RFP15JPSS23R00000006.pdf

U.S. Department of Justice

Justice Management Division

Procurement Services Staff

Request for Proposal NO. 15JPSS23R00000006

Transcription Support Services for the U.S. Department of

Justice and Executive Office for Immigration Review

(EOIR)

Issue Date: February 14, 2024

RFP No. 15JPSS23R00000006

1.1 General Description

This requirement is being issued by the Department of Justice (DOJ), Justice Management

Division to provide a transcription service for the Executive Office for Immigration Review

(EOIR) and DOJ -wide. The requirement will provide transcription services and court reporting services from English to English.

See PWS in Attachment 1

This is a multiple award indefinite-delivery indefinite-quantity contracts (IDIQ). DOJ will conduct an acquisition using Federal Acquisition Regulation (FAR) Subpart 12, and 16.5.

1.1.1 North American Industrial Classification Code (NAICS)

The following primary North American Industry Classification Code (NAICS Codes) is applicable to this contract:

561410 – Document Preparation Services

1.2 Scope of Contract

The scope of this contract, on an as-needed basis, provides transcription services to support DOJ and DOJ’s Executive Office for Immigration Review (EOIR). The Contractor shall furnish all resources (labor, equipment, supplies, software, materials) necessary to deliver typed transcripts of Government-owned recordings of proceedings and or immigration hearings on an as-ordered basis in 1) hard copy; 2) electronic format; or 3) both hard copy and electronic format. The contractor shall be responsible for obtaining all necessary licenses, permits and fees, and conformance with all laws, regulations, and ordinances applicable to performance under this contract. Depending on the nature of the assignment, work may be performed at the Contractor site or at a site designated by the Government.

1.3 Contract Type

This is a Hybrid IDIQ Contract with Time and Material, Labor Hour, and Firm Fixed Price

CLINS. Contract Types for individual task orders will be determined at the Task Order level.

1.4 Pricing

All prices are fixed unit prices that include all costs and profit necessary to provide the services specified in the contract. All contract unit prices shall be as specified in the CLIN pricing table. The following definitions apply to the pricing tables:

(a) All contract unit prices shall be as specified in the pricing table contained in

Attachment (2). The basic Contract Line-Item Number (CLIN) structure includes a one-digit prefix and a four-digit number. The one-digit prefix of each CLIN represents the contract period, i.e., for the Base Period, the first digit for all CLINs is

“0”, for Option Period 1, the first digit for all CLINs is “1”, etc. The first digit of the core number of each CLIN represents the Unit Price Table classification, i.e., “-1” indicates Twenty Business Days Delivery, “-2” indicates Ten Business Days

Delivery, etc. The last three digits of each CLIN number represent the “unique identifier” of each CLIN.

(b) The Contractor Program Manager is that contractor support required under PWS

Section C.3.1. All PM related costs shall be recovered through the Contractor’s fully loaded rates included in the Attachment (1) pricing table. PMO costs are not separately billable under the contract or any task order.

(c) The contract unit prices included in the pricing table shall be firm fixed priced. All firm fixed unit prices must be fully loaded to include all costs (both direct and indirect costs) and profit necessary to provide the level of service specified in the contract and/or task order.

(d) The following definitions apply to the pricing table:

1) Transcription Services - Reproduction of Government-owned recordings of immigration hearings. The final product will be submitted in: (1) original, hard copy (paper) format; (2) as an electronic document; or (3) both. Transcription will be in accordance with the directions specified in

Sections C.3.4 and C.3.5.

2) Tape - Cassette tapes on which immigration hearings are recorded.

3) Electronic Medium – refers to the various media that may be used to electronically deliver dictated decisions (e.g., CDs, thumb drives, etc.)

4) Business Days - As defined in Section 3.18.

5) Government Site - The following address:

Executive Office for Immigration Review Board of Immigration

Appeals

5107 Leesburg Pike Falls Church, VA 22041

6. Page - As defined in PWS Section 4.6 Transcription Format

(e) There is no guarantee that actual quantities ordered during the term of the contract will be the same as that in the CLIN pricing table.

Minimum and Maximum Amounts

(f) The Department will order a minimum amount of $1,000.00 under each awarded contract. The Department will have the entire term of the contract (to include all options) to fulfill the contract minimum. The specific Contract Line-Item Numbers

(CLINs) and quantities will be identified in the task order(s) issued under the contract. The exercise of the renewal options (see Section F.2) does not re- establish the contract minimum. During the life of this contract, the Department may order items in any quantity up to the maximum amount specified in paragraph (b) below. If the minimum amount has not been ordered, then the Department will exercise the option for the next year.

(g) There are no maximum quantities or amounts for each individual CLIN, task order, or contract period. The maximum aggregate amount of all task orders issued under all awarded contracts will not exceed $100,000,000.00 for the entire term of the contracts, including all options which may be exercised.

Price Adjustments Under the Service Contract Labor Standards

(h) This contract is subject to the provisions of 41 U.S.C. chapter 67, Service Contract

Labor Standards (formerly known as the Service Contract Act (SCA) of 1965, (see

Section I, clause 52.222-41). The Government will not be liable to the Contractor for any additional/increased sums/costs for which the Contractor may become liable to its employees as a result of a failure by the Contractor to properly conform or exempt its employees to the labor classifications stated in the applicable Department of Labor

(DOL) Wage Rate Determinations. Final determinations as to the proper conformance or exemption of Contractor employees under the Service Contract

Labor Standards will be the responsibility of the DOL.

(i) No price (fixed unit prices) adjustments will be made during the base period of this contract to any CLINs unless they are subject to price adjustment under FAR Clause

52.222-43.

(j) For any option periods which are exercised by the Government, all price adjustments shall be limited to, and in accordance with FAR clause 52.222-43, entitled "Fair

Labor Standards Act and Service Contract Labor Standards - Price Adjustment

(Multi-year and Option Contracts)", incorporated by reference into Section I of the contract. The Government will utilize the supporting data contained in the

Contractor's proposal to verify any increase or decrease in the contract fixed unit price(s) which may be claimed by the Contractor as a result of a revised wage determination for any option period which may be exercised by the Government. The fixed rates will be adjusted to reflect the Contractor's actual increase or decrease in applicable wages and fringe benefits to the extent that the increase is made to comply with, or the decrease is voluntarily made by the Contractor as a result of the DOL wage determination applicable at the beginning of the option period. As stated in

Clause 52.222-43, any adjustment will be limited to increases or decreases in wages and fringe benefits as described in the clause, and the accompanying increases or decreases in social security and unemployment taxes and workers' compensation insurance but shall not otherwise include any amount for general and administrative costs, overhead, or profit.

(k) The majority of the work to be performed on this contract will be accomplished at the contractor’s facilities. Therefore, the Contractor shall provide and utilize the DOL Wage

Determination that applies to its location.

1.5 Payment

(a) FAR clause 52.232-25 “Prompt Payment” is made a part of this call order by reference. Subdivision (a)(5)(i) of the Prompt Payment clause is modified to specify the following period for constructive acceptance by the Government: Government acceptance shall be deemed to have occurred constructively on the 30th day after the Contractor delivered the supplies or performed the services in accordance with the terms and conditions of the call order.

(b) The general invoice requirements of FAR 52.212-4 apply as applicable. The COR will certify invoices for payment and report any negative inspection results to the CO. Only the

CO is authorized to reject an invoice.

(c) For firm fixed price task orders the COR will certify the invoice for payment and forward the invoice to the Finance Office specified in paragraph (d) below for payment.

(d) The office that will make the payments due under this IDIQ (i.e., the designated payment office) is:

TBD at Task Order Level

(e) All follow up invoices shall be marked “Duplicate of Original.” Contractor questions regarding payment information or check identification should be directed to the DOJ

Vendor Assistance Hotline (202) 616-6260.

INVOICE CONTENTS

For Firm Fixed Price Task Orders

Invoices will be submitted upon successful delivery and Government acceptance of each deliverable. The Contractor shall develop a payment schedule based on deliverables which will be reviewed by both the COR and CO. If the payment schedule is acceptable to the

Government, the Quoter shall bill based on the deliverable schedule accepted by the

Government. Resulting Orders will indicate the payment schedule accepted by the

Government.

The invoice will contain the following:

A) CLIN/Item number of deliverable

B) Description of deliverable

C) Price of deliverable

D) Qty of deliverable

E) Date deliverable was provided to the Government for inspection.

F) Cumulative CLINs delivered and cumulative paid on delivered CLINS

For Time and Materials Task Orders

Invoices will be paid upon approval and acceptance of the services by the Government COR.

Invoices may be submitted bi-weekly and or monthly and must include, as a minimum, the following information for each individual:

A) Name of employee

B) Time Period Covered for services performed

C) Productive Direct Labor Hours/Dollars for the current billing period

D) Productive Direct Labor Hours/Dollars cumulative to date; as well as per period of performance period (if options are issued)

E) CLIN Number

F) Hourly Rate

Additional supporting documentation MAY BE REQUESTED at the discretion of the COR.

1.6. Term of the IDIQ

The anticipated term of the IDIQ will be One (1) Base Period of Twelve (12) months and

Four (4) – Twelve (12) month Option Periods.

Period of Performance

Base Period 08/01/2024-07/31/2025

Option Period 1 08/01/2025-07/31/2026

Option Period 2 08/01/2026-07/31/2027

Option Period 3 08/01/2027-07/31/2028

Option Period 4 08/01/2028-07/31/2029

1.7 Ordering Procedures

a. This is an indefinite-quantity contract for the supplies or services specified, and effective for the period stated, in the Schedule. The quantities of supplies and services specified in the Schedule are estimates only and are not purchased by this contract.

b. Services to be furnished under this IDIQ shall be ordered or confirmed by the placement of a Task order by the Contracting Officer as set forth in this Section.

Such orders may be issued anytime during the term of this contract (see Section

1.6). All Task orders will be issued in writing. All Task orders are subject to the terms and conditions of this IDIQ. In the event of a conflict between a Task order and this IDIQ, the IDIQ shall control. The Government will issue Task Orders for those segments of work defined in the contract. The Task Orders shall be the specific instruments for specific work performance.

c. Only the Justice Management Division, Procurement Services Staff (PSS), or other DOJ office as specifically designated by PSS, is authorized to place orders directly with the Contractor.

d. Any order issued during the effective period of the contract and not completed within that period shall be completed by the Contractor within the time specified in the order. In such instances, the contract shall govern the Contractor's and

Government's rights and obligations with respect to that order to the same extent as if the order were completed during the contract's effective period. Task orders executed under the IDIQ shall not extend beyond 365 days (one year) after the

IDIQ’s expiration date.

e. Funds for services to be provided under this contract will be obligated by each

Task order. For Task orders issued on a T&M/ LH basis or FFP, funds will be obligated as a not-to-exceed (NTE) amount. The Government shall not be obligated to pay the Contractor any amount in excess of the NTE amount identified in the Task order, and the Contractor shall not be obligated to continue performance if to do so would exceed the NTE amount unless and until the

Contracting Officer shall have notified the Contractor in writing that the Task order amount has been increased and shall have specified in the notice a revised

NTE amount.

f. There is no limit on the number of orders that may be issued against this contract, if and when needed within the maximum ordering quantity of $100M. The government may issue orders requiring delivery to multiple destinations or performance at multiple locations. There are no minimum or maximum dollar amount limitations for individual Task orders placed under this IDIQ. The

(cumulative) ceiling amount of all orders placed under this contract is estimated to be $100 Million.

1.8 Fair Consideration and Selection Criteria

(a) All work will be initiated by individual work orders issued under specific task orders.

Individual work orders will be assigned by the Contracting Officer’s Representative

(COR) or Alternate Contracting Officer’s Representative (ACOR). The COR/ACOR will exercise broad discretion in ensuring that each Contractor is provided a fair opportunity to be considered for each work order. In making the work order assignment, the

COR/ACOR may consider:

(1) Potential size and length of work order at completion;

(2) Availability of Contractor resources given the requirement’s timetable and the Contractor's existing workload;

(3) Suitability of Contractor's available resources given the nature of the requirements;

(4) Whether the work is a logical follow-on to a previous/on-going order issued under the contract;

(5) Comparison of CLIN prices for the required support;

(6) Contractor's cost control history under orders for similar types of support; and

(7) Quality of the Contractor's past performance under orders for similar types of support.

(b) The COR/ACOR will not necessarily contact each Contractor before assigning the work order. Streamlined procedures may be employed.

(c) If necessary to meet the minimum guarantee, the Government will assign work orders to each Contractor without resorting to the procedures outlined in paragraph a above.

2. Contract Administration

2.1 Contracting Officer's Representative (COR)

(a) The performance of work required herein shall be subject to the technical direction of the cognizant Contracting Officer's Representative (COR) or his designee with respect to technical matters pertaining hereto. As used herein, "Technical Direction" is direction to the Contractor which fills in details, suggests possible lines of inquiry, or otherwise supplements the scope of work. "Technical Direction" must be confined to the general scope of work set forth herein and shall not constitute a new assignment, nor supersede or modify any other Clause of this Task order. To be valid, technical direction:

1. Must be issued in writing consistent with the general scope of work set forth in the Task order;

2. Shall not change the expressed terms, conditions, or specifications incorporated into this Task order; and

3. Shall not constitute a basis for extension to the Task order delivery schedule or

Task order price.

(b) The COR is authorized to:

1. Act as liaison and to coordinate contractor/government activities;

2. Arrange for and coordinate the use of government resources (personnel, space, documents, etc.);

3. Provide technical guidance in the performance of the Task order; and

4. Receive, review, and approve (but not reject or deny) progress reports, selected invoices and final reports or other functions of a technical nature. The authority to reject performance and deny associated invoices is expressly reserved for the

Contracting Officer.

(c) The COR does not have the authority to alter the Contractor's obligations under the Task order; direct changes that fall within the purview of the clause entitled "Changes" and/or modify any of the expressed terms, conditions, specifications, or price of the Task order.

If as a result of technical discussions, it is desirable to alter/change contractual obligations or the

Specification/Work Statement, the Contracting Officer shall issue such changes in writing and signed.

(d) The COR assigned cognizance of this Task order will be specified in the individual Task order.

TBD

A copy of all written communications shall be concurrently emailed or otherwise furnished to the Contracting Officer at the address set forth elsewhere in this section.

2.2 Task order Administration

The Government intends to assign a primary COR to support management of the IDIQ.

Task orders executed under the IDIQ will have a COR or Government Technical Monitor

(GTM) assign to monitor contractor performance and subsequent reporting. The Procuring

Contracting Officer (PCO) will continue to support administration post award as the

Administrative Contracting Officer (ACO).

This Task order will be administered by:

_________TBD______________

U.S. Department of Justice

Procurement Services Staff

145 N St., NE, Suite ________

Washington, DC 20530

Telephone: 202-___________

Written communications shall refer to the Task order number and shall be mailed to the above address.

2.3 Contractor Representative

The Contractor must provide the name, address, email, and phone number for the primary representative who will be contacted for all Task order administration matters:

TBD

2.4 Security Programs Manager (SPM)

Upon Task order award, the government will designate a Security Programs Manager (SPM) to coordinate those aspects of this Task order which pertain to obtaining and maintaining security clearances at the appropriate levels for contractor personnel performing hereunder.

During the post-award phase of this Task order, the SPM is responsible for performing the following duties:

1. Provide the Contracting Officer with the appropriate contractor personnel security screening requirements (including waiver requirements, if appropriate) and background investigation (BI) requirements for obtaining services of non-federal employees under the resultant Task orders.

2. Determine the risk level for each contractor position. The risk level must be based on an overall assessment of the damage that an untrustworthy contractor could cause to the efficiency or the integrity of Departmental operations. The SPM shall provide this information to the

Contracting Officer for inclusion in the resultant Task order.

3. Certify that the personnel security requirements of the Task order are adequate to ensure the security of Departmental operations, information, and personnel. The SPM shall provide this written certification to the Contracting Officer.

The SPM for this contract is:

_____TBD________________

The personnel security requirements of this contract are set forth in the Section 3.0 of this contract.

Following award of this contract, the SPM shall ensure that the personnel security requirements set forth herein are followed. In addition, the SPM shall comply with the supplemental guidelines provided to him or her by the Contracting Officer.

3.0 Department of Justice Special Clauses

3.1 DOJ-01 Whistleblower Information Distribution (Oct 2021)

Within 30 days of contract award, the contractor and its subcontractors must distribute the

“Whistleblower Information for Employees of DOJ Contractors, Subcontractors, Grantees, or

Sub-Grantees or Personal Services Contractors” (“Whistleblower Information”) document to their employees performing work in support of the products and services delivered under this contract (https://oig.justice.gov/sites/default/files/2020-04/NDAA-brochure.pdf). By agreeing to the terms and conditions of this contract, the prime contractor acknowledges receipt of this requirement, in accordance with 41 U.S.C. § 4712 and FAR 3.908 & 52.203-17 and commits to distribution. Within 45 days of award, the contractor must provide confirmation to the contracting officer verifying that it has distributed the whistleblower information as required.

(End of Clause)

3.2 DOJ-02 Contractor Privacy Requirements (JAN 2022)

Limiting Access to Privacy Act and Other Sensitive Information

(1) Privacy Act Information

In accordance with FAR 52.224-1 Privacy Act Notification (APR 1984) and FAR 52.224-2

Privacy Act (APR 1984), if this contract requires Contractor personnel to have access to information protected by the Privacy Act of 1974, the contractor is advised that the relevant DOJ system of records notices (SORNs) applicable to this Privacy Act information may be found at https://www.justice.gov/opcl/doj-systems-records.[1] Applicable SORNs published by other agencies may be accessed through those agencies’ websites or by searching the Federal Digital

System (FDsys) available at http://www.gpo.gov/fdsys/. SORNs may be updated at any time.

(2) Prohibition on Performing Work Outside a Government Facility/Network/Equipment

Except where use of Contractor networks, IT, other equipment, or Workplace as a Service

(WaaS) is specifically authorized within this contract, the Contractor shall perform all tasks on authorized Government networks, using Government-furnished IT and other equipment and/or

WaaS and Government information shall remain within the confines of authorized Government networks at all times. Any handling of Government information on Contractor networks or IT must be approved by the Senior Component Official for Privacy of the component entering into this contract. Except where remote work is specifically authorized within this contract, the

Contractor shall perform all tasks described in this document at authorized Government facilities; the Contractor is prohibited from performing these tasks at or removing Government-furnished information to any other facility; and Government information shall remain within the confines of authorized Government facilities at all times. Contractors may only access classified materials on government furnished equipment in authorized government owned facilities regardless of remote work authorizations.

(3) Prior Approval Required to Hire Subcontractors

The Contractor is required to obtain the Contracting Officer's approval prior to engaging in any contractual relationship (Subcontractor) in support of this contract requiring the disclosure of information, documentary material and/or records generated under or relating to this contract.

The Contractor (and any Subcontractor) is required to abide by Government and Agency guidance for protecting sensitive and proprietary information.

(4) Separation Checklist for Contractor Employees

The Contractor shall complete and submit an appropriate separation checklist to the Contracting

Officer before any employee or Subcontractor employee terminates working on the contract. The

Contractor must submit the separation checklist on or before the last day of employment or work on the contract. The separation checklist must verify: (1) return of any Government-furnished equipment; (2) return or proper disposition of personally identifiable information (PII)[2], in paper or electronic form, in the custody of the employee or Subcontractor employee including the sanitization of data on any computer systems or media as appropriate; and (3) termination of any technological access to the Contractor’s facilities or systems that would permit the terminated employee’s access to PII or other sensitive information.

In the event of adverse job actions resulting in the dismissal of a Contractor or Subcontractor employee before the separation checklist can be completed, the Prime Contractor must notify the

Contracting Officer within 24 hours and confirm receipt of the notification. In the case the

Contractor is unable to notify the Contracting Officer, then the Contractor should notify the

Contract Officer’s Representative (COR).

Contractors must complete the separation checklist with the Contracting Officer or COR by returning all Government-furnished property including, but not limited to, computer equipment, thumb drives, media, credentials and passports, smart cards, mobile devices, Personal Identity

Verification (PIV) cards, calling cards, and keys and terminating access to all user accounts and systems. Unless the Contracting Officer requests otherwise, the relevant Program Manager or other Key Personnel designated by the Contracting Officer or COR may facilitate the return of equipment.

B. Privacy Training, Safeguarding, and Remediation

(1) Required Security and Privacy Training for Contractors

The Contractor must ensure that all employees take appropriate privacy training, including

Subcontractors who have access to PII as well as the creation, use, dissemination and/or destruction of PII at the outset of the employee’s work on the contract and every year thereafter.

Training must include procedures on how to properly handle PII, including heightened security requirements for the transporting or transmission of sensitive PII, and reporting requirements for a suspected breach or loss of PII. These courses, along with more information about DOJ security and training requirements for Contractors, are available at https://www.justice.gov/jmd/learndoj. The Federal Information Security Modernization Act of

2014 (FISMA) requires all individuals accessing DOJ information to complete training on records management, cybersecurity awareness, and information system privacy awareness.

Contractor employees are required to sign the “Privacy Rules of Behavior,” acknowledging and agreeing to abide by privacy law, policy, and certain privacy safeguards, prior to accessing DOJ information. These Rules of Behavior are made available to all new users of DOJ’s computer network and to trainees at the conclusion of DOJ-OPCL-CS-0005.

The Contractor should maintain copies of certificates as a record of compliance and must submit an email notification annually to the COR verifying that all employees working under this contract have completed the required privacy and cybersecurity training.

(2) Safeguarding PII Requirements

Contractor employees must comply with DOJ Order 0904 and other guidance published to the publicly-available Office of Privacy and Civil Liberties (OPCL) Resources page [3] relating to the safeguarding of PII, including the use of additional controls to safeguard sensitive PII (e.g., the encryption of sensitive PII). This requirement flows down from the Prime Contractor to all

Subcontractors and lower tiered subcontracts.

(3) Non-Disclosure Agreement Requirement

Prior to commencing work, all Contractor personnel that may have access to PII or other sensitive information shall be required to sign a Non-Disclosure Agreement (NDA) and the DOJ

IT Rules of Behavior. The Non-Disclosure Agreement:

(a) prohibits the Contractor from retaining or divulging any PII or other sensitive information, or derivatives therefrom, furnished by the Government or to which they may otherwise come in contact as a result of their performance of work under the contract/task order that is otherwise not publicly available, whether or not such information has been reduced to writing; and

(b) requires the Contractor to report any loss of control, compromise, unauthorized disclosure, or unauthorized acquisition of PII or other sensitive information to the component-level or headquarters Security Operations Center within one (1) hour of discovery.

The Contractor should maintain signed copies of the NDA for all employees as a record of compliance. The Contractor should also provide copies of each employee’s signed NDA to the

Contracting Officer before the employee may commence work under the contract/task order.

(4) Prohibition on Use of PII in Vendor Billing and Administrative Records

The Contractor’s invoicing, billing, and other financial or administrative records or databases is not authorized to regularly store or include any sensitive PII or other confidential government information that is created, obtained, or provided during the performance of the contract without the written permission of the Senior Component Official for Privacy (SCOP). It is acceptable to list the names, titles and contact information for the Contracting Officer, COR, or other personnel associated with the administration of the contract in the invoices as needed.

(5) Reporting Actual or Suspected Data Breach

Contractors must report any actual or suspected breach of PII within one hour of discovery.[4] A

“breach” is an incident or occurrence that involves 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 PII or (2) an authorized user accesses or potentially accesses PII for an other than authorized purpose. The report of a breach must be made to DOJ. The Contractor must cooperate with DOJ’s inquiry into the incident and efforts to minimize risks to DOJ or individuals, including remediating any harm to potential victims.

(a) The Contractor must develop and maintain an internal process by which its employees and

Subcontractors are trained to identify and report the breach, consistent with DOJ Instruction

0900.00.01[5], Reporting and Response Procedures for a Breach of Personally Identifiable

Information.

(b) The Contractor must report any such breach by its employees or Subcontractors to the DOJ

Security Operations Center (dojcert@usdoj.gov, 202-357-7000); Component-level Security

Operations Center and Component-level Management Team, where appropriate; the COR; and the Contracting Officer within one (1) hour of the initial discovery.

(c) The Contractor must provide a written report to the DOJ Security Operations Center

(dojcert@usdoj.gov, 202-357-7000) within 24 hours of discovery of the breach by its employees or Subcontractors. The report must contain the following information:

(i) Narrative or detailed description of the events surrounding the suspected loss or compromise of information.[6] Date, time, and location of the incident.

(ii) Amount, type, and sensitivity of information that may have been lost or compromised, accessed without authorization, etc.

mailto:dojcert@usdoj.gov

(iii) Contractor’s assessment of the likelihood that the information was compromised or lost and the reasons behind the assessment.[7]

(iv) Names and classification of person(s) involved, including victim, Contractor employee/Subcontractor and any witnesses.

(v) Cause of the incident and whether the company’s security plan was followed and, if not, which specific provisions were not followed.[8]

(vi) Actions that have been or will be taken to minimize damage and/or mitigate further compromise.

(vii) Recommendations to prevent similar situations in the future, including whether the security plan needs to be modified in any way and whether additional training may be required.

(d) The Contractor shall provide full access and cooperation for all activities determined by the

Government to be required to ensure an effective incident response, including providing all requested images, log files, and event information to facilitate rapid resolution of sensitive information incidents.

(e) At the Government’s discretion, Contractor employees or Subcontractor employees may be identified as no longer eligible to access PII or to work on that contract based on their actions related to the loss or compromise of PII.

(6) Victim Remediation

At DOJ’s request, the Contractor is responsible for notifying victims and providing victim remediation services in the event of a breach of PII held by the Contractor, its agents, or its

Subcontractors, under this contract. Victim remediation services shall include at least 18 months of credit monitoring and, for serious or large incidents as determined by the Government, call center help desk services for the individuals whose PII was lost or compromised. When DOJ requests notification, the Department Chief Privacy and Civil Liberties Officer and SCOP will direct the Contractor on the method and content of such notification to be sent to individuals whose PII was breached. By performing this work, the Contractor agrees to full cooperation in the event of a breach. The Contractor should be self-insured to the extent necessary to handle any reasonably foreseeable breach, with another source of income, to fully cover the costs of breach response, including but not limited to victim remediation.

C. Government Records Training, Ownership, and Management

(1) Records Management Training and Compliance

(a) The Contractor must ensure that all employees and Subcontractors that have access to PII as well as to those involved in the creation, use, dissemination and/or destruction of PII take the DOJ Records and Information Training for New Employees (RIM) training course or another training approved by the Contracting Officer or COR. This training will be provided at the outset of the Subcontractor’s/employee’s work on the contract and every year thereafter. The

Contractor shall maintain copies of certificates as a record of compliance and must submit an email notification annually to the COR verifying that all employees working under this contract have completed the required records management training.

(b) The Contractor agrees to comply with Federal and Agency records management policies, including those policies associated with the safeguarding of records containing PII and those covered by the Privacy Act of 1974. These policies include the preservation of all records created or received regardless of format, mode of transmission, or state of completion.

(2) Records Creation, Ownership, and Disposition

(a) The Contractor shall not create or maintain any records not specifically tied to or authorized by the contract using Government IT equipment and/or Government records or that contain

Government Agency information. The Contractor shall certify, in writing, the appropriate disposition or return of all Government information at the conclusion of the contract or at a time otherwise specified in the contract. In accordance with 36 CFR 1222.32, the Contractor shall maintain and manage all Federal records created in the course of performing the contract in accordance with Federal law. Records may not be removed from the legal custody of DOJ or destroyed except in accordance with the provisions of the agency records schedules.

(b) Except as stated in the Performance Work Statement and, where applicable, the Contractor’s

Commercial License Agreement, the Government Agency owns the rights to all electronic information (electronic data, electronic information systems or electronic databases and all supporting documentation and associated metadata created as part of this contract. All deliverables (including all data and records) under the contract are the property of the U.S.

Government and may be considered federal records, for which the Agency shall have unlimited rights to use, dispose of, or disclose such data contained therein. The Contractor must deliver sufficient technical documentation with all data deliverables to permit the agency to use the data.

(c) The Contractor shall not retain, use, sell, disseminate, or dispose of any government data/records or deliverables without the express written permission of the Contracting Officer or

Contracting Officer’s Representative. The Agency and its contractors are responsible for preventing the alienation or unauthorized destruction of records, including all forms of mutilation. Willful and unlawful destruction, damage or alienation of Federal records is subject to the fines and penalties imposed by 18 U.S.C. § 2701. Records may not be removed from the legal custody of the Agency or destroyed without regard to the provisions of the Agency records schedules.

D. Data Privacy and Oversight

(1) Restrictions on Testing or Training Using Real Data Containing PII

The use of real data containing PII from any source for testing or training purposes is generally prohibited. The Contractor shall use synthetic or de-identified real data for testing or training whenever feasible.

(2) Requirements for Contractor IT Systems Hosting Government Data

The Contractor is required to obtain an Authority To Operate (ATO) for any IT environment owned or controlled by the Contractor or any Subcontractor on which Government data shall reside for the purposes of IT system development, design, data migration, testing, training, maintenance, use, or disposal.

(3) Requirement to Support Privacy Compliance

(a) If this contract requires the development, maintenance, or administration of information technology [9], the Contractor shall support the completion of the Initial Privacy Assessment

(IPA) document, if requested by Department personnel. An IPA is the first step in a process to identify potential privacy issues and mitigate privacy risks. The IPA asks basic questions to help components assess whether additional privacy protections may be needed in designing or implementing a project[10] to mitigate privacy risks, and whether compliance work may be needed. Upon review of the IPA, the OPCL determines whether a Privacy Impact Assessment

(PIA) document and/or SORN, or modifications thereto, are required. The Contractor shall provide adequate support to complete the applicable risk assessment and PIA document in a timely manner and shall ensure that project management plans and schedules include the IPA, PIA, and SORN (to the extent required) as milestones. Additional information on the privacy compliance process at DOJ, including IPAs, PIAs, and SORNs, is located on the DOJ OPCL website (https://dojnet.doj.gov/privacy/), including DOJ Order 0601, Privacy and Civil Liberties.

The Privacy Impact Assessment Guidance and Template outline the requirements and format for the PIA.

(b) If the contract involves an IT system build or substantial development or changes to an IT system that may require privacy risk assessment and documentation, the Contractor shall provide adequate support to DOJ to ensure DOJ can complete any required assessment, and IPA, PIA, SORN, or other supporting documentation to support privacy compliance. The Contractor shall work with personnel from the program office, OPCL, the Office of the Chief Information Officer

(OCIO), and the Office of Records Management and Policy to ensure that the privacy assessments and documentation are kept on schedule, that the answers to questions in the documents are thorough and complete, and that questions asked by the OPCL, and other offices are answered in a timely fashion. The Contractor must ensure the completion of required PIAs and documentation of privacy controls consistent with federal law and standards, e.g. NIST 800-

53, Rev. 5; and compliance with the Privacy Act of 1974, E-Government Act of 2002, Federal

Information Security Modernization Act of 2014, and key OMB guidelines, e.g., OMB Circular

A-130.

[1] “[T]he term ‘record’ means any item, collection, or grouping of information about an individual that is maintained by an agency, including, but not limited to, his education, financial transactions, medical history, and criminal or employment history and that contains his name, or the identifying number, symbol, or other identifying particular assigned to the individual, such as a finger or voice print or a photograph.” 5 U.S.C. § 552a(a)(4). “[T]he term ‘system of records’ means a group of any records under the control of any agency from which information is retrieved by the name of the individual or by some identifying number, symbol, or other identifying particular assigned to the individual.” 5 U.S.C. § 552a(a)(5).

[2] As stated in FAR 52.224-3 and Office of Management and Budget (OMB) Circular A-130, Managing Federal Information as a Strategic Resource (2016), “’personally identifiable information’ means information that can be used to distinguish or trace an individual's identity, either alone or when combined with other information that is linked or linkable to a specific individual.” Regarding “sensitive PII,” “[t]he sensitivity level of the PII will depend on the context, including the purpose for which the PII is created, collected, used, processed, stored, maintained, disseminated, disclosed, or disposed. For example, the sensitivity level of a list of individuals’ names may depend on the source of the information, the other information associated with the list, the intended use of the information, the ways in which the information will be processed and shared, and the ability to access the information.” OMB Circular A-130, at

App. II-2.

[3] The DOJ OPCL Resources page is available at https://www.justice.gov/opcl/resources.

[4] As stated in DOJ Instruction 0900, “Contractors must notify the Contracting Officer, the

Contracting Officer’s Representative, and JSOC (or component-level SOC) within 1 hour of discovering any incidents, including breaches, consistent with this Instruction, guidance issued by the CPCLO, NIST standards and guidelines, and the US-CERT notification guidelines.”

[5] https://www.justice.gov/file/4336/download

[6] As stated in DOJ Instruction 0900, the description should include the type of information that constitutes PII; purpose for which PII is collected, maintained, and used; extent to which PII identifies a peculiarly vulnerable population; the determination of whether the information was properly encrypted or rendered partially or completely inaccessible by other means; format of PII

(e.g., whether PII was structured or unstructured); length of time PII was exposed; any evidence confirming that PII is being misused or that it was never accessed.

[7] As stated in DOJ Instruction 0900, the report should include the nature of the cyber threat

(e.g., Advanced Persistent Threat, Zero Day Threat, data exfiltration) for cyber incidents.

[8] As stated in DOJ Instruction 0900, the report should include analysis on whether the data is accessible, usable, and intentionally targeted.

https://www.justice.gov/file/4336/download

[9] As defined in 40 U.S.C. § 11101, the term “information technology” means any equipment or interconnected system or subsystem of equipment, used in the automatic acquisition, storage, analysis, evaluation, manipulation, management, movement, control, display, switching, interchange, transmission, or reception of data or information by the executive agency, if the equipment is used by the executive agency directly or is used by a contractor under a contract with the executive agency that requires the use (i) of that equipment or (ii) of that equipment to a significant extent in the performance of a service or the furnishing of a product; includes computers, ancillary equipment (including imaging peripherals, input, output, and storage devices necessary for security and surveillance), peripheral equipment designed to be controlled by the central processing unit of a computer, software, firmware and similar procedures, services

(including support services), and related resources; but does not include any equipment acquired by a federal contractor incidental to a federal contract.

[10] In this instance, the term “project” is used to scope the activities (e.g., creating, collecting, using, processing, storing, maintaining, disseminating, disclosing, or disposing of information) covered by an IPA. A project is intended to be technology-neutral, and may include an information system, a digital service, an information technology, a combination thereof, or some other activity that may create potential privacy issues or privacy risks that would benefit from an

IPA. The scope of a project covered by an IPA is discretionary, but components should work with their SCOP and OPCL.

(End of Clause)

3.3 DOJ 03 Personnel Security Requirements for Contractor Employees (NOV 2021)

Work performed under this contract will involve any one or more of the following: access to

DOJ Information, which may include Controlled Unclassified Information (CUI), i.e., unclassified, sensitive DOJ information, and/or access to DOJ Information Technology (IT) systems, and/or unescorted access to DOJ space or facilities. Contractor employees will occupy

Public Trust Positions, unless clause alternates are applied.

1. General Requirements

(a) (1) All references to “contract(or) personnel” and “contract(or) employee” in this clause means all individuals, without limitation, to include individuals employed by the contractor, team member, subcontractor, consultant, and/or independent contractor, who will have access to information of the Department of Justice (DOJ) or information that is within the custody and control of the DOJ, access to DOJ IT systems, and/or unescorted access to DOJ facilities/space in connection with the performance of this contract. “Employment” as used herein does not create nor imply an employer/employee relationship between the DOJ and contractor employees.

(b) (1) The type of security investigation required for each contractor employee will be governed by the type and risk level of information made available to the contractor employee.

The contractor will not be permitted to commence performance under this contract until a sufficient number of its personnel, as determined by the Security Programs Manager (SPM), in consultation with the Contracting Officer’s Representative if one is appointed, have received the requisite security

(c) Except where specifically noted otherwise, the federal government will be responsible for the cost and conduct of the investigation.

(d) The contractor shall ensure that no contractor employee commences performance prior to receipt of a written authorization from the contracting officer, COR, or the SPM that performance by the respective contractor employee is authorized.

(e) The data and other information to which the contractor may have access as a result of this contract is the property of, and/or within the custody and control of, the Department, and its disclosure to third parties is governed by various statutes and regulations, the violation of which may subject the discloser to criminal

2. Citizenship and Residency Requirements

(a) Residency Requirement. (1) Contractor employees in Public Trust positions, both U.S.

citizens and non-U.S. citizens, must meet the Department’s residency requirement if they will require access to DOJ information, IT systems, or unescorted access to facilities. For three years

(not necessarily consecutive years) out of the last five years immediately prior to employment under the Department contract the contractor employee must have: (i) resided in the U.S.; (ii) worked for the U.S. in a foreign country as either an employee or contractor in a federal civilian or military capacity; or (iii) been a dependent of a federal civilian or military employee or contractor working for the U.S. in a foreign country. At the Department’s sole discretion, the residency requirement may be waived by the Department Security Officer (DSO) for contractor employees on a case-by-case basis where justified by extenuating circumstances. The residency requirement does not apply to contractor employees residing in foreign countries that are hired to work in American embassies/consulates/missions located outside of the United States and who require access to DOJ information, IT systems, or unescorted access provided that an adequate background investigation can be conducted, with favorable adjudication, as determined by the

DSO.

(b) Citizenship. (1) Aside from the specific exceptions set forth in Section 1.2(b)(2), for Public

Trust positions, the DOJ requires that contractor employees be U.S. citizens and nationals, or lawful permanent residents seeking U.S. citizenship. Any prospective non-U.S. citizen contractor employee who requires access to DOJ information systems, DOJ information, and/or unescorted facilities access must also have been granted a waiver as described below in paragraphs 1.2(d) and/or (e). The contractor is responsible for verifying that the non-U.S. citizens working under this contract are lawful permanent residents seeking U.S.

(2) Exception for Certain Non-U.S. Citizen Contractor Employees: (i) Non-U.S. citizen expert witnesses, litigative consultants, and interpreters in rare foreign languages are not required to be lawful permanent residents seeking U.S. citizenship. However, they must be granted a waiver for access to unclassified DOJ information, whether CUI or not, DOJ IT systems, and/or unescorted facility access, as described below in paragraph 1.2(d) and (e), regardless of the duration of their duties. (ii) Non-U.S. Citizen contractor employees residing in foreign countries who are hired to work for the Department of Justice in American embassies/consulates/missions outside of the United States are not required to be lawful permanent residents seeking U.S.

citizenship.

(c) Dual Citizenship. (1) S. citizens who hold dual citizenship with a foreign country are considered U.S. citizens within the meaning of this clause, and may be considered for, but are not entitled to, contract employment as U.S. citizens consistent with this clause.