HHS Information Security and Privacy Policy (IS2P), Federal Information Security Modernization Act (FISMA) of 2014, (44 U.S.C. 101); National Institute of Standards and Technology (NIST) Special Publication (SP) 800-53, Security and Privacy Controls for Federal Information Systems and Organizations; Office of Management and Budget (OMB) Circular A-130, Managing Information as a Strategic Resource; and other applicable federal laws, regulations, NIST guidance, and Departmental policies.

2. Security Assessment and Authorization (SA&A). A valid authority to operate (ATO) certifies that the Contractor’s information system meets the contract’s requirements to protect the agency data. If the system under this contract does not have a valid ATO, the Contractor (and/or any subcontractor) shall work with the agency and supply the deliverables required to complete the ATO within the specified timeline(s). The Contractor shall conduct the SA&A requirements in accordance with HHS IS2P, NIST SP 800-37, Guide for Applying the Risk Management Framework to Federal Information Systems: A Security Life Cycle Approach (latest revision).

SAMHSA acceptance of the ATO does not alleviate the Contractor’s responsibility to ensure the system security and privacy controls are implemented and operating effectively.

a. SA&A Package Deliverables - The Contractor (and/or any subcontractor) shall provide an SA&A package within agency specified timelines to the CO and/or COR. The following SA&A deliverables are required to complete the SA&A package:

• System Security Plan (SSP) – due 30 Days after award. The SSP shall comply with the

NIST SP 800-18, Guide for Developing Security Plans for Federal Information Systems, the Federal Information Processing Standard (FIPS) 200, Recommended Security Controls for Federal Information Systems, and NIST SP 800-53, Security and Privacy Controls for Federal Information Systems and Organizations applicable baseline requirements, and other applicable NIST guidance as well as HHS and SAMHSA policies and other guidance. The SSP shall be consistent with and detail the approach to IT security contained in the Contractor’s bid or proposal that resulted in the award of this contract. The SSP shall provide an overview of the system environment and security requirements to protect the information system as well as describe all applicable security controls in place or planned for meeting those requirements. It should provide a structured process for planning adequate, cost-effective security protection for a system. The Contractor shall update the SSP at least annually hereafter.

• Security Assessment Plan/Report (SAP/SAR) – due 30 Days after award. The security assessment shall be conducted by the assessor and be consistent with NIST SP 800- 53A, NIST SP 800-30, and HHS and OpDiv policies. The assessor will document the assessment results in the SAR. Thereafter, the Contractor, in coordination with SAMHSA shall assist in the assessment of the security controls and update the SAR at least annually.

• Independent Assessment – due 90 Days after award. The Contractor (and/or subcontractor) 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 Security Authorization package, and report on technical, operational, and management level deficiencies as outlined in NIST SP 800-53. The Contractor shall address all “high” deficiencies before submitting the package to the Government for acceptance. All remaining deficiencies must be documented in a system Plan of Actions and Milestones (POA&M).

• POA&M – due 30 Days after award. The POA&M shall be documented consistent with the HHS Standard for Plan of Action and Milestones and OpDiv policies. All high-risk weaknesses must be mitigated within 30 Days and all medium weaknesses must be mitigated within 60 Days from the date the weaknesses are formally identified and documented. SAMHSA will determine the risk rating of vulnerabilities. Identified risks stemming from deficiencies related to the security control baseline implementation, assessment, continuous monitoring, vulnerability scanning, and other security reviews and sources, as documented in the SAR, shall be documented and tracked by the Contractor for mitigation in the POA&M document. Depending on the severity of the risks, SAMHSA may require designated POAM weaknesses to be remediated before an ATO is issued. Thereafter, the POA&M shall be updated at least quarterly.

• Contingency Plan and Contingency Plan Test – due 60 Days after award. The

Contingency Plan must be developed in accordance with NIST SP 800-34, Contingency Planning Guide for Federal Information Systems, and be consistent with HHS and SAMHSA policies. Upon acceptance by the System Owner, the Contractor, in coordination with the System Owner, shall test the Contingency Plan and prepare a Contingency Plan Test Report that includes the test results, lessons learned and any action items that need to be addressed. Thereafter, the Contractor shall update and test the Contingency Plan at least annually.

• E-Authentication Questionnaire – The contractor (and/or any subcontractor) shall collaborate with government personnel to ensure that an E-Authentication Threshold Analysis (E-auth TA) is completed to determine if a full E-Authentication Risk Assessment (E-auth RA) is necessary. System documentation developed for a system using E-auth TA/E-auth RA methods shall follow OMB 04-04 and NIST SP 800-63, Rev.

2, Electronic Authentication Guidelines. The appropriate authentication level of assurance and authentication method required to access the information system, including remote authentication is as follows:

Level of Assurance: Level 3 Authentication Method: Two-Factor Based on the level of assurance determined by the E-Auth, the Contractor (and/or subcontractor) must ensure appropriate authentication to the system, including remote authentication, is in-place in accordance with the assurance level determined by the E- Auth (when required) in accordance with HHS policies.

b. Information Security Continuous Monitoring - Upon the government issuance of an

Authority to Operate (ATO), the Contractor (and/or subcontractor)-owned/operated systems that input, store, process, output, and/or transmit government information, shall meet or exceed the information security continuous monitoring (ISCM) requirements in accordance with FISMA and NIST SP 800-137, Information Security Continuous Monitoring (ISCM) for Federal Information Systems and Organizations, and HHS IS2P. The following are the minimum requirements for ISCM:

• Annual Assessment/Pen Test - Assess the system security and privacy controls (or ensure an assessment of the controls is conducted) at least annually to determine the implemented security and privacy controls are operating as intended and producing the desired results (this may involve penetration testing conducted by the agency or independent third- party. In addition, review all relevant SA&A documentation (SSP, POA&M, Contingency Plan, etc.) and provide updates by specified due date.

• Asset Management - Using any available Security Content Automation Protocol (SCAP)-compliant automated tools for active/passive scans, provide an inventory of all information technology (IT) assets for hardware and software, (computers, servers, routers, databases, operating systems, etc.) that are processing HHS-owned information/data. It is anticipated that this inventory information will be required to be produced at least 60 Days after contract award. IT asset inventory information shall include IP address, machine name, operating system level, security patch level, and SCAP-compliant format information. The Contractor shall maintain a capability to provide an inventory of 100% of its IT assets using SCAP-compliant automated tools.

• Configuration Management - Use available SCAP-compliant automated tools, per NIST IR 7511, for authenticated scans to provide visibility into the security configuration compliance status of all IT assets, (computers, servers, routers, databases, operating systems, application, etc.) that store and process government information. Compliance will be measured using IT assets and standard HHS and government configuration baselines at least 60 Days of contract award. The Contractor shall maintain a capability to provide security configuration compliance information for 100% of its IT assets using SCAP-compliant automated tools.

• Vulnerability Management - Use SCAP-compliant automated tools for authenticated scans to scan information system(s) and detect any security vulnerabilities in all assets (computers, servers, routers, Web applications, databases, operating systems, etc.)

that store and process government information. Contractors shall actively manage system vulnerabilities using automated tools and technologies where practicable and in accordance with HHS policy. Automated tools shall be compliant with NIST-specified SCAP standards for vulnerability identification and management. The contractor shall maintain a capability to provide security vulnerability scanning information for 100% of IT assets using SCAP-compliant automated tools and report to the agency at least within 30 days of the contract award.

• Patching and Vulnerability Remediation - Install vendor released security patches and remediate critical and high vulnerabilities in systems processing government information in an expedited manner, within vendor and agency specified timeframes.

• Secure Coding - Follow secure coding best practice requirements, as directed by United States Computer Emergency Readiness Team (US-CERT) specified standards and the

Open Web Application Security Project (OWASP), that will limit system software vulnerability exploits.

• Boundary Protection - The Contractor shall ensure that government information, other than unrestricted information, being transmitted from federal government entities to external entities is routed through a Trusted Internet Connection (TIC).

3. Government Access for Security Assessment. In addition to the Inspection Clause in the resulting contract, the Contractor (and/or any subcontractor) shall afford the Government access to the Contractor’s facilities, installations, operations, documentation, information systems, and personnel used in performance of this contract to the extent required to carry out a program of security assessment (to include vulnerability testing), investigation, and audit to safeguard against threats and hazards to the confidentiality, integrity, and availability of federal data or to the protection of information systems operated on behalf of HHS, including but are not limited to:

a. At any tier handling or accessing information, consent to and allow the Government, or an independent third party working at the Government’s direction, without notice at any time during a weekday during regular business hours Contractor local time, to access contractor and subcontractor installations, facilities, infrastructure, data centers, equipment (including but not limited to all servers, computing devices, and portable media), operations, documentation (whether in electronic, paper, or other forms), databases, and personnel which are used in performance of the contract. The Government includes but is not limited to the U.S. Department of Justice, U.S.

Government Accountability Office, and the HHS Office of the Inspector General (OIG).

The purpose of the access is to facilitate performance inspections and reviews, security and compliance audits, and law enforcement investigations. For security audits, the audit may include but not be limited to such items as buffer overflows, open ports, unnecessary services, lack of user input filtering, cross site scripting vulnerabilities, SQL injection vulnerabilities, and any other known vulnerabilities.

b. At any tier handling or accessing protected information, fully cooperate with all audits, inspections, investigations, forensic analysis, or other reviews or requirements needed to carry out requirements presented in applicable law or policy. Beyond providing access, full cooperation also includes, but is not limited to, disclosure to investigators of information sufficient to identify the nature and extent of any criminal or fraudulent activity and the individuals responsible for that activity. It includes timely and complete production of requested data, metadata, information, and records relevant to any inspection, audit, investigation, or review, and making employees of the Contractor available for interview by inspectors, auditors, and investigators upon request. Full cooperation also includes allowing the Government to make reproductions or copies of information and equipment, including, if necessary, collecting a machine or system image capture.

c. Segregate Government protected information and metadata on the handling of

Government protected information from other information. Commingling of information is prohibited. Inspectors, auditors, and investigators will not be precluded from having access to the sought information if sought information is commingled with other information.

d. Cooperate with inspections, audits, investigations, and reviews.

4. End of Life Compliance. The Contractor (and/or any subcontractor) must use

Commercial off the Shelf (COTS) software or other software that is supported by the manufacturer. In addition, the COTS/other software need to be within one major version of the current version; deviation from this requirement will only be allowed via the HHS waiver process (approved by HHS CISO). The Contractor shall retire and/or upgrade all software/systems that have reached end-of-life in accordance with HHS End-of-Life Operating Systems, Software, and Applications Policy.

5. Desktops, Laptops, and Other Computing Devices Required for Use by the Contractor. The

Contractor (and/or any subcontractor) shall ensure that all IT equipment (e.g., laptops, desktops, servers, routers, mobile devices, peripheral devices, etc.) used to process information on behalf of HHS are deployed and operated in accordance with approved security configurations and meet the following minimum requirements:

a. Encrypt equipment and sensitive information stored and/or processed by such equipment in accordance with HHS and FIPS 140-2 encryption standards.

b. Configure laptops and desktops in accordance with the latest applicable United States Government Configuration Baseline (USGCB) and HHS Minimum Security Configuration Standards;

c. Maintain the latest operating system patch release and anti-virus software definitions;

d. Validate the configuration settings after hardware and software installation, operation, maintenance, update, and patching and ensure changes in hardware and software do not alter the approved configuration settings; and

e. Automate configuration settings and configuration management in accordance with HHS security policies, including but not limited to:

• Configuring its systems to allow for periodic HHS vulnerability and security configuration assessment scanning; and

• Using Security Content Automation Protocol (SCAP)-validated tools with USGCB Scanner capabilities to scan its systems at least on a monthly basis and report the results of these scans to the CO and/or COR, Project Officer, and any other applicable designated POC.

CLOUD SERVICES

A. HHS FedRAMP Privacy and Security Requirements

The Contractor (and/or any subcontractor) shall be responsible for the following privacy and security requirements:

a. FedRAMP Compliant ATO. Comply with FedRAMP Security Assessment and Authorization (SA&A) requirements and ensure the information system/service under this contract has a valid FedRAMP compliant (approved) authority to operate (ATO) in accordance with Federal Information Processing Standard (FIPS) Publication 199 defined security categorization. If a FedRAMP compliant ATO has not been granted, the Contractor shall submit a plan to obtain a FedRAMP compliant ATO by 30 days of the contract award.

b. A security control assessment must be conducted by a FedRAMP third-party assessment organization (3PAO) for the initial ATO and annually thereafter or whenever there is a significant change to the system's security posture in accordance with the FedRAMP Continuous Monitoring Plan.

2. Data Jurisdiction- The contractor shall store all information within the security authorization boundary, data at rest or data backup, within the continental United States (CONUS) if so required as stated in section C.

3. Service Level Agreements- The Contractor shall understand the terms of the service agreements that define the legal relationships between cloud customers and cloud providers and work with SAMHSA to develop and maintain an SLA.

4. Interconnection Agreements/Memorandum of Agreements- The Contractor shall establish and maintain Interconnection Agreements and or Memorandum of Agreements/Understanding in accordance with HHS/SAMHSA policies.

B. Protection of Information in a Cloud Environment

If contractor (and/or any subcontractor) personnel must remove any information from the primary work area, they shall protect it to the same extent they would the proprietary data and/or company trade secrets and in accordance with HHS/SAMHSA policies.

1. HHS will retain unrestricted rights to federal data handled under this contract.

Specifically, HHS retains ownership of any user created/loaded data and applications collected, maintained, used, or operated on behalf of HHS and hosted on contractor's infrastructure, as well as maintains the right to request full copies of these at any time. If requested, data must be available to HHS within one (1) business day from request date or within the timeframe specified otherwise. In addition, the data shall be provided at no additional cost to HHS.

2. The Contractor (and/or any subcontractor) shall ensure that the facilities that house the network infrastructure are physically and logically secure in accordance with FedRAMP requirements and HHS policies.

3. The contractor shall support a system of records in accordance with NARA-approved records schedule(s) and protection requirements for federal agencies to manage their electronic records in accordance with 36 CFR § 1236.20 & 1236.22 (ref. a), including but not limited to the following:

• Maintenance of links between records and metadata, and

• Categorization of records to manage retention and disposal, either through transfer of permanent records to NARA or deletion of temporary records in accordance with NARA- approved retention schedules.

4. The disposition of all HHS data shall be at the written direction of HHS/SAMHSA. This may include documents returned to HHS control; destroyed; or held as specified until otherwise directed. Items returned to the Government shall be hand carried or sent by certified mail to the COR.

5. If the system involves the design, development, or operation of a system of records on individuals, the Contractor shall comply with the Privacy Act requirements.

C. Security Assessment and Authorization (SA&A) Process

1. The Contractor (and/or any subcontractor) shall comply with HHS and FedRAMP requirements as mandated by federal laws, regulations, and HHS policies, including making available any documentation, physical access, and logical access needed to support the SA&A requirement. The level of effort for the SA&A is based on the system's FIPS 199 security categorization and HHS/SAMHSA security policies.

a. In addition to the FedRAMP compliant ATO, the contractor shall complete and maintain an agency SA&A package to obtain agency ATO prior to system deployment/service implementation. The agency ATO must be approved by the SAMHSA authorizing official (AO) prior to implementation of system and/or service being acquired.

b. CSP systems categorized as Federal Information Processing Standards (FIPS) 199 high must leverage a FedRAMP accredited third-party assessment organization (3PAO);

moderate impact CSP systems must make a best effort to use a FedRAMP accredited 3PAO. CSP systems categorized as FIPS 199 low impact may leverage a non-accredited, independent assessor.

c. For all acquired cloud services, the SA&A package must contain the following documentation: SSP, SAR, POA&M, Authorization Letter, CP and CPT report, E- Authorization (if applicable), PTA/PIA (if applicable), Interconnection/Data Use Agreements (if applicable), Authorization Letter, Configuration Management Plan (if applicable), Configuration Baseline, Following the initial ATO, the Contractor must review and maintain the ATO in accordance with HHS/SAMHSA policies.

2. HHS reserves the right to perform penetration testing (pen testing) on all systems operated on behalf of agency. If HHS exercises this right, the Contractor (and/or any subcontractor) shall allow HHS employees (and/or designated third parties) to conduct Security Assessment activities to include control reviews in accordance with HHS requirements. Review activities include, but are not limited to, scanning operating systems, web applications, wireless scanning; network device scanning to include routers, switches, and firewall, and IDS/IPS; databases and other applicable systems, including general support structure, that support the processing, transportation, storage, or security of Government information for vulnerabilities.

3. The Contractor must identify any gaps between required FedRAMP Security Control Baseline/Continuous Monitoring controls and the contractor's implementation status as documented in the Security Assessment Report and related Continuous Monitoring artifacts. In addition, all gaps shall be documented and tracked by the contractor for mitigation in a Plan of Action and Milestones (POA&M) document. Depending on the severity of the risks, HHS may require remediation at the contractor's expense, before HHS issues an ATO.

4. The Contractor (and/or any subcontractor) shall mitigate security risks for which they are responsible, including those identified during SA&A and continuous monitoring activities.

All vulnerabilities and other risk findings shall be remediated by the prescribed timelines from discovery: (1) critical vulnerabilities no later than thirty (30) days and (2) high, medium and low vulnerabilities no later than sixty (60) days. In the event a vulnerability or other risk finding cannot be mitigated within the prescribed timelines above, they shall be added to the designated POA&M and mitigated within the newly designated timelines 30 days. HHS will determine the risk rating of vulnerabilities using FedRAMP baselines.

5. Revocation of a Cloud Service. HHS/SAMHSA staff division have the right to take action in response to the CSP's lack of compliance and/or increased level of risk. In the event the CSP fails to meet HHS and FedRAMP security and privacy requirements and/or there is an incident involving sensitive information, HHS and/or SAMHSA may suspend or revoke an existing agency ATO (either in part or in whole) and/or cease operations. If an ATO is suspended or revoked in accordance with this provision, the CO and/or COR may direct the CSP to take additional security measures to secure sensitive information. These measures may include restricting access to sensitive information on the Contractor information 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.

D. Reporting and Continuous Monitoring

1. Following the initial ATOs, the Contractor (and/or any subcontractor) must perform the minimum ongoing continuous monitoring activities specified below, submit required deliverables by the specified due dates, and meet with the system/service owner and other relevant stakeholders to discuss the ongoing continuous monitoring activities, findings, and other relevant matters. The CSP will work with the agency to schedule ongoing continuous monitoring activities.

Information Security Continuous Monitoring- Upon the government issuance of an Authority to Operate (ATO), the Contractor (and/or subcontractor)-owned/operated systems that input, store, process, output, and/or transmit government information, shall meet or exceed the information security continuous monitoring (ISCM) requirements in accordance with FISMA and NIST SP 800-137, Information Security Continuous Monitoring (ISCM) for Federal Information Systems and Organizations, and HHS IS2P.

The following are the minimum requirements for ISCM:

• Annual Assessment/Pen Test - Assess the system security and privacy controls (or ensure an assessment of the controls is conducted) at least annually to determine the implemented security and privacy controls are operating as intended and producing the desired results (this may involve penetration testing conducted by the agency or independent third- party. In addition, review all relevant SA&A documentation (SSP, POA&M, Contingency Plan, etc.) and provide updates by specified due date provided by the Contracting Officer's Representative.

• Asset Management - Using any available Security Content Automation Protocol (SCAP)-compliant automated tools for active/passive scans, provide an inventory of all information technology (IT) assets for hardware and software, (computers, servers, routers, databases, operating systems, etc.) that are processing HHS-owned information/data. It is anticipated that this inventory information will be required to be produced at least 60 days after contract award. IT asset inventory information shall include IP address, machine name, operating system level, security patch level, and SCAP-compliant format information. The contractor shall maintain a capability to provide an inventory of 100% of its IT assets using SCAP-compliant automated tools.

• Configuration Management - Use available SCAP-compliant automated tools, per NIST IR 7511, for authenticated scans to provide visibility into the security configuration compliance status of all IT assets, (computers, servers, routers, databases, operating systems, application, etc.) that store and process government information. Compliance will be measured using IT assets and standard HHS and government configuration baselines at least within 60 days. The contractor shall maintain a capability to provide security configuration compliance information for 100% of its IT assets using SCAP-compliant automated tools.

• Vulnerability Management - Use SCAP-compliant automated tools for authenticated scans to scan information system(s) and detect any security vulnerabilities in all assets (computers, servers, routers, Web applications, databases, operating systems, etc.)

that store and process government information. Contractors shall actively manage system vulnerabilities using automated tools and technologies where practicable and in accordance with HHS policy. Automated tools shall be compliant with NIST-specified SCAP standards for vulnerability identification and management. The contractor shall maintain a capability to provide security vulnerability scanning information for 100% of IT assets using SCAP-compliant automated tools and report to the agency at least within 30 days of the contract award.

• Patching and Vulnerability Remediation - Install vendor released security patches and remediate critical and high vulnerabilities in systems processing government information in an expedited manner, within vendor and agency specified timeframes.

• Secure Coding - Follow secure coding best practice requirements, as directed by United States Computer Emergency Readiness Team (US-CERT) specified standards and the Open Web Application Security Project (OWASP), that will limit system software vulnerability exploits.

• Boundary Protection - The contractor shall ensure that government information, other than unrestricted information, being transmitted from federal government entities to external entities is routed through a Trusted Internet Connection (TIC).

• A security control assessment must be conducted by a FedRAMP third-party assessment organization (3PAO) for the initial ATO and annually thereafter or whenever there is a significant change to the system's security posture in accordance with the FedRAMP Continuous Monitoring Plan.

2. At a minimum, the Contractor must provide the following artifacts/deliverables on a monthly basis as directed by the Contracting Officer/Contracting Officer's Representative.

a. Operating system, database, Web application, and network vulnerability scan results;

b. Updated POA&Ms;

c. Any updated authorization package documentation as required by the annual attestation/assessment/review or as requested by the SAMHSA System Owner or AO; and

d. Any configuration changes to the system and/or system components or CSP's cloud environment, that may impact HHS/SAMHSA's security posture. Changes to the configuration of the system, its components, or environment that may impact the security posture of the system under this contract must be approved by the agency.

E. Configuration Baseline

1. The contractor shall certify that applications are fully functional and operate correctly as intended on systems using the US Government Configuration Baseline (USGCB), DISA Security Technical Implementation Guides (STIGs), Center for Information Security (CIS) Security Benchmarks or any other HHS-identified configuration baseline.

The standard installation, operation, maintenance, updates, and/or patching of software shall not alter the configuration settings from the approved HHS/SAMHSA.

• The Contractor shall configure its computers that contain HHS data with the latest applicable United States Government Configuration Baseline (USGCB) and/or other approved HHS IT Security Configurations. (See: https://usgcb.nist.gov/ ). Note:

Approved security configurations include, but are not limited to, those published by the Department. SAMHSA may have security configurations that are more stringent than the minimum baseline set by the Department or NIST. When incorporating such security configuration requirements in solicitations and contracts, the SAMHSA CISO and/or Information System Security Officer (ISSO) shall be consulted to determine the appropriate configuration reference for a particular system or services acquisition.)

• The Contractor shall apply approved security configurations to information technology (IT) that is used to process information on behalf of HHS and must adhere to all SAMHSA configuration standards and policies.

• The Contractor shall ensure IT applications operated on behalf of HHS are fully functional and operate correctly on systems configured in accordance with the above configuration requirements. The Contractor shall use Security Content Automation Protocol (SCAP)-validated tools with USGCB Scanner capability to ensure its products operate correctly with USGCB configurations and do not alter USCGB settings - (See:

http://scap.nist.gov/validation ) . The Contractor shall test applicable product versions with all relevant and current updates and patches installed. The Contractor shall ensure currently supported versions of information technology products met the latest USGCB major version and subsequent major versions.

• The Contractor shall ensure IT applications designed for end users run in the standard user context without requiring elevated administrative privileges.

• The Contractor shall ensure hardware and software installation, operation, maintenance, update, and patching will not alter the configuration settings or requirements specified above.

• The Contractor shall (1) include Federal Information Processing Standard (FIPS) 201-compliant (See: http://csrc.nist.gov/publications/fips/fips201-1/FIPS-201-1-chng1.pdf ), Homeland Security Presidential Directive 12 (HSPD-12) card readers with the purchase of servers, desktops, and laptops; and (2) comply with FAR Subpart 4.13, Personal Identity Verification.

http://scap.nist.gov/validation http://csrc.nist.gov/publications/fips/fips201-1/FIPS-201-1-chng1.pdf

• The Contractor shall ensure that its subcontractors (at all tiers) which perform work under this contract comply with the requirements contained in this clause.

2. The contractor shall use Security Content Automation Protocol (SCAP) validated tools with configuration baseline scanner capability to certify their products operate correctly with HHS and NIST defined configurations and do not alter these settings.

F. Incident Reporting

The Contractor (and/or any subcontractor) shall respond to all alerts/Indicators of Compromise (IOCs) provided by HHS Computer Security Incident Response Center (CSIRC)/SAMHSA teams within 24 hours, whether the response is positive or negative.

FISMA defines an incident as "an occurrence that (1) actually or imminently jeopardizes, without lawful authority, the integrity, confidentiality, or availability of information or an information system; or (2) constitutes a violation or imminent threat of violation of law, security policies, security procedures, or acceptable use policies. The HHS Policy for IT Security and Privacy Incident Reporting and Response further defines incidents as events involving cyber security and privacy threats, such as viruses, malicious user activity, loss of, unauthorized disclosure or destruction of data, and so on.

A privacy breach is a type of incident and is defined by Federal Information Security Modernization Act (FISMA) as the loss of control, compromise, unauthorized disclosure, unauthorized acquisition, or any similar occurrence where (1) a person other than an authorized user accesses or potentially accesses personally identifiable information or (2) an authorized user accesses or potentially accesses personally identifiable information for an other than authorized purpose. The HHS Policy for IT Security and Privacy Incident Reporting and Response further defines a breach as "a suspected or confirmed incident involving PII" .

In the event of a suspected or confirmed incident or breach, the Contractor (and/or any subcontractor) shall:

1. Protect all sensitive information, including any PII created, stored, or transmitted in the performance of this contract so as to avoid a secondary sensitive information incident with FIPS 140-2 validated encryption.

2. NOT notify affected individuals unless so instructed by the Contracting Officer or designated representative. If so instructed by the Contracting Officer or representative, the Contractor shall send SAMHSA approved notifications to affected individuals within 5 business days of the incident.

3. Report all suspected and confirmed information security and privacy incidents and breaches to the COR, CO, the SAMHSA Office of the SOP (or his or her designee), and other stakeholders, including incidents involving PII, in any medium or form, including paper, oral, or electronic, as soon as possible and without unreasonable delay, no later than one (1) hour, and consistent with the applicable SAMHSA and HHS policy and procedures, NIST standards and guidelines, as well as US-CERT notification guidelines. The types of information required in an incident report must include at a minimum: company and point of contact information, contract information, impact classifications/threat vector, and the type of information compromised. In addition, the Contractor shall:

a. Cooperate and exchange any information, as determined by the Agency, necessary to effectively manage or mitigate a suspected or confirmed breach;

b. Not include any sensitive information in the subject or body of any reporting e-mail; and

c. Encrypt sensitive information in attachments to email, media, etc

4. Comply with OMB M-17-12, Preparing for and Responding to a Breach of Personally

Identifiable Information HHS and SAMHSA incident response policies when handling PII breaches.

5. Provide full access and cooperate on all activities as determined by the Government to ensure an effective incident response, including providing all requested images, log files, and event information to facilitate rapid resolution of sensitive information incidents. This may involve disconnecting the system processing, storing, or transmitting the sensitive information from the Internet or other networks or applying additional security controls. This may also involve physical access to contractor facilities during a breach/incident investigation.

6. The Contractor (and/or any subcontractor) shall provide an Incident and Breach Response Plan (IRP) in accordance with HHS/SAMHSA, OMB, and US-CERT requirements and obtain approval from the SAMHSA. In addition, the Contractor must follow the incident response and US-CERT reporting guidance contained in the FedRAMP Incident Communications.

7. The Contractor (and/or any subcontractor) must implement a program of inspection to safeguard against threats and hazards to the security, confidentiality, integrity, and availability of federal data, afford HHS access to its facilities, installations, technical capabilities, operations, documentation, records, and databases within 72 hours of notification. The program of inspection shall include, but is not limited to:

a. Conduct authenticated and unauthenticated operating system/network/database/Web application vulnerability scans. Automated scans can be performed by HHS/SAMHSA personnel, or agents acting on behalf of HHS/SAMHSA, using agency-operated equipment and/or specified tools. The Contractor may choose to run its own automated scans or audits, provided the scanning tools and configuration settings are compliant with NIST Security Content Automation Protocol (SCAP) standards and have been approved by the agency. The agency may request the Contractor's scanning results and, at the agency discretion, accept those in lieu of agency performed vulnerability scans.

b. In the event an incident involving sensitive information occurs, cooperate on all required activities determined by the agency to ensure an effective incident or breach response and provide all requested images, log files, and event information to facilitate rapid resolution of sensitive information incidents. In addition, the Contractor must follow the agency reporting procedures and document the steps it takes to contain and eradicate the incident, recover from the incident, and provide a post-incident report that includes at a minimum the following:

• Company and point of contact name;

• Contract information;

• Impact classifications/threat vector;

• Type of information compromised;

• A summary of lessons learned; and

• Explanation of the mitigation steps of exploited vulnerabilities to prevent similar incidents in the future.

G. Media Transport

1. The Contractor and its employees shall be accountable and document all activities associated with the transport of government information, devices, and media transported outside controlled areas and/or facilities.