RUIM-23-00099 NEC AIM Maintenance SOW.pdf

Attachment 4.1

OBIM

Statement of Work for

NEC Advanced Identity Manager

(AIM) Perpetual License

Maintenance Procurement

March 17, 2023

February 16, 2011

1.0 Introduction

As an office within the U.S. Department of Homeland Security’s (DHS) and the Office of Biometric

Identity Management (OBIM) supports DHS’ mission to protect our nation by providing biometric identification services to federal, state, and local government decision makers to help them accurately identify the people they encounter and determine whether those people pose a risk to the United States.

OBIM’s most visible service is the collection of biometrics—digital fingerprints and a photograph— from international travelers at United States visa-issuing posts and ports of entry. Collecting this information helps immigration officers determine whether a person is eligible to receive a visa or enter the United States. The biometric collection process is simple, convenient, and secure.

2.0 Background

There are currently several initiatives under way across the Department leveraging the NEC AIM product supporting biometric matching. The NEC AIM-XM product is available for large gallery implementations and AIM-ES for smaller galleries. The DHS perpetual license include both AIM products and assessment tools for unlimited biometric quantities, on unlimited hardware platforms, and at unlimited locations. Through the annual maintenance cost, DHS will be entitled access to product patches, improvements/upgrades and migration to new products should NEC transition to a new line of products with the same capabilities. DHS has will have perpetual access to the AIM matching vendor product and assessment tools regardless of product name, rebranding, or versioning as technology matures over time.

3.0 Scope

The scope described in this Statement of Work is to procurement of maintenance for perpetual license for NEC Advanced Identity Manager (AIM) matching capability and assessment tools for use across the

Department of Homeland Security (DHS).

4.0 Tasks

OBIM is procuring the DHS maintenance for existing perpetual license for the NEC AIM-XM and

AIM-ES products and assessment tools for unlimited biometric quantities, on unlimited hardware platforms, and at unlimited locations.

Base with three Options

Product Description: Base – September 30, 2023 – September 29, 2024 Maintenance Quantity

DHS ‐ Enterprise‐wide Software Maintenance Annual 1

Product Description: Option 1 – September 30, 2024 – September 29, 2025 Maintenance Quantity

DHS ‐ Enterprise‐wide Software Maintenance Annual 1

Product Description: Option 2 – September 30, 2025 – September 29, 2026

Maintenance Quantity

Annual maintenance support for out years shall be static.

5.0 Deliverables

• The Contractor shall deliver maintenance referenced requirements in Section 3.0 three days after contract award. OBIM is procuring the maintenance for the DHS perpetual license for the NEC

AIM-XM and AIM-ES products and assessment tools for unlimited quantities, on unlimited hardware platforms, and at unlimited locations. This maintenance includes 24 x 7 Support as defined below:

o Level 1 – Call Center personnel assigned as first call responders initiate Trouble Tickets with related incident information and ensure the appropriate Support personnel are engaged.

o Level 2 – Support Engineers dedicated to a specific client or group of clients possessing specialized knowledge, skills, and abilities to resolve most incidents remotely.

o Level 3 – Solutions Engineering personnel dedicated to providing escalation support and are engaged (along with management) when normal support processes fail to resolve an incident. Level 3 personnel will analyze data provided by Level 1 and 2 support.

o Level 4 – Software Developers, primarily dedicated to product development are engaged in support if for any reason Levels 1 through 3 cannot resolve an incident.

• Access to patches/fixes, minor upgrades, and major upgrades for the technology within AIM ES and AIM XM products, or future equivalent matching engine product.

• Any new biometric algorithms that are released, DHS has the right to receive with no additional cost as long as the annual maintenance is maintained.

6.0 Place of Performance

9325 Cypress Loop Road, MS 39529, maintenance support for any DHS mission and any official function where DHS is the Biometric Service Provider (e.g., supporting the OBIM Enterprise; Exit, Entry, and Screening mission areas; International data sharing; Biometric System Interoperability; etc.).

License cannot be independently used by non-DHS organizations for non-DHS functions.

7.0 GOVERNMENT-FURNISHED EQUIPMENT (GFE), GOVERNMENT FURNISHED

PROPERTY (GFP) AND CONTRACTOR ACQUIRED PROPERTY (CAP)

The contractor shall maintain accounting and inventory documentation regarding the issuance of

GFP/GFE/CAP to all program contractor employees or subcontractors in accordance with FAR Part 45 and FAR 52.245-1. Also, the contractor shall be responsible in identifying, tracking, conducting 100% physical inventories and maintaining control of all Government-Furnished Property, Government-

Furnished Equipment, and Contractor-Acquired Property (GFP/GFE/CAP) in its possession including

Product Description: Option 3 – September 30, 2026 – September 29, 2027

Product Description: Option 4 – September 30, 2027 – September 29, 2028 subcontractors and that all physical inventory reporting and property reporting requirements are met.

The contractor shall possess an established, government-approved property control system to identify every item providing complete, current, auditable records of all transactions. The contractor shall coordinate and obtain OBIM Asset Management approval prior to transferring/moving any government property, including disposal or exchanges. The contractor shall provide a Monthly Property

Management Report of all GFE/GFP/CAP on hand to the government as specified under the Deliverable table. Any specific documentation/information needed to complete this effort will be provided by the government at the time of award. The contractor shall perform an annual 100% physical inventory consisting of all GFE/GFP/CAP in the custody of the contractor on hand as specified in the deliverable table.

GFE will be utilized in the execution of the task order and reported in accordance with the requirements under section 4.1. The contractor shall utilize the test environment located at the DHS Data Center to complete the development and testing activities required to execute contract requirements.

8.0 Period of Performance

The period of performance for this contract is as follows:

Base period: September 30, 2023 – 29 September 2024

Option 1: September 30, 2024 - 29 September 2025

Option 2: September 30, 2025 - 29 September 2026

Option 3: September 30, 2026 - 29 September 2027

Option 4: September 30, 2027 – 29 September 2028

9.0 ACCESSIBILITY REQUIREMENTS (SECTION 508)

Section 508 of the Rehabilitation Act, as amended by the Workforce Investment Act of 1998 (P.L. 105-

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

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

9.1 SECTION 508 APPLICABLE EIT ACCESSIBILITY STANDARDS

36 CFR 1194.21: Software Applications and Operating Systems, applies to all EIT software applications and operating systems procured or developed under this work statement including but not limited to

GOTS and COTS software. In addition, this standard is to be applied to Web-based applications when needed to fulfill the functional performance criteria. This standard also applies to some Web based applications as described within 36 CFR 1194.22.

36 CFR 1194.22 Web-based Intranet and Internet Information and Applications, applies to all Web-based deliverables, including documentation and reports procured or developed under this work statement. When any Web application uses a dynamic (non-static) interface, embeds custom user control(s), embeds video or multimedia, uses proprietary or technical approaches such as, but not limited to, Flash or Asynchronous JavaScript and XML (AJAX) then 1194.21 Software standards also apply to fulfill functional performance criteria.

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

36 CFR 1194.41 Information Documentation and Support applies to all documents, reports, as well as help and support services. To ensure that documents and reports fulfill the required 1194.31

Functional Performance Criteria, they shall comply with the technical standard associated with

Web-based Intranet and Internet Information and Applications at a minimum. In addition, any help or support provided in this work statement that offer telephone support, such as, but not limited to, a help desk shall have the ability to transmit and receive messages using TTY.

9.0. SECTION 508 REQUIREMENTS

Section 508 of the Rehabilitation Act (classified to 29 U.S.C. § 794d) requires that when

Federal agencies develop, procure, maintain, or use information and communications technology (ICT), it shall be accessible to people with disabilities. Federal employees and members of the public with disabilities must be afforded access to and use of information and data comparable to that of Federal employees and members of the public without disabilities.

All products, platforms and services delivered as part of this work statement that, by definition, are deemed ICT shall conform to the revised regulatory implementation of

Section 508 Standards, which are located at 36 C.F.R. § 1194.1 & Appendixes A, C & D, and available at https://www.ecfr.gov/cgi-bin/text-idx?SID=e1c6735e25593339a9db63534259d8ec&mc=true&node=pt36.3.1194&rgn=div5.

In the revised regulation, ICT replaced the term electronic and information technology (EIT) used in the original 508 standards. ICT includes IT and other equipment.

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

Contracting Officer and a determination will be made according to DHS Directive 139-05, Office of Accessible Systems and Technology, dated November 12, 2018, and DHS

Instruction 139-05-001, Managing the Accessible Systems and Technology Program, dated

November 20, 2018, or any successor publication.

https://uscode.house.gov/view.xhtml?req=(title:29%20section:794d%20edition:prelim)%20OR%20(granuleid:USC-prelim-title29-section794d)&f=treesort&edition=prelim&num=0&jumpTo=true https://www.ecfr.gov/cgi-bin/text-idx?SID=e1c6735e25593339a9db63534259d8ec&mc=true&node=pt36.3.1194&rgn=div5 https://www.ecfr.gov/cgi-bin/text-idx?SID=e1c6735e25593339a9db63534259d8ec&mc=true&node=pt36.3.1194&rgn=div5

9.2 SECTION 508 REQUIREMENTS FOR TECHNOLOGY SERVICES

1. When providing maintenance upgrades, substitutions, and replacements to ICT, the contractor shall not reduce the original ICT’s level of Section 508 conformance prior to upgrade, substitution, or replacement. The agency reserves the right to request an

Accessibility Conformance Report (ACR) for proposed upgrades, substitutions, and replacements prior to acceptance. The ACR should be created using the on the

Voluntary Product Accessibility Template Version 2.2 508 (or successor versions).

The template can be located at https://www.itic.org/policy/accessibility/vpat

9.3 SECTION 508 COMPLIANCE REQUIREMENTS

36 CFR 1194.2(b) (COTS/GOTS products), When procuring a product, each agency shall procure products which comply with the provisions in this part when such products are available in the commercial marketplace or when such products are developed in response to a Government solicitation. Agencies cannot claim a product as a whole is not commercially available because no product in the marketplace meets all the standards. If products are commercially available that meets some but not all the standards, the agency must procure the product that best meets the standards. When applying this standard, all procurements of EIT shall have documentation of market research that identify a list of products or services that first meet the agency business needs, and from that list of products or services, an analysis that the selected product met more of the accessibility requirements than the non-selected products as required by FAR 39.2. Any selection of a product or service that meets less accessibility standards due to a significant difficulty or expense shall only be permitted under an undue burden claim and requires authorization from the DHS

Office of Accessible Systems and Technology (OAST) in accordance with DHS MD 4010.2.

10.0 Enterprise Architecture

All solutions and services shall meet DHS Enterprise Architecture policies, standards, and procedures.

Specifically, the Contractor shall comply with the following Homeland Security Enterprise Architecture

(HLS EA) requirements:

• All developed solutions and requirements shall be compliant with the HLS EA.

• All IT hardware or software shall be compliant with the HLS EA Technical Reference Model

(TRM) Standards and Products Profile.

• All data assets, information exchanges and data standards, whether adopted or developed, shall be submitted to the DHS Enterprise Data Management Office (EDMO) for review and insertion into the DHS Data Reference Model.

https://www.itic.org/policy/accessibility/vpat

• In compliance with OMB mandates, all network hardware shall be IPv6 compatible without modification, upgrade, or replacement.

• All coding work products or deliverables shall comply with OBIM Coding Standards.

• All Architecture work products or deliverables shall comply with OBIM Architecture

Standards.

• All Data assets, information exchanges and data standards shall comply with OBIM Data

Standards.

• All Design work products or deliverables shall comply with OBIM Design Standards.

• All work products or deliverables shall comply with OBIM User Interfaces.

11.0 C-SCRM language (OCIO CISO CYBER SUPPLY CHAIN RISK MANAGEMENT

(c-SCRM)

a. The Offeror understands and agrees that the Government retains the right to cancel or terminate the Contract, if the Government determines that continuing this solicitation presents an unacceptable risk to national security.

b. “Gray-Market” Equipment

i. The Offeror shall provide only new equipment unless otherwise expressly approved, in writing, by the DHS Contracting Officer. Offerors shall provide only

Original Equipment Manufacturer (OEM) parts to the Government. In the event that a shipped OEM part fails, all replacement parts must be OEM parts.

ii. The Offeror shall be excused from using new OEM (i.e., "gray market”, "previously used”) components only with formal Government approval, in writing, from the DHS Contracting Officer. Such components shall be procured from their original source and shipped only from the manufacturer’s authorized shipment points.

iii. All equipment obtained by the Offeror on behalf of the Government will need to be provided to OIG OCIO for review to validate requirements and approved

Contractors by DHS.

c. Hardware and Software Requests

i. The contractors supply the Government hardware and software will provide the manufacturer’s name, address, state, and/or domain of registration, and the DUNS number for all components comprising the hardware and software. If subcontractors or subcomponents are used, the name, address, state, and/or domain of registration and DUNS number of those suppliers must be provided.

ii. Subcontractors are subject to the same general requirements and standards as prime contractors. Contractors employing subcontractors will perform due diligence to ensure that these standards are met.

iii. The Government shall be notified when a new contractor/subcontractor/service provider is introduced to the supply chain, or when suppliers of parts or subcomponents are changed.

1. For software products, the Offeror shall provide all OEM software updates to correct defects for the life of the product (i.e., until the “End of Life

(EoL)"). Software updates and patches shall be either: made available to the government for all products procured under this Contract, replaced upon End of Support (EoS) is reached, or formally waived (in writing) by the DHS Contracting Officer.

d. Supply-Chain Transport

i. Offerors shall employ formal and accountable transit, storage, and delivery procedures (i.e., the possession of the component is documented at all times from initial shipping point to final destination, and every transfer of the component from one custodian to another is fully documented and accountable) for all shipments to fulfill Contract obligations with the Government.

ii. All records pertaining to the transit, storage, and delivery will be maintained and available for inspection for the lessor of the term of the Contract, the period of performance, or one calendar year from the date the activity occurred.

iii. This transit process shall minimize the number of times in route components undergo a change of custody and make use of tamper-proof or tamper-evident packaging for all shipments. The supplier, at the Government's request, shall be able to provide shipping status at any time during transit.

iv. All records pertaining to the transit, storage, and delivery shall be readily available for inspection by any agent designated by the U.S. Government as having the authority to examine them.

v. The Offeror is fully liable for all damage, deterioration, or losses incurred during shipping and handling, unless the damage, deterioration, or loss is due to the

Government.

vi. The Offeror shall provide a packing slip which shall accompany each container or package with the information identifying this solicitation number, the order number, a description of the hardware/software enclosed (Manufacturer name, model number, serial number), and the customer point of contact.

vii. The Offeror shall send a shipping notification to the intended government recipient; with a copy transmitted via email to the Contracting Officer, or designated representative. This shipping notification shall be sent electronically and will state this solicitation number, the order number, a description of the hardware/software being ship (manufacturer name, model number, serial number), initial shipper, shipping date and identifying (tracking) number.

e. Notifications

i. The Offeror shall notify DHS Contracting Officer, COR and the Office of the

Chief Information Officer and the DHS component Chief Information Officer through the Enterprise Security Operations Center (ESOC) directly of any suspected or potential violations of Section 889 of the National Defense

Authorization Act (NDAA) for Information Communications Technology (ICT) at NDAA_Incidents@hq.dhs.gov.

f. Foreign Equities

The Offeror shall immediately notify the DHS Contracting Officer, COR that will report to the Office of the Chief Security Officer (OCSO) or cognizant component personnel security office regarding any changes to corporate foreign ownership, control, or influence.

12.0 PRIVACY REQUIREMENTS

12.1 SAFEGUARDING OF SENSITIVE INFORMATION (MAR 2015)

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

(b) Definitions. As used in this clause –

“Personally Identifiable Information (PII)” means information that can be used to distinguish or trace an individual’s identity, such as name, Social Security Number, or biometric records, either alone, or when combined with other personal or identifying information that is linked or linkable to a specific individual, such as date and place of birth, or mother’s maiden name. The definition of PII is not anchored to any single category of information or technology. Rather, it requires a case-by-case assessment of the specific risk that an individual can be identified.

In performing this assessment, it is important for an agency to recognize that non-personally identifiable information can become personally identifiable information whenever additional information is made publicly available—in any medium and from any source—that, combined with other available information, could be used to identify an individual.

PII is a subset of sensitive information. Examples of PII include, but are not limited to: name, date of birth, mailing address, telephone number, Social Security Number (SSN), email address, zip code, account numbers, certificate/license numbers, vehicle identifiers including license plates, uniform resource locators

(URLs), static Internet protocol addresses, biometric identifiers such as fingerprint, voiceprint, iris scan, photographic facial images, or any other unique identifying number or characteristic, and any information where it is reasonably foreseeable that the information will be linked with other information to identify the individual.

“Sensitive Information” is defined in HSAR clause 3052.204-71, Contractor Employee Access, (SEPT 2012). Sensitive Information, as used in this Chapter, means any information, the loss, misuse, disclosure, or unauthorized access to or modification of which could adversely affect the national or homeland security interest, or the conduct of Federal programs, or the privacy to which individuals are entitled under section 552a of title 5, United States Code (the Privacy

Act), but which has not been specifically authorized under criteria established by an Executive

Order or an Act of Congress to be kept secret in the interest of national defense, homeland security or foreign policy. This definition includes the following categories of information:

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

Infrastructure Information Act of 2002 (Title II, Subtitle B, of the Homeland

Security Act, Public Law 107-296, 196 Stat. 2135), as amended, the implementing regulations thereto (Title 6, Code of Federal Regulations, Part 29) as amended, the applicable PCII Procedures Manual, as amended, and any supplementary guidance officially communicated by an authorized official of the Department of Homeland

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

(2) Sensitive Security Information (SSI), as defined in Title 49, Code of Federal

Regulations, Part 1520, as amended, “Policies and Procedures of Safeguarding and

Control of SSI,” as amended, and any supplementary guidance officially communicated by an authorized official of the Department of Homeland Security

(including the Assistant Secretary for the Transportation Security Administration or his/her designee).

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

and

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

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

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

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

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

(3) Citizenship or immigration status

(4) Ethnic or religious affiliation

(5) Sexual orientation

(6) Criminal history

(7) Medical information

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

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

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

(1) DHS Management Directive 11042.1 Safeguarding Sensitive but Unclassified (for Official

Use Only) Information

(2) DHS Policy Directive 4300A

(3) DHS Security Authorization Process Guide

(4) DHS Handbook for Safeguarding Sensitive Personally Identifiable Information

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

Suitability and Security Program

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

(7) DHS Privacy Incident Handling Guidance

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

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

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

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

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

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

http://www.dhs.gov/dhs-security-and-training-requirements-contractors http://www.dhs.gov/dhs-security-and-training-requirements-contractors http://www.dhs.gov/dhs-security-and-training-requirements-contractors http://csrc.nist.gov/groups/STM/cmvp/standards.html http://csrc.nist.gov/publications/PubsSPs.html http://csrc.nist.gov/publications/PubsSPs.html

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

Only) Information describes how Contractors must handle sensitive but unclassified information. DHS uses the term “FOR OFFICIAL USE ONLY” to identify sensitive but unclassified information that is not otherwise categorized by stature or regulation.

Examples of sensitive information that are categorized by statute or regulation are PCII, SSI, etc. The DHS Policy Directive 4300A provide the policies and procedures on security for Information Technology (IT) resources. The DHS Handbook for Safeguarding Sensitive

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

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

Personnel Suitability and Security Program.

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

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

11000-6, Department of Homeland Security Non-Disclosure Agreement (NDA), as a condition of access to such information. The Contractor shall maintain signed copies of the

NDA for all employees as a record of compliance. The Contractor shall provide copies of the signed NDA to the Contracting Officer’s Representative (COR) no later than two (2) days after execution of the form.

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

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

(c) Authority to Operate. The Contractor shall not input, store, process, output, and/or transmit sensitive information within a Contractor IT system without an Authority to Operate

(ATO) signed by the Headquarters or Component Privacy Officer. Unless otherwise specified in the ATO letter, the ATO is valid for three (3) years. The Contractor shall adhere to current Government policies, procedures, and guidance for the Security

Authorization (SA) process as defined below.

(1) Complete the Security Authorization process. The SA process shall proceed according to the DHS Policy Directive 4300A (Version 13.3, February 13, 2023) or any successor publication, and the Security Authorization Process Guide including templates.

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

Government security documentation templates. SA documentation consists of the following: Security Plan, Contingency Plan, Contingency Plan Test Results, Configuration Management Plan, Security Assessment Plan, Security Assessment

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

Agreement(s). During the development of SA documentation, the Contractor shall submit a signed SA package, validated by an independent third party, to the COR for acceptance by the Headquarters or Component CIO, or designee, at least thirty (30) days prior to the date of operation of the IT system. The Government is the final authority on the compliance of the SA package and may limit the number of resubmissions of a modified SA package. Once the ATO has been accepted by the

Headquarters or Component CIO, or designee, the Contracting Officer shall incorporate the ATO into the contract as a compliance document. The Government’s acceptance of the ATO does not alleviate the Contractor’s responsibility to ensure the IT system controls are implemented and operating effectively.

(ii) Independent Assessment. Contractors shall have an independent third party validate the security and privacy controls in place for the system(s). The independent third party shall review and analyze the SA package, and report on technical, operational, and management level deficiencies as outlines in NIST Special Publication 800-53, Security and Privacy Controls for Federal Information Systems and Organizations.

The Contractor shall address all deficiencies before submitting the SA package to the

Government for acceptance.

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

Upon review of the PTA, the DHS Privacy Office determines whether a Privacy

Impact Assessment (PIA) and/or Privacy Act System of Records Notice (SORN), or modifications thereto, are required. The Contractor shall provide all support necessary to assist the Department in completing the PIA in a timely manner and shall ensure that project management plans and schedules include time for the completion of the PTA, PIA, and SORN (to the extent required) as milestones.

Support in this context includes responding timely to requests for information from the Government about use, access, storage, and maintenance of PII on the

Contractor’s system, and providing timely review of relevant compliance documents for factual accuracy. Information on the DHS privacy compliance process, including

PTAs, PIAs, and SORNs, is accessible at http://www.dhs.gov/privacy-compliance.

(2) Renewal of ATO. Unless otherwise specified in the ATO letter, the ATO shall be renewed every three (3) years. The Contractor is required to update its SA package as part of the

ATO renewal process. The Contractor shall update its SA package by one of the following methods: (1) Updating the SA documentation in the DHS automated information assurance tool for acceptance by the Headquarters or Component CIO, or designee, at least 90 days before the ATO expiration date for review and verification of security controls; or (2)

Submitting an updated SA package directly to the COR for approval by the Headquarters or Component CIO, or designee, at least 90 days before the ATO expiration date for review and verification of security controls. The 90-day review process is independent of the system production date and therefore it is important that the Contractor build the review into project schedules. The reviews may include onsite visits that involve physical or logical inspection of the Contractor environment to ensure controls are in place.

http://www.dhs.gov/privacy-compliance

(3) Security Review. The Government may elect to conduct random periodic reviews to ensure that the security requirements contained in this contract are being implemented and enforced. The Contractor shall afford DHS, the Office of the Inspector General, and other

Government organizations access to the Contractor’s facilities, installations, operations, documentation, databases, and personnel used in the performance of this contract. The

Contractor shall, through the Contracting Officer and COR, contact the Headquarters or

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

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

Plan, or successor publication. The plan is updated on an annual basis. The Contractor shall also store monthly continuous monitoring data at its location for a period not less than one year from the date the data is created. The data shall be encrypted in accordance with FIPS

140-2 Security Requirements for Cryptographic Modules and shall not be stored on systems that are shared with other commercial or Government entities. The Government may elect to perform continuous monitoring and IT security scanning of Contractor systems from Government tools and infrastructure.

(5) Revocation of ATO. In the event of a sensitive information incident, the Government may suspend or revoke an existing ATO (either in part or in whole). If an ATO is suspended or revoked in accordance with this provision, the Contracting Officer may direct the

Contractor to take additional security measures to secure sensitive information. These measures may include restricting access to sensitive information on the Contractor IT system under this contract. Restricting access may include disconnecting the system processing, storing, or transmitting the sensitive information from the Internet or other networks or applying additional security controls.

(6) Federal Reporting Requirements. Contractors operating information systems on behalf of the Government or operating systems containing sensitive information shall comply with

Federal reporting requirements. Annual and quarterly data collection will be coordinated by the Government. Contractors shall provide the COR with requested information within three (3) business days of receipt of the request. Reporting requirements are determined by the Government and are defined in the Fiscal Year 2014 DHS Information Security

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

(d) Sensitive Information Incident Reporting Requirements

(1) All known or suspected sensitive information incidents shall be reported to the

Headquarters or Component Security Operations Center (SOC) within one hour of discovery in accordance with DHS Policy Directive 4300A requirements. When notifying the Headquarters or Component SOC, the Contractor shall also notify the Contracting

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

Contracting Officer’s email address is not immediately available, the Contractor shall contact the Contracting Officer immediately after reporting the incident to the Headquarters or Component SOC. The Contractor shall not include any sensitive information in the subject or body of any email. To transmit sensitive information, the Contractor shall use

FIPS 140-2 Security Requirements for Cryptographic Modules compliant encryption methods to protect sensitive information in attachments to email. Passwords shall not be communicated in the same email as the attachment. A sensitive information incident shall not, by itself, be interpreted as evidence that the Contractor has failed to provide adequate information security safeguards for sensitive information or has otherwise failed to meet the requirements of the contract.

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

(i) Data Universal Numbering System (DUNS).

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

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

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

Management (address, position, telephone, email);

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

(vi) Contract clearance level;

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

(viii) Government programs, platforms, or systems involved;

(ix) Location(s) of incident;

(x) Date and time the incident was discovered;

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

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

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

(xiv) Any additional information relevant to the incident.

(e) Sensitive Information Incident Response Requirements

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

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

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

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

(i) Inspections,

(ii) Investigations,

(iii) Forensic reviews, and

(iv) Data analyses and processing.

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

(f) Additional PII and/or SPII Notification Requirements

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

Contracting Officer, in consultation with the Headquarters or Component Privacy Officer, utilizing the DHS Privacy Incident Handling Guidance. The Contractor shall not proceed with notification unless the Contracting Officer, in consultation with the Headquarters or

Component Privacy Officer, has determined in writing that notification is appropriate.

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

(i) A brief description of the incident;

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

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

(iv) Steps individuals may take to protect themselves;

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

and

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

(g) Credit Monitoring Requirements. In the event that a sensitive information incident involves PII or SPII, the Contractor may be required to, as directed by the Contracting Officer:

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

(2) Provide credit monitoring services to individuals whose data was under the control of the Contractor or resided in the Contractor IT system at the time of the sensitive information incident for a period beginning the date of the incident and extending not less than 18 months from the date the individual is notified. Credit monitoring services shall be provided from a company with which the Contractor has no affiliation. At a minimum, credit monitoring services shall include:

(i) Triple credit bureau monitoring;

(ii) Daily customer service;

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

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

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

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

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

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

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

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

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

(h) Certification of Sanitization of Government and Government-Activity-Related

Files and Information. As part of contract closeout, the Contractor shall submit the certification to the COR and the Contracting Officer following the template provided in NIST Special Publication 800-88 Guidelines for Media

Sanitization.

(End of Clause)

INFORMATION TECHNOLOGY SECURITY AND PRIVACY TRAINING (MAR 2015)

(a) Applicability. This clause applies to the Contractor, its subcontractors, and

Contractor employees (hereafter referred to collectively as “Contractor”). The

Contractor shall insert the substance of this clause in all subcontracts.

(b) Security Training Requirements. All users of Federal information systems are required by Title 5, Code of Federal Regulations, Part 930.301, Subpart C, as amended, to be exposed to security awareness materials annually or whenever system security changes occur, or when the user’s responsibilities change.

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

Training course before accessing sensitive information under the contract.

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

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

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

(1) The DHS Rules of Behavior apply to every DHS employee, Contractor and subcontractor that will have access to DHS systems and sensitive information.

The DHS Rules of Behavior shall be signed before accessing DHS systems and sensitive information. The DHS Rules of Behavior is a document that informs users of their responsibilities when accessing DHS systems and holds users accountable for actions taken while accessing DHS systems and using

DHS Information Technology resources capable of inputting, storing, processing, outputting, and/or transmitting sensitive information. The DHS

Rules of Behavior is accessible at http://www.dhs.gov/dhs- security-and-training-requirements-contractors. Unless otherwise specified, the DHS

Rules of Behavior shall be signed within thirty (30) days of contract award.

Any new Contractor employees assigned to the contract shall also sign the

DHS Rules of Behavior before accessing DHS systems and sensitive information. The Contractor shall maintain signed copies of the DHS Rules of

Behavior for all Contractor and subcontractor employees as a record of http://www.dhs.gov/dhs-security-and-training-requirements-contractors http://www.dhs.gov/dhs-security-and-training-requirements-contractors http://www.dhs.gov/dhs-security-and-training-requirements-contractors compliance. Unless otherwise specified, the Contractor shall email copies of the signed DHS Rules of Behavior to the COR not later than thirty (30) days after contract award for each employee. The DHS Rules of Behavior will be reviewed annually, and the COR will provide notification when a review is required.

(c) Privacy Training Requirements. All Contractor and subcontractor employees that will have access to Personally Identifiable Information (PII) and/or

Sensitive PII (SPII) are required to take Privacy at DHS: Protecting Personal

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

Training shall be completed within thirty (30) days of contract award and be completed on an annual basis thereafter not later than October 31st of each year.

Any new Contractor employees assigned to the contract shall also complete the training before accessing PII and/or SPII. The Contractor shall maintain copies of training certificates for all Contractor and subcontractor employees as a record of compliance. Initial training certificates for each Contractor and subcontractor employee shall be provided to the COR not later than thirty (30) days after contract award.