RFI - Draft kc v2.pdf

Vehicle Fleet Management Services Statement of Objectives (SOO)

Vision Statement Ensure the United States Marshals Service (USMS) mission success by providing logistical innovation, positive customer experiences, and law enforcement compliance with safety, the sum of which creates “a robust vehicle maintenance solutions program designed to reduce risk, control expenses and alleviate administrative burden."

1.1 Introduction

The Contractor shall provide all personnel, equipment, supplies, facilities, tools materials, supervision, other items and non-personal services necessary to provide Vehicle Fleet Management Services (VFMS) for the Management Support Division (MSD) of the United States Marshals Service (USMS). Additional information on the USMS is accessible via the Internet at (www.usmarshals.gov).

1.2 Objective

The objective of this contract is to provide an administered fleet management and maintenance program, to fit the USMS needs, to be proactively managed, to gain analytical insight into the fleet’s use.

This program shall optimize return on investment and replacement cycle management, reduce risk, control expenses and alleviate administrative burdens. The service shall provide services for emergency repairs, preventative maintenance compliance, managing routine repairs, Accident Management, minimizing downtime.

1.3 Background

The USMS vehicle fleet is comprised of agency owned passenger sedans, sports utility vehicles (SUV), heavy and light duty pickup trucks, minivans, buses and General Service Administration (GSA) leased passenger/cargo vans. The USMS purchases vehicle models which blend in with the general vehicle population.

Approximate estimation of the USMS Fleet is below:

Make of Vehicle Model of Vehicle Year Estimated Fleet

Sedan Interceptor/Taurus/Crown Victoria/Charger/Impala Lucerne/Tesla/Mustang

2005-

SUV

Interceptor/Explorer/Edge/Expedition/Durango Journey/Acadia/Equinox/Suburban Traverse/Tahoe/Trailblazer/Land Cruiser

2000- 2025 2,838

Truck F150/F250/F350/F450/Silverado1500/Colorado Avalanche/Ram

2000-

Van Transit/Express/CG3300/G2300/Mini 1992-

BUS/Semi Bluebird/Thomas Built/Semi Truck 2006-

Total 4,238

The current USMS vehicle maintenance methodology is depicted in Attachment No. SOO-1 with specific issues identified:

USE OF LOCAL VENDORS

1. Vehicle manufacturer local dealer for warranty repairs.

2. Local vendor for preventative maintenance and major repairs.

Issues: There is not one pricing standard. Local vendors invalidate warranties. Each local vendor has a different warranty program. Lack of timeliness of the maintenance being completed by the USMS, as there are no reminders or alerts from the local vendors.

CURRENT PAYMENT METHOD

The USMS currently uses two methods to pay for vehicle preventative and major repair maintenance:

1. Fleet Credit Card – USMS local Administrative Officers (AOs) use the fleet card to pay for preventative maintenance up to $10,000. No contract is required.

Issues: This is a quick turnaround, but the USMS has no control over the repairs. Often, vendors do not have relationships with dealers and/or manufacturers.

2. Contract (SF 1449) – The local AOs request through USMS Headquarters, via a USM Form 61, to fund the repair. Then the local AO must submit the approved funding request to the contracting office. The contracting officer competes a contract.

Issues: The local vendors may not be registered in Sams.gov, a requirement to do business with the government. Vehicles needing repairs/maintenance could be out of service for more than thirty (30) days. This is a very time-consuming action, with significant administrative overhead for managing the accruals, obligations, contract, and other financial transactions.

CURRENT RECORD KEEPING

1. Manual Entry – The USMS uses a manual form, USM-76, Vehicle Expense Report. The vehicle operator manually completes the form, and it is stored at the district. Form USM-76 is not centrally collected via e-mail or an automated system.

Issues: The reports are not visible to the USMS Fleet Management, unless requested. There is no way to perform data analysis for metrics, such as the maintenance price per vehicle, timeliness of maintenance, delinquent maintenance, or deadline time. There is no visibility for the USMS to manage a national fleet.

2. Administrative – USMS uses manual record keeping at individual sites and through various means where reporting is not centralized or automated.

1.4 Scope

The scope of the VFMS contract shall consolidate the activities of the USMS on the operational and strategic level for a cost-effective innovative enterprise vehicle fleet management managed services contract for supplies.

The contract will be comprised of six (6) main delivery elements:

1. Fleet Management

2. Maintenance

3. Preventative Maintenance (PM)

4. Major Repairs

5. Accident Management Solutions (USMS at fault or no fault) No subrogation

6. Centralized and Site level consolidation of records and reporting with web based or portal access to services and administration controls.

The estimated fleet supplies and services supported is a minimum of 4,238 vehicles annually.

1.5 Period of Performance

The period of performance (POP) shall be for one (1) Base Period of 12 months and four (4) 12-month Option Period(s). The POP reads as follows:

Performance Period Dates of Performance

Base Period Nov 30, 2025 – Nov 29, 2026 Option Period #1 Nov 30, 2026 – Nov 29, 2027 Option Period #2 Nov 30, 2027 – Nov 29, 2028 Option Period #3 Nov 30, 2028 – Nov 29, 2029 Option Period #4 Nov 30, 2029 – Nov 29, 2030

1.6 Place of Performance

The work to be performed under this contract shall be at the Contractor’s designated facilities no further than 5 miles in the metropolitan area and 25 miles in a rural area from USMS facilities identified in Attachment No. SOO-2.

1.7 Performance Objectives

The goal of this SOO is to obtain a Contractor Performance Work Statement (CPWS) (aka. “Technical Approach”) from offerors that identifies a specific and comprehensive approach to accomplish all the objectives that are detailed in this section. The PWS shall describe the offerors approach in sufficient detail for the USMS to understand and evaluate the technical approach proposed.

The USMS requires the contractor to accomplish the following objectives to ensure the successful completion of the project. The offerors shall address each of these objectives thoroughly in their PWS.

I. Objective #1 Fleet Management Services: Awarded contractor shall provide and maintain a web based Fleet Management system which will enable the view of orders, alerts, maintenance history and expenses, mileage, custom reports, generate preventative maintenance due by time, mileage or both and all other associated information derived from the vehicle maintenance services rendered. The solution shall be compatible with the Federal Automotive Statistical Tool- Vehicle Level Data reporting tool. Services shall include a nationwide toll-free access to our call center for drivers to reach service specialists 24 hours a day, 7 days a week.

This solution shall manage USMS information related to all Fleet management services provided in compliance with information technology regulatory requirements and ensure technical capability to export information related to USMS services upon request is supported in the business process.

II. Objective #2 Maintenance Program: Awarded contractor shall provide a nationwide network of Automotive Service Excellence (ASE) Blue Seal of Excellence service providers1. This network will have the ability to add vendors currently being used by USMS offices, subject to certain restrictions. Additionally the contractor shall provide a Master Automotive Technician ASE Certification holder to manage the contractors program. At a minimum provide a schedule, which outlines pre-approved preventative maintenance at predetermined mileage intervals based on manufacturer’s recommendation. The program must provide automated email and/or text message and/or mobile application notification of maintenance reminders and alerts for vehicle coming due and overdue for maintenance until the requirement is complete.

III. Objective #3 Major Repair Program: Awarded contractor will be required to provide expert knowledge in the evaluation of a vehicle repair. Guidance will be given with respect to if the repair is needed, or an alternative solution is available. Control measures must be in place for the confirmation of the work performed, verified and documented. The contractor will use pre-established authorizations to include “not to exceed” spending limits on vehicle repairs based upon age and mileage, to determine if the vehicle will be repaired or excessed. Also, the program must include a process for tracking services, which reports maintenance and repair mark-ups. Detailed report generation must be able to track type of repairs, quantity and cost per each vehicle individually.

IV. Objective #4 Accident Administration Program: Awarded contractor shall be required to receive telephonic reports of all accidents involving property damage. Provide the USMS with monthly loss reports listing any reported claim or lawsuit. The contractor will be required to cooperate with the USMS Office of General Counsel in the investigation, administration, and defense of any claims or lawsuits arising from the operation of a vehicle.

1 National Institute for Automotive Service Excellence (ASE) is a professional certification group that certifies professionals and shops in the automotive repair and service industry in the United States and Canada. It is an independent, non-profit organization. Blue Seal of Excellence is specialty seal is only awarded to by ASE to Auto Repair Facilities and Collision Repair Facilities that employ at least 75% of technicians who are ASE certified. Each area of service offered by the facility must be covered by at least one ASE certified technician. If the Repair Facility employs a full-time Service Consultant, they must have a current ASE Service Consultant Certification. ASE Blue Seal Facility locator on the ASE Driver Website: http://www.ase.com/drivers/.

1.8 Type of contract

The USMS will award an “Indefinite delivery/Indefinite quantity (IDIQ)”.

1.9 Monthly Billing Cycle

The monthly billing cycle will be as follows: The Contractor will provide 30-day billing to the USMS for all services performed during the month no later than 10 days after the end of the previous month, as outlined by the chart below. If the below dates fall on a Holiday, the preceding business day shall be the date of the monthly review, and the invoice are due. All monthly invoices for all services must be submitted and reviewed by the COR prior to submission for payment. Payments will be made according to the Prompt Payment Act.

Date Actions

10th Day of the Month Invoice to USMS for all services for the previous month

1.10 Contracting Officer Representative (COR)

The COR monitors all technical aspects of the contract and assists in contract administration. The COR is authorized to perform the following functions: assure that the Contractor performs the technical requirements of the contract; perform inspections necessary in connection with contract performance;

maintain written and oral communications with the Contractor concerning technical aspects of the contract; issue written interpretations of technical requirements, including Government drawings, designs, specifications; monitor Contractor's performance and notifies both the Contracting Officer (CO) and Contractor of any deficiencies; coordinate availability of government furnished property, and provide site entry of Contractor personnel. A letter of designation issued to the COR, a copy of which is sent to the Contractor, states the responsibilities and limitations of the COR, especially regarding changes in cost or price, estimates or changes in delivery dates. The COR is not authorized to change any of the terms and conditions of the resulting order.

1.11 Contract Management

This section describes the general requirements for this effort. The following sub-sections provide details of various considerations on this effort.

1.12 Non-Personal Services

The Government shall neither supervise contractor employees nor control the method by which the contractor performs the required tasks. Under no circumstances shall the Government assign tasks to, or prepare work schedules for, individual contractor employees.

It shall be the responsibility of the contractor to manage its employees and to guard against any actions that are of the nature of personal services or give the perception of personal services. If the contractor believes that any actions constitute, or are perceived to constitute personal services, it shall be the contractor's responsibility to notify the CO and COR immediately.

1.13 Business Relations

The contractor shall successfully integrate and coordinate all activity needed to execute the requirement. The contractor shall manage the timeliness, completeness, and quality of problem identification. The contractor shall provide corrective action plans, proposal submittals, timely identification of issues, and effective management of subcontractors. The contractor shall seek to ensure customer satisfaction and professional and ethical behavior of all contractor personnel.

1.14 Contract Administration and Management

The following subsections specify requirements for contract, management, and personnel administration.

1.15 Contract Management

The contractor shall establish clear organizational lines of authority and responsibility to ensure effective management of the resources assigned to the requirement. The contractor must maintain continuity between the support operations at the Contractor and the Contractor's corporate offices.

1.16 Contract Administration

The contractor shall establish processes and assign appropriate resources to effectively administer the requirement. The contractor shall respond to Government requests for contractual actions in a timely fashion. The contractor shall have a single point of contact between the Government and Contractor personnel assigned to support contracts or task orders.

1.17 Subcontract Management

The contractor shall be responsible for any subcontract management necessary to integrate work performed on this requirement and shall be responsible and accountable for subcontractor performance on this requirement. The prime contractor will manage work distribution to ensure there are no Organizational Conflict of Interest (OCI) considerations. Contractors may add subcontractors to their team after notification to the CO or COR.

1.18 Organizational Conflict of Interest

An offeror shall identify in its proposal, quote, bid, or any resulting contract, any potential or actual Organizational and Consultant Conflicts of Interest (OCCI) as described in FAR Subpart 9.5. This includes actual or potential conflicts of interests of proposed subcontractors (subs). If an offeror identified in its proposal, quote, bid or any resulting contract, a potential or actual conflict of interests the offeror shall submit an Organizational and Consultant Conflicts of Interest Plan (OCCIP) to the CO. The OCCIP shall describe how the offeror addresses potential or actual conflicts of interest and identify how they will avoid, neutralize, or mitigate present or future conflicts of interest.

Offerors must consider whether their involvement and participation raise any OCCI issues, especially in the following areas when: providing systems engineering and technical direction, preparing specifications or work statements and/or objectives, providing evaluation services, and obtaining access to proprietary information.

The offeror shall require that all parties affiliated with its organization to regularly make full disclosure of any actual, potential, or perceived conflict of interest, and should describe the process and or timing for doing so to the Government.

If a prime or sub-contractor breach any of the OCCI restrictions or does not disclose or misrepresents any relevant facts concerning its conflict of interest, the Government may take appropriate action, including terminating the contract, in addition to any remedies that may be other permitted by the contract or operation of law. Be aware that offeror’s that develop, write, advise, provide directions, consult on, serves as a sub-contractor on, or provided input into procurement strategy, specifications, requirements, performance work statement, and/or RFPs for a proposed procurement could potentially be excluded from bidding or submitting a proposal to compete from the award of such procurement.

The offeror must include any individual employee who has an immediate family member that has developed, written, advised, provided directions, consulted on, served as a sub on, or provided input into procurement strategy, specifications, requirements, performance work statement, and/or RFP’s/IFB’s for a proposed procurement. Immediate family members include grandparents, parents, in-law, sibling, spouse, child or grandchild, whether the family relationship exists by blood, adoption, or law.

1.19 SPECIFIC REQUIREMENTS RELATED TO Information Technology Service Solutions

The contractor must provide an “Enterprise” Vehicle Fleet Maintenance Services (VFMS) solution.

Enterprise is defined as supporting 5-500 office locations; offering up to three (3) secured usernames/passwords per location to eliminate sharing passwords; complimentary accounts with Administrative Oversight allowing centralized management capabilities; and IT administrative assistance and/or access option for USMS testing, cyber security monitoring, Tier 1 break fix resolution, optimization of web performance, and logging information.

The Enterprise VFMS Services must provide a centralized management service with a master Enterprise Reporting Account capability to allow program management by the Administrator to track all vehicle fleet related information and vehicle related maintenance associated with transactions by site, account, vehicle and executive summary view options. The VFMS solution must offer Program Administrator Controls that allow the Administrator to set user spending limits, change user profile controls and permissions. The VFMS solution must also provide named user site and local management services with site and local level tracking.

The Enterprise VFMS Services solution is considered a managed service solution in a shared commercial cloud where USMS IT compliance controls outlined, apply to the portion of the systems, services, content and support related to USMS specific information.

USMS information shared through a Web Application and/or Application Portal that must be protected and accessible only by authorized Government and authorized Contractor support. USMS information must be maintained and protected inclusive of logical container protection elements, especially if maintained in a shared Contractor VFMS SaaS solution. The Contractor must provide a summary document summarizing the protection measures, sensitive information data map; and must address the information assurance compliance requirements measures that will be leveraged to provide the managed services. USMS follows a Systems Development Lifecycle (SDLC) program/project management strategy that requires change control approval and an Authority to Operate for production services enablement.

All solution electronic communications between the Government users and the Contractor for Enterprise VFMS Services must be encrypted in transit, using compliant web and portal access controls.

All web-based data information transferred to and from an USMS user device shall processed through an authorized browser portal; and Department of Justice, Justice Cloud Optimized TIC Services (JCOTS), (DOJ) Trusted Internet Connection (TIC) access point. Electronic communications information, if stored externally, must meet the federal compliance standards. USMS will retain data and electronic information in accordance with Department of Justice retention policy requirements, unless information handling compliance allows for sufficient disposition prior to release. Privileged data specific to USMS used for automation, analytics and reporting is considered the property of USMS.

In accordance with FAR 39.105, this section is included in this SOO. This section applies to solution, support, and IT resources, including awardees, contractors, subcontractors, lessors, suppliers, and manufacturers that may have access to USMS sensitive data. Data is considered Sensitive Data that contains USMS IT interconnection configuration settings, USMS user’s account identities and identity management configuration settings; and content containing Personally Identifiable Information that includes accident details, credit card information, sensitive user information, and USMS site locations.

Non-Sensitive data shall follow standard industry information controls including information related to vehicles, service stations, or other general publicly accessible information or IT services. The Enterprise VFMS Service Solution must present no security vulnerabilities to the Government’s sensitive but unclassified networks and meet all current security parameters outlined in Attachment A: PGD 15-03, Security and Information Systems. The Enterprise VFMS Services solution must provide a method to prevent unauthorized usage and unauthorized access to Governments information. The contractor must maintain all services and must comply with all security and regulatory compliance requirements, see Attachment B: Referenced Standards and Compliance Requirements.

Services delivered, configured, operated, maintained and optimized must align to the strategic plan and enterprise architecture. Contractor staff who may have access to USMS information containing Personally Identifiable Information (PII) must safeguard sensitive data and information technology resources; must have a completed background investigation; and must have a signed a Rules of Behavior (ROB) and NDA in place. All performance outcomes will be delivered in accordance with DOJ information assurance policies and requirements.

The contractor must meet the Procurement Guidance Documents DOJ IT Security Standards. If the contractor acts on behalf of, or provides advice with respect to any phase of an agency procurement, as defined in FAR 3.104-4, then the contractor must execute and submit a IT Non-Disclosure Agreement (NDA) Form; and ensure that all its personnel (to include subcontractors, teaming partners, and consultants) who will be personally and substantially involved in the performance of the SOO submit an NDA if they have access to sensitive data.

ATTACHMENT A: SECURITY OF INFORMATION AND INFORMATION SYSTEMS

DOJ PGD 15-03

I. Applicability to Contractors and Subcontractors

This clause applies to all contractors and subcontractors, including cloud service providers (“CSPs”), and personnel of contractors, subcontractors, and CSPs (hereinafter collectively, “Contractor”) that may access, collect, store, process, maintain, use, share, retrieve, disseminate, transmit, or dispose of DOJ Information. It establishes and implements specific DOJ requirements applicable to this Contract. The requirements established herein are in addition to those required by the Federal Acquisition Regulation (“FAR”), including FAR 11.002(g) and 52.239-1, the Privacy Act of 1974, and any other applicable laws, mandates, Procurement Guidance Documents, and Executive Orders pertaining to the development and operation of Information Systems and the protection of Government Information. This clause does not alter or diminish any existing rights, obligation or liability under any other civil and/or criminal law, rule, regulation or mandate.

II. General Definitions

The following general definitions apply to this clause. Specific definitions also apply as set forth in other paragraphs.

A. Information means any communication or representation of knowledge such as facts, data, or opinions, in any form or medium, including textual, numerical, graphic, cartographic, narrative, or audiovisual. Information includes information in an electronic format that allows it to be stored, retrieved or transmitted, also referred to as “data,” and “personally identifiable information” (“PII”), regardless of form.

B. Personally Identifiable Information (or PII) means any information about an individual maintained by an agency, including, but not limited to, information related to education, financial transactions, medical history, and criminal or employment history and information, which can be used to distinguish or trace an individual's identity, such as his or her name, social security number, date and place of birth, mother's maiden name, biometric records, etc., including any other personal information which is linked or linkable to an individual.

C. DOJ Information means any Information that is owned, produced, controlled, protected by, or otherwise within the custody or responsibility of the DOJ, including, without limitation, Information related to DOJ programs or personnel. It includes, without limitation, Information (1) provided by or generated for the DOJ, (2) managed or acquired by Contractor for the DOJ in connection with the performance of the contract, and/or (3) acquired to perform the contract.

D. Information System means any resources, or set of resources organized for accessing, collecting, storing, processing, maintaining, using, sharing, retrieving, disseminating, transmitting, or disposing of (hereinafter collectively, “processing, storing, or transmitting”) Information.

E. Covered Information System means any information system used for, involved with, or allowing, the processing, storing, or transmitting of DOJ Information.

III. Confidentiality and Non-disclosure of DOJ Information

A. Preliminary and final deliverables and all associated working papers and material generated by Contractor containing DOJ Information are the property of the U.S. Government and must be submitted to the Contracting Officer (“CO”) or the CO’s Representative (“COR”) at the conclusion of the contract.

The U.S. Government has unlimited data rights to all such deliverables and associated working papers and materials in accordance with FAR 52.227-14.

B. All documents produced in the performance of this contract containing DOJ Information are the property of the U.S. Government and Contractor must neither reproduce nor release to any third-party at any time, including during or at expiration or termination of the contract without the prior written permission of the CO.

C. Any DOJ information made available to Contractor under this contract must be used only for the purpose of performance of this contract and must not be divulged or made known in any manner to any persons except as may be necessary in the performance of this contract. In performance of this contract, Contractor assumes responsibility for the protection of the confidentiality of all DOJ Information processed, stored, or transmitted by the Contractor. When requested by the CO (typically no more than annually), Contractor must provide a report to the CO identifying, to the best of Contractor’s knowledge and belief, the type, amount, and level of sensitivity of the DOJ Information processed, stored, or transmitted under the Contract, including an estimate of the number of individuals for whom PII has been processed, stored or transmitted under the Contract and whether such information includes social security numbers (in whole or in part).

IV. Compliance with Information Technology Security Policies, Procedures and Requirements

A. For all Covered Information Systems, Contractor must comply with all security requirements, including but not limited to the regulations and guidance found in the Federal Information Security Management Act of 2014 (“FISMA”), Privacy Act of 1974, E-Government Act of 2002, National Institute of Standards and Technology (“NIST”) Special Publications (“SP”), including NIST SP 800-37, 800-53, and 800-60 Volumes I and II, Federal Information Processing Standards (“FIPS”) Publications 140-2, PGD 15- 03, 199, and 200, OMB Memoranda, Federal Risk and Authorization Management Program (“FedRAMP”), DOJ IT Security Standards, including DOJ Order 0904, as amended. These requirements include but are not limited to:

1. Limiting access to DOJ Information and Covered Information Systems to authorized users and to transactions and functions that authorized users are permitted to exercise.

2. Providing security awareness training including, but not limited to, recognizing and reporting potential indicators of insider threats to users and managers of DOJ Information and Covered Information Systems.

3. Creating, protecting, and retaining Covered Information System audit records, reports, and supporting documentation to enable reviewing, monitoring, analysis, investigation, reconstruction, and reporting of unlawful, unauthorized, or inappropriate activity related to such Covered Information Systems and/or DOJ Information.

4. Maintaining authorizations to operate any Covered Information System.

5. Performing continuous monitoring on all Covered Information Systems.

6. Establishing and maintaining baseline configurations and inventories of Covered Information Systems, including hardware, software, firmware, and documentation, throughout the Information System Development Lifecycle, and establishing and enforcing security configuration settings for IT products employed in Information Systems.

7. Ensuring appropriate contingency planning has been performed, including DOJ Information and Covered Information System backups;

8. Identifying Covered Information System users, processes acting on behalf of users, or devices, and authenticating and verifying the identities of such users, processes, or devices, using multifactor authentication or HSPD-12 compliant authentication methods where required;

9. Establishing an operational incident handling capability for Covered Information Systems that includes adequate preparation, detection, analysis, containment, recovery, and user response activities, and tracking, documenting, and reporting incidents to appropriate officials and authorities within Contractor’s organization and the DOJ;

10. Performing periodic and timely maintenance on Covered Information Systems, and providing effective controls on tools, techniques, mechanisms, and personnel used to conduct such maintenance;

12. Protecting Covered Information System media containing DOJ Information, including paper, digital and electronic media; limiting access to DOJ Information to authorized users; and sanitizing or destroying Covered Information System media containing DOJ Information before disposal, release or reuse of such media.

13. Limiting physical access to Covered Information Systems, equipment, and physical facilities housing such Covered Information Systems to authorized U.S. citizens unless a waiver has been granted by the Contracting Officer (“CO”) and protecting the physical facilities and support infrastructure for such Information Systems.

14. Screening individuals prior to authorizing access to Covered Information Systems to ensure compliance with DOJ Security standards.

15. Assessing the risk to DOJ Information in Covered Information Systems periodically, including scanning for vulnerabilities and remediating such vulnerabilities in accordance with DOJ policy and ensuring the timely removal of assets no longer supported by the Contractor.

16. Assessing the security controls of Covered Information Systems periodically to determine if the controls are effective in their application, developing and implementing plans of action designed to correct deficiencies and eliminate or reduce vulnerabilities in such Information Systems, and monitoring security controls on an ongoing basis to ensure the continued effectiveness of the controls.

17. Monitoring, controlling, and protecting information transmitted or received by Covered Information Systems at the external boundaries and key internal boundaries of such Information Systems, and employing architectural designs, software development techniques, and systems engineering principles that promote effective security; and

18. Identifying, reporting, and correcting Covered Information System security flaws in a timely manner, providing protection from malicious code at appropriate locations, monitoring security alerts and advisories and taking appropriate action in response.

B. Contractor must not process, store, or transmit DOJ Information using a Covered Information System without first obtaining an Authority to Operate (“ATO”) for each Covered Information System. The ATO must be signed by the Authorizing Official for the DOJ component responsible for maintaining the security, confidentiality, integrity, and availability of the DOJ Information under this contract. The DOJ standards and requirements for obtaining an ATO may be found at DOJ Order 2640.2, as amended. (For Cloud Computing Systems, see Section V, below.)

C. Contractor must ensure that no non-U.S. citizen accesses or assists in the configuration, operation, management, or maintenance of any DOJ Information System, unless a waiver has been granted by the by the DOJ Component Head (or his or her designee) responsible for the DOJ Information System, the DOJ Chief Information Officer, and the DOJ Security Officer.

D. When requested by the DOJ CO or COR, or other DOJ official as described below, in connection with DOJ’s efforts to ensure compliance with security requirements and to maintain and safeguard against threats and hazards to the security, confidentiality, integrity, and availability of DOJ Information, Contractor must provide DOJ, including the Office of Inspector General (“OIG”) and Federal law enforcement components, (1) access to any and all information and records, including electronic information, regarding a Covered Information System, and (2) physical access to Contractor’s facilities, installations, systems, operations, documents, records, and databases. Such access may include independent validation testing of controls, system penetration testing, and FISMA data reviews by DOJ or agents acting on behalf of DOJ, and such access must be provided within 72 hours of the request.

Additionally, Contractor must cooperate with DOJ’s efforts to ensure, maintain, and safeguard the security, confidentiality, integrity, and availability of DOJ Information.

E. The use of Contractor-owned laptops or other portable digital or electronic media to process or store DOJ Information covered by this clause is prohibited until Contractor provides a letter to the DOJ CO, and obtains the CO’s approval, certifying compliance with the following requirements:

1. Media and data must be encrypted using a NIST FIPS 140-2 approved product or method.

2. Contractor must implement a process to ensure that security and other applications software is kept up to date.

3. Where applicable, media must utilize antivirus software and a host-based firewall mechanism.

4. Contractor must log all computer-readable data extracts from databases holding DOJ Information and verify that each extract including PGD 15-03, Security of Information and Information Systems. Any such data which has been erased within 90 days of extraction or that its use is still required. All DOJ Information is sensitive information unless specifically designated as non-sensitive by the DOJ; and,

5. A Rules of Behavior (“ROB”) form must be signed by users. These rules must address, at a minimum, authorized and official use, prohibition against unauthorized users and use, and the protection of DOJ Information. The form also must notify the user that he or she has no reasonable expectation of privacy regarding any communications transmitted through or data stored on Contractor-owned laptops or other portable digital or electronic media.

F. Contractor-owned removable media containing DOJ Information must not be removed from DOJ facilities without prior approval of the DOJ CO or COR.

G. When no longer needed, all media must be processed (sanitized, degaussed, or destroyed) in accordance with DOJ security requirements.

H. Contractor must keep an accurate inventory of digital or electronic media used in the performance of DOJ contracts.

I. Contractor must remove all DOJ Information from Contractor media and return all such information to the DOJ within 15 days of the expiration or termination of the contract, unless otherwise extended by the CO, or waived (in part or whole) by the CO, and all such information must be returned to the DOJ in a format and form acceptable to the DOJ. The removal and return of all DOJ Information must be accomplished in accordance with DOJ IT Security Standard requirements, and an official of the Contractor must provide a written certification certifying the removal and return of all such information to the CO within 15 days of the removal and return of all DOJ Information.

J. DOJ, at its discretion, may suspend Contractor’s access to any DOJ Information, or terminate the contract, when DOJ suspects that Contractor has failed to comply with any security requirement, or in the event of an Information System Security Incident (see Section V.E. below), where the Department determines that either event gives cause for such action. The suspension of access to DOJ Information may last until such time as DOJ, in its sole discretion, determines that the situation giving rise to such action has been corrected or no longer exists. Contractor understands that any suspension or termination in accordance with this provision shall be at no cost to the DOJ, and that upon request by the CO, Contractor must immediately return all DOJ Information to DOJ, as well as any media upon which DOJ Information resides, at Contractor’s expense.

V. Cloud Computing

A. Cloud Computing means an Information System having the essential characteristics described in NIST SP 800-145, The NIST Definition of Cloud Computing. For the sake of this provision and clause, Cloud Computing includes Software as a Service, Platform as a Service, and Infrastructure as a Service, and deployment in a Private Cloud, Community Cloud, Public Cloud, or Hybrid Cloud.

B. Contractor may not utilize the Cloud system of any CSP unless:

1. The Cloud system and CSP have been evaluated and approved by a 3PAO certified under FedRAMP and Contractor has provided the most current Security Assessment Report (“SAR”) to the DOJ CO for consideration as part of Contractor’s overall System Security Plan, and any subsequent SARs within 30 days of issuance, and has received an ATO from the Authorizing Official for the DOJ component responsible for maintaining the security confidentiality, integrity, and availability of the DOJ Information under contract; or,

2. If not certified under FedRAMP, the Cloud System and CSP have received an ATO signed by the Authorizing Official for the DOJ component responsible for maintaining the security, confidentiality, integrity, and availability of the DOJ Information under the contract.

C. Contractor must ensure that the CSP allows DOJ to access and retrieve any DOJ Information processed, stored or transmitted in a Cloud system under this Contract within a reasonable time of any such request, but in no event less than 48 hours from the request. To ensure that the DOJ can fully and appropriately search and retrieve DOJ Information from the Cloud system, access must include any schemas, meta-data, and other associated data artifacts.

VI. Information System Security Breach or Incident

A. Definitions

1. Confirmed Security Breach (hereinafter, “Confirmed Breach”) means any confirmed unauthorized exposure, loss of control, compromise, exfiltration, manipulation, disclosure, acquisition, or accessing of any Covered Information System or any DOJ Information accessed by, retrievable from, processed by, stored on, or transmitted within, to or from any such system.

2. Potential Security Breach (hereinafter, “Potential Breach”) means any suspected, but unconfirmed, Covered Information System Security Breach.

3. Security Incident means any Confirmed or Potential Covered Information System Security Breach.

B. Confirmed Breach. Contractor must immediately (and in no event later than within 1 hour of discovery) report any Confirmed Breach to the DOJ CO and the CO's Representative (“COR”). If the Confirmed Breach occurs outside of regular business hours and/or neither the DOJ CO nor the COR can be reached, Contractor must call DOJ-CERT at 1-866-US4-CERT (1-866-874-2378) immediately (and in no event later than within 1 hour of discovery of the Confirmed Breach) and must notify the CO and COR as soon as practicable.

C. Potential Breach.

1. Contractor must report any Potential Breach within 72 hours of detection to the DOJ CO and the COR, unless Contractor has (a) completed its investigation of the Potential Breach in accordance with its own internal policies and procedures for identification, investigation and mitigation of Security Incidents and

(b) determined that there has been no Confirmed Breach.

2. If Contractor has not decided within 72 hours of detection of the Potential Breach whether a Confirmed Breach has occurred, Contractor must report the Potential Breach to the DOJ CO and COR within one-hour (i.e., 73 hours from detection of the Potential Breach). If the time by which to report the Potential Breach occurs outside of regular business hours and/or neither the DOJ CO nor the COR can be reached, Contractor must call the DOJ Computer Emergency Readiness Team (DOJ-CERT) at 1- 866-US4-CERT (1-866-874-2378) within one-hour (i.e., 73 hours from detection of the Potential Breach) and contact the DOJ CO and COR as soon as practicable.

D. Any report submitted in accordance with paragraphs (B) and (C), above, shall identify (1) both the Information Systems and DOJ Information involved or at risk, including the type, amount, and level of sensitivity of the DOJ Information and, if the DOJ Information contains PII, the estimated number of unique instances of PII, (2) all steps and processes being undertaken by Contractor to minimize, remedy, and/or investigate the Security Incident, (3) any and all other information as required by the US-CERT Federal Incident Notification Guidelines, including the functional impact, information impact, impact to recoverability, threat vector, mitigation details, and all available incident details; and (4) any other information specifically requested by the DOJ. Contractor must continue to provide written updates to the DOJ CO regarding the status of the Security Incident at least every three (3) calendar days until informed otherwise by the DOJ CO.

E. All determinations regarding whether and when to notify individuals and/or federal agencies potentially affected by a Security Incident will be made by DOJ senior officials or the DOJ Core Management Team at DOJ’s discretion.

F. Upon notification of a Security Incident in accordance with this section, Contractor must provide to DOJ full access to any affected or potentially affected facility and/or Information System, including access by the DOJ OIG and Federal law enforcement organizations, and undertake any and all response actions DOJ determines are required to ensure the protection of DOJ Information, including providing all requested images, log files, and event information to facilitate rapid resolution of any Security Incident.

G. DOJ, at its sole discretion, may obtain, and Contractor will permit, the assistance of other federal agencies and/or third-party contractors or firms to aid in response activities related to any Security Incident. Additionally, DOJ, at its sole discretion, may require Contractor to retain, at Contractor’s expense, a Third-Party Assessing Organization (3PAO), acceptable to DOJ, with expertise in incident response, compromise assessment, and federal security control requirements, to conduct a thorough vulnerability and security assessment of all affected Information Systems.

H. Response activities related to any Security Incident undertaken by DOJ, including activities undertaken by Contractor, other federal agencies, and any third-party contractors or firms at the request or direction of DOJ, may include inspections, investigations, forensic reviews, data analyses and processing, and final determinations of responsibility for the Security Incident and/or liability for any additional response activities. Contractor must be responsible for all costs and related resource allocations required for all such response activities related to any Security Incident, including the cost of any penetration testing.

VII. Personally Identifiable Information Notification Requirement

Contractor certifies that it has a security policy in place that contains procedures to promptly notify any individual who’s Personally Identifiable Information (“PII”) was, or is reasonably determined by DOJ to have been, compromised. Any notification must be coordinated with the DOJ CO and must not proceed until the DOJ has decided that notification would not impede a law enforcement investigation or jeopardize national security. The method and content of any notification by Contractor must be coordinated with, and subject to the approval of, DOJ. Contractor must be responsible for taking corrective action consistent with DOJ Data Breach Notification Procedures and as directed by the DOJ CO, including all costs and expenses associated with such corrective action, which may include providing credit monitoring to any individuals whose PII was actually or potentially compromised.

VIII. Pass-through of Security Requirements to Subcontractors and CSPs

The requirements set forth in the preceding paragraphs of this clause apply to all subcontractors and CSPs who perform work in connection with this Contract, including any CSP providing services for any other CSP under this Contract, and Contractor shall flow down this clause to all subcontractors and CSPs performing under this contract. Any breach by any subcontractor or CSP of any of the provisions set forth in this clause will be attributed to Contractor.

(End of Clause)

(End of Attachment)

ATTACHMENT B: REFERENCED STANDARDS AND COMPLIANCE REQUIREMENTS

The Government recognizes that some of the standards and their associated data items identified below, may change. Throughout this effort, the Contractor or the Government may propose following newer standards and their associated data items that replace or supersede those below. To substitute newer standards and their associated data items the Contractor must: 1) identify existing standards and data items to be replaced; 2) identify new standards and associated data items proposed for use; 3) provide a rationale for using the new items including cost, schedule, performance, and supportability impact; and 4) receive government approval. In the event of conflict between any of the requirements comprised in the sections below, said conflict must be brought to the attention of the Government and resolved with the Government. These standards apply to services delivered by the Contractor, Services maintained by the Contractor and Service Designs proposed by the Contractor.

1. Overarching

a. E-Government Act of 2002 at https://www.gpo.gov/fdsys/pkg/PLAW-

107publ347/pdf/PLAW-107publ347.pdf.

b. Federal Information Security Management Act of 2014 (FISMA) at https://www.gpo.gov/fdsys/pkg/PLAW-113publ283/pdf/PLAW-113publ283.pdf.

c. Privacy Act of 1974, 5 U.S.C. § 552a at https://www.gpo.gov/fdsys/pkg/USCODE-2012-title5/pdf/USCODE-2012-title5-partI-chap5-subchapII-sec552a.pdf and Overview of the Privacy Act of 1974, 2015 Edition at https://www.justice.gov/opcl/overview-privacy-act- 1974-2015-edition.

d. Homeland Security Act of 2002 (Public Law 107-296, 116 Stat. 2135) at:

https://www.dhs.gov/sites/default/files/publications/hr_5005_enr.pdf

e. NIST SP 800-37 Rev 1 Guide for Applying the Risk Management Framework to Federal Information Systems: a Security Life Cycle Approach at https://csrc.nist.gov/publications/detail/sp/800-37/rev-1/final.

f. Federal Risk and Authorization Management Program (FedRAMP) at https://www.fedramp.gov/

g. NIST SP 800-53 Revision 4 at (https://nvd.nist.gov/800-53/) with DOJ specific security controls for unclassified information and information technology systems.

h. NIST SP 800-60 Vol I Rev 1 Guide for Mapping Types of Information and Information Systems to Security Categories at https://csrc.nist.gov/publications/detail/sp/800-60/vol-1-rev- 1/final and NIST SP 800-60 Vol 2 Rev 1 Guide for Mapping Types of Information and Information Systems to Security Categories: Appendices at https://csrc.nist.gov/publications/detail/sp/800-60/vol-2-rev-1/final

i. NIST SP 800-88, Revision 1 Guidelines for Media Sanitization at https://www.nist.gov/publications/nist-special-publication-800-88-revision-1-guidelines-media-sanitization

j. FIPS 199 Standards for Security Categorization of Federal Information and Information Systems at http://csrc.nist.gov/publications/fips/fips199/FIPS-PUB-199-final.pdf

k. Federal Information Processing Standard (FIPS) 140-2 Security Requirements for Cryptographic Modules at https://csrc.nist.gov/publications/detail/fips/140/2/final.

l. FIPS 200 Minimum Security Requirements for Federal Information and Information Systems at https://csrc.nist.gov/publications/detail/fips/200/final

m. Public Law 107-56 (Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept an Obstruct Terrorism (USA PATRIOT ACT) Act of 2001) at https://www.gpo.gov/fdsys/pkg/PLAW-107publ56/content-detail.html

n. NIST Special publication 800-63, Electronic Authentication Guideline at https://csrc.nist.gov/publications/detail/sp/800-63/2/archive/2013-08-29.

o. DOJ Procurement Guidance Documents (PGD) 15-03, Security…