RFQ000913_Web Based Postage Services.pdf

REQUEST FOR QUOTATION

FEDERAL BUREAU OF

INVESTIGATION

FINANCE DIVISION | PROCUREMENT SECTION

Request for Quotation

Please note, this is not an Order

Date: September 13, 2024

To: Interested Vendors

From: Federal Bureau of Investigation / Finance Division

Subject: Request for Quotation – Web Based Postage Services

Solicitation Number: RFQ000913

The Federal Bureau of Investigation (FBI) Procurement Section is issuing this Request for

Quotation (RFQ) for the purpose of establishing a Firm Fixed Price, single award definitive contract for one (1) base year and four (4) possible one-year option periods to acquire Web

Based Postage as stated in Attachment A Statement of Work (SOW).

The anticipated period of performance for this Contract shall be September 29, 2024, through

September 28, 2029. The services shall be provided to 331 offices. The period of performance is as follows:

Period CLIN Begin End

Base 0001 09/29/2024 09/28/2025

Option Year 1 1001 09/29/2025 09/28/2026

Option Year 2 2001 09/29/2026 09/28/2027

Option Year 3 3001 09/29/2027 09/28/2028

Option Year 4 4001 09/29/2028 09/28/2029

Contractors interested in competing for this effort may submit quotes in accordance with the procedures set forth in this RFQ. All quotes shall be firm-fixed-priced. The Government reserves the right to terminate the RFQ at any time during the validity period.

Quotes shall be valid for at least 90 days after the closing date of the solicitation.

Questions or Requests for Additional Information shall Are Due: Tuesday, September 17th, 2024 @ 1:00pm CT

Quotes Must Be Submitted No Later Than: Monday, September 23rd 2024 @ 1:00pm CT.

Quotations/offers sent via other means (i.e. via telephone call, facsimile transmission, etc.) will not be considered.

1.0 General Description

This is a combined synopsis/solicitation for commercial items prepared in accordance with the format in Federal Acquisition Regulations (FAR) Subpart 12.6, as supplemented with additional information included in this notice. This announcement constitutes the only solicitation; quotes are being requested and a written solicitation will not be issued. Interested parties are responsible for monitoring this site to ensure they have the most up to date information about this acquisition. No partial quotes will be considered. No partial awards will be made.

The North American Industry Classification System NAICS: 561499, All Other Business

Support Services; the size standard is $21.5 M. The statement of work (SOW) is attached as

Attachment 1. This contract will be structured as Firm Fixed Price, single award definitive contract for one (1) base year and four (4) possible one-year option periods. Contract awarded will be awarded on an all or none basis as a commercial purchase. The FBI anticipates making this contract award to the offeror who is technically acceptable with a fair and reasonable price.This solicitation document and incorporated provisions and clauses are those in effect through Federal Acquisition Circular FAC 2024-05. This requirement will be awarded on an all or none basis as a commercial item under the procedures at FAR Parts 12 and 13.

2.0 Descriptions / Specifications

2.1 Purpose

The purpose of this contract is to provide the services of a United States Postal Service (USPS) approved contractor to provide 24/7 web-based postage directly via a secure Internet website.

Services shall include, but are not limited to weighing, calculating and printing of postage to be physically affixed on each mail piece; obtaining all postage via the USPS Official Mail Accounting

System (OMAS); providing postage tracking and activity in report form by each location and user;

as well as digital scales, automated and timely postage rate increases, installation, training, USPS registration, licenses, fees, supplies, call center technical support and consolidated invoicing. All services, equipment, postage, supplies, etc., shall meet USPS regulations and be in full compliance with all regulations described in the most current issue of the USPS Domestic Mail Manual. Noter this requirement does not require Cloud based services. The classification for this procurement is unclassified.

2.2 Scope of Work

The service is web-based postage with 331 account that user can access via the internet. The service also includes the physical scales that will be provided by the contractor to each of the 331 locations. The service will be used by 331 locations to be disclosed to the awardee at the time of award.

Shipping cost (within CONUS) is to be included in vendor’s pricing for any equipment or items to be shipped.

Please see Attachment A Statement of Work (SOW) for the full scope of work.

2.3 Type of Contract

The Government intends to establish a single award definitive contract. The Contract shall establish firm pricing for one (1) twelve-month base period and four (4) twelve-month option periods.

2.4 Contract Line Items (Fixed Prices) / CLIN Structure

The offeror shall provide firm-fixed pricing for the work stated in the Statement of Work in

Attachment A –for the base period and four (4) subsequent option periods. This pricing will reflect the Contractor’s ability to fulfill this requirement in its entirety. Failure to quote the period of performance in its entirety will result in the offeror being considered nonresponsive and, therefore, not considered for award. Shipping cost (within CONUS) is to be included in vendor’s pricing for any equipment or items to be shipped. Deliveries shall be shipped FOB Destination to all FBI (and other approved Federal government) locations within the continental United States (CONUS), as well as Hawaii, Alaska, and Puerto Rico.

Pricing should follow the Contract Line-Item Number(s) (CLIN(s)) as stated in the chart below. A firm fixed price should be quoted for each year.

The table below lists the Contract Line-Item Number(s) (CLIN(s)):

Base 0001 09/29/2024 09/28/2025

Option Year 1 1001 09/29/2025 09/28/2026

Option Year 2 2001 09/29/2026 09/28/2027

Option Year 3 3001 09/29/2027 09/28/2028

Option Year 4 4001 09/29/2028 09/28/2029

The Government will order services/ supplies as needed during the performance period of this contract. The services and supplies listed in Attachment A—SOW are estimates only and will not guarantee purchases by this contract.

2.5 Purchase Ceiling

The anticipated ceiling for this Contract, to include the base period and four (4) option periods, is

$400,000.00.

2.6 Delivery and Installation/ Package Processing

See Attachment A – SOW

2.7 Reports and Administrative Duties

See Attachment A- SOW

2.8 Ordering Process

See Attachment A- SOW

2.9 Invoice and Payment

The Federal Bureau of Investigation (FBI) requires vendors to submit invoices and supporting documentation electronically through the Invoice Processing Platform (IPP).

IPP is a secure, web-based electronic invoicing system provided by the U.S. Department of the

Treasury’s Bureau of the Fiscal Service (Treasury) in partnership with the Federal Reserve Bank of St. Louis (FRSTL). IPP is available at no cost to any commercial vendor or independent contractor doing business with a participating government agency. To learn more about IPP, please visit IPP.gov.

The following sections provide important information regarding FBI’s electronic invoicing requirements.

Invoice Submission

Vendors are required to create and submit electronic invoices using the IPP system. Invoices submitted by email will not be accepted. This requirement applies immediately upon contract award.

3.0 Quotation Requirements

• All quotes shall be firm fixed price.

• Vendor must provide evidence that they are a United States Postal Service (USPS) approved contractor authorized to provide 24/7 web-based postage directly via a secure

Internet website. (i.e. certificate, authorization letter). If documentation is not included in submitted bid, quote shall be considered “unresponsive”.

• Offers shall be valid for 90 calendar days from closing of posting.

The provision at FAR 52.212-1, Instructions to Offerors-Commercial Products and Commercial

Services (Mar 2023) is incorporated by reference. The provision is amended as follows:

Responsible sources shall provide the following:

1. Cover Page –

The Cover page should include the following:

a. Company name and address,

b. Point of Contact (POC) with the ability to contractually bind the company, POC phone number, POC email address

c. Unique Entity Identifier

d. Small business representation and associated NAICS http://www.ipp.gov/

2. Technical Volume:

Technical Approach and Management Plan. This volume is limited to 15 pages total

(excluding resumes and relevant experience narratives) and shall be submitted as a pdf and labeled VendorName_TechVolume with VendorName replaced with quoter’s company name.

The Quoter shall provide a brief narrative detailing experience providing similar services as those required in the SOW for at least two contracts performed within the past 3 years.

3. Past Performance

The past performance proposal serves to share information regarding the quality of an Offeror’s past performance and the extent of an Offeror’s experience performing the required work. The Offeror shall forward a copy of the past performance questionnaire, located in Section J, Attachment 2, to three (3) references.

References should be associated with either current contracts or contracts performed within the past three (3) years that are similar to this requirement in scope, size, and complexity. If possible, references should come from the law enforcement community. Do not forward questionnaire to FBI personnel; internal performance reports are accessible to evaluators.

Clear instructions shall be provided to the references requesting the completed form be sent directly to the attention of the Contracting Officer. It is imperative that the references have the past performance questionnaire completed and returned by the proposal deadline. The completed questionnaires may be returned electronically.

Point of contact information:

Holly Cloud Contract Specialist Federal Bureau of Investigation e-mail: hcloud@fbi.gov

The Offeror shall provide in its proposal, a list of references that were requested to respond to the past performance questionnaire along with point of contact information (name, email address, phone number). The Contracting Officer will make one attempt to contact the reference(s) that did not return the past performance questionnaire by the deadline. Ratings on past performance can only be given on the responses received. An Offeror without any past performance information will receive a neutral rating.

The Government reserves the right to consider any past performance information, above and beyond what the Offeror supplies in Volume 3, if those efforts performed for other agencies of the Federal, state, or local governments as well as commercial customers is deemed relevant. The assessment of past performance will be used as one means of evaluating the credibility of the Offeror's technical proposal. A record of marginal and unacceptable past performance may be considered an indication that the current offer may be less than reliable and pose a high risk to the Government.

Such an indication may be reflected in the Government's overall best value assessment of the Offeror's proposal.

4. Pricing

Quoters shall provide pricing in the chart format stated below. Pricing should include pricing for a six- month extension per FAR 52.217-8, Option to Extend Services.

Pricing should follow the Contract Line-Item Number(s) (CLIN(s)) as stated in the chart below. A firm fixed price should be quoted for each year.

Shipping cost (within CONUS) is to be included in vendor’s pricing for any equipment or items to be shipped. Deliveries shall be shipped FOB Destination to all FBI (and other approved Federal government) locations within the continental United States (CONUS), as well as Hawaii, Alaska, and Puerto Rico.

The table below lists the Contract Line-Item Number(s) (CLIN(s)):

Base 0001 9/29/2024 9/28/2025

Option Year 1 1001 9/29/2025 9/28/2026

Option Year 2 2001 9/29/2026 9/28/2027

Option Year 3 3001 9/29/2027 9/28/2028

Option Year 4 4001 9/29/2028 9/28/2029

Option to extend for 6 months 5001 9/29/2029 3/29/2030

4.0 Process Schedule

4.1 Submission of Questions

Interested offerors must submit any questions concerning the solicitation at the earliest time possible to enable the Buyer to respond. Questions may be submitted to the attention of Holly Cloud at HCloud@fbi.gov, no later than

Monday September 17th,2024, at 1:00 pm CT.

4.2 Submission of Quotations

Quotations/offers and any accompanying information shall be submitted via email to the attention of Holly Cloud, Contract Specialist, at

HCloud@fbi.gov, no later than Monday September 23rd, 2024, at 1:00pm

CT. Quotations/offers sent via other means (i.e. via telephone call, facsimile transmission, etc.) will not be considered. Offers must be valid for 90 calendar days after submission.

5.0 Provisions and Clauses

Offerors must comply with the following commercial item terms and conditions, which are incorporated herein by reference:

FAR 52.212-1, Instructions to Offerors-Commercial Products and Commercial Services

FAR 52.212-3, Offeror Representations and Certifications-Commercial Products and Commercial

Services-Offerors must submit a completed copy of the listed representations and certifications.

FAR 52.212-4, Contract Terms and Conditions-Commercial Products and Commercial Services

FAR 52.212-5, Contract Terms and Conditions Required to Implement Statutes of Executive

Orders-Commercial Products and Commercial Services, paragraph (a) and the following clauses in paragraph (b): 52.203-6 (with Alternate I), 52.203-13, 52.203-17, 52.204-10, 52.204-27, 52.204-28, 52.209-6, 52.209-9, 52.219-6, 52.219-8, 52.219-13, 52.219-14, 52.219-28, 52.222-3, 52.222-19, 52.222-21, 52.222-26, 52.222-35, 52.222-36, 52.222-37, 52.222-40, 52.222-50, 52.223-23, 52.225-1, 52.225-13, 52.226-8, 52.232-33.

JAR 2852.212-4, Contract Terms and Conditions, Commercial Items (FAR Deviation)

The full text of the referenced FAR and JAR clauses may be accessed electronically at https://www.acquisition.gov.

The following clauses are provided in full text:

FAR 52.212-2 Evaluation-Commercial Products and Commercial Services (NOV 2021)

(a) The Government will award a contract resulting from this solicitation to the responsible offeror whose offer conforming to the solicitation will be most advantageous to the

Government, price and other factors considered. The following factors shall be used to evaluate offers:

Technical capability to meet the Government requirement_

Price___________________________________________ [Contracting Officer shall insert the significant evaluation factors, such as (i) technical capability of the item offered to meet the

Government requirement; (ii) price; (iii) past performance (see FAR 15.304); and include them in the relative order of importance of the evaluation factors, such as in descending order of importance.]

Technical and past performance, when combined, are _equal_ [Contracting Officer state, in accordance with FAR 15.304, the relative importance of all other evaluation factors, when combined, when compared to price.]

(b) Options. The Government will evaluate offers for award purposes by adding the total price for all options to the total price for the basic requirement. The Government may determine that an offer is unacceptable if the option prices are significantly unbalanced. Evaluation of options shall not obligate the Government to exercise the option(s).

(c) A written notice of award or acceptance of an offer, mailed or otherwise furnished to the successful offeror within the time for acceptance specified in the offer, shall result in a binding contract without further action by either party. Before the offer’s specified expiration time, the

Government may accept an offer (or part of an offer), whether or not there are negotiations after its receipt, unless a written notice of withdrawal is received before award.

(End of provision)

52.217-8 Option to Extend Services (NOV 1999)

The Government may require continued performance of any services within the limits and at the rates specified in the contract. These rates may be adjusted only as a result of revisions to prevailing labor rates provided by the Secretary of Labor. The option provision may be exercised more than once, but the total extension of performance hereunder shall not exceed 6 months.

The Contracting Officer may exercise the option by written notice to the Contractor within 60 days before the contract expires.

(End of clause)

FAR 52.217-9 Option to Extend the Term of the Contract (MAR 2000)

a) The Government may extend the term of this contract by written notice to the Contractor within 30 days; provided that the Government gives the Contractor a preliminary written notice of its intent to extend at least 60 days before the contract expires. The preliminary notice does not commit the Government to an extension.

b) If the Government exercises this option, the extended contract shall be considered to include this option clause.

c) The total duration of this contract, including the exercise of any options under this clause, shall not exceed 5 (five) years/60 (sixty) months.

DOJ-02 Contractor Privacy Requirements (JAN 2022)

A. Limiting Access to Privacy Act and Other Sensitive Information

(1) Privacy Act Information

U.S. Department of Justice Appendix A

Policy Instruction 1301.02.03 Departmental Provisions and Clauses

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

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).

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, 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

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.

U.S. Department of Justice Appendix A

Policy Instruction 1301.02.03 Departmental Provisions and Clauses 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 page3 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

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

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 0900.00.015

, 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.

iii. Contractor’s assessment of the likelihood that the information was

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.

U.S. Department of Justice Appendix A

Policy Instruction 1301.02.03 Departmental Provisions and Clauses 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

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.

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 yearthereafter. 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

U.S. Department of Justice Appendix A 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 technology9

, 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 project10 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

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.

U.S. Department of Justice Appendix A

Policy Instruction 1301.02.03 Departmental Provisions and Clauses 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.

(End of Clause)

DOJ-05 Security of Department Information and Systems (OCT 2023)

I. Applicability to Contractors and Subcontractors

Section 2839.102 of the Justice Acquisition Regulation (JAR), (48 C.F.R. § 2839.102), applies to this contract. Accordingly, all contractors are obligated to comply with all applicable DOJ security policies, directives, or guidance documents, including the security requirements in the provisions in this contract clause. This contract clause applies to all contractors and subcontractors, including cloud service providers (“CSPs”), and personnel of the contractors and subcontractors (hereinafter collectively, “Contractor”) that may access, collect, store, process, maintain, use, share, retrieve, disseminate, transmit, or dispose of DOJ Information. The security requirements set forth herein are in addition to those required by the Federal Acquisition

Regulation (“FAR”), and any other applicable laws, mandates, contract clauses, DOJ policies, directives or guidance documents and Executive Orders pertaining to the development and operation of Information Systems and/or the protection of Government Information. This clause does not alter or diminish any existing rights, obligations, 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. Authorization to Operate (“ATO”), as defined in National Institute of Standards and Technology (“NIST”) Special Publication (“SP”) 800-37 Revision 2, is the official management decision given by a senior Federal official or officials to authorize operation of an information system and to explicitly accept the risk to agency operations (including mission, functions, image, or reputation), agency assets, individuals, other organizations, and the Nation based on the implementation of an agreed-upon set of security and privacy controls.

B. Cloud Computing, as defined in DOJ Order 0904 Cybersecurity Program, is a model for enabling ubiquitous, convenient, on-demand network access to a shared pool of configurable computing resources (e.g., networks, servers, storage, applications, and services) that can be rapidly provisioned and released with minimal management effort or service provider

U.S. Department of Justice Appendix A

Policy Instruction 1301.02.03 Departmental Provisions and Clauses interaction. This cloud model is composed of five essential characteristics, three service models, and four deployment models in accordance with NIST SP 800-145.

C. Covered Contract is any contract, order or other agreement under which the contractor, or a subcontractor at any tier, including a cloud service provider, may access, collect, store, process, maintain, use, share, retrieve, disseminate, transmit, or dispose of DOJ

Information (as defined below) in the course of providing a product or service to the Department, with the exception of acquisitions under the micro-purchase threshold.

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

Contract.

E. Data means recorded information, regardless of form or the media on which it may be recorded. The term includes technical data, computer software, and personally identifiable information (PII) (defined below). The term does not include information incidental to contract administration, such as financial, administrative, cost or pricing, or management information.

F. DOJ Information, as defined in DOJ Order 0904, 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 the Contractor for the DOJ in connection with the performance of the contract, and/or (3) acquired to perform the contract.

G. Information, as defined in DOJ Order 0904, is 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. This includes any communication or representation of knowledge in an electronic format that allows it to be stored, retrieved, or transmitted.

H. Information System, means a discrete set of information resources organized for the collection, processing, maintenance, use, sharing, dissemination, or disposition of information (44 U.S.C. 3502(8)).

I. Personally Identifiable Information (“PII”), as defined in the FAR 24.101, 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. It includes but is not limited to common data elements such as names, addresses, dates of birth, and places of employment, to identity documents, Social Security numbers or other government issued identifiers, precise location information, medical history, and biometric records. This definition covers all PII that is created by or becomes available to the contractor, including its employees, subcontractors, or affiliates, as a result of performing under this contract. PII, as supplementally defined in DOJ Order 0904, also includes information about an individual maintained by an agency, including, but not limited to, information related to education, U.S. Department of Justice Appendix A

Policy Instruction 1301.02.03 Departmental Provisions and Clauses financial transactions, medical history, and criminal or employment history and information, which can be used to distinguish or trace an individual’s identity.

J. Private Cloud, as defined in NIST SP 800-145, is the deployment model for cloud infrastructure provisioned for exclusive use by a single organization comprising multiple consumers (e.g., business units). It may be owned, managed, and operated by the organization, a third party, or some combination of them, and it may exist on or off premises.

K. Security Breach means any security incident (as defined below) that directly relates to the loss of control, compromise, exfiltration, manipulation, unauthorized disclosure, unauthorized acquisition, unauthorized exposure or unauthorized access or any similar occurrence of any Covered Information System or any DOJ Information or any PII accessed by, retrievable from, processed by, stored on, or transmitted within, to or from any such system. This includes incidents where (1) a person other than an authorized user accesses or potentially accesses PII or DOJ Information or (2) an authorized user accesses or potentially accesses PII or

DOJ Information for an unauthorized purpose.

a. Potential Security Breach (hereinafter, “Potential Breach”) means any suspected, but unconfirmed security breach (as defined above).

b. Confirmed Security Breach (hereinafter, “Confirmed Breach”) means any confirmed security breach (as defined above).

L. Security Incident means any occurrence that (1) may actually or imminently jeopardize, without lawful authority, the availability, integrity, authentication, confidentiality, or nonrepudiation of DOJ Information or a Covered Information System; or (2) may constitute a violation or imminent threat of violation of law, security policies, security procedures, or acceptable use policies.

a. Potential Security Incident means any suspected, but unconfirmed security incident (as defined above).

b. Confirmed Security Incident means any confirmed security incident (as defined above).

M. Vulnerability, as defined in DOJ Vulnerability Management Plan, and the OCIO

Information Security Management Procedure, means a weakness or flaw discovered in the design of a system that, when exploited, may result in a loss of confidentially, integrity, or availability of DOJ Information or an Information System.

III. Confidentiality and Non-Disclosure of DOJ Information

A. Preliminary and final contract deliverables and all associated working papers and material generated by the Contractor developed using DOJ Information, product, source code, and/or methods of operations, 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 (Rights in Data-General). The

Contractor will define a method of monitoring the development activity to include any activity

U.S. Department of Justice Appendix A

Policy Instruction 1301.02.03 Departmental Provisions and Clauses associated with DOJ…