Solicitation 15JA0521Q00000041.pdf

15JA0521Q00000041 Page 1 of 37

REQUEST FOR QUOTATION

(THIS IS NOT AN ORDER)

THIS RFQ IS IS NOT A SMALL BUSINESS SET-ASIDE

PAGE OF PAGES

1 5

1. REQUEST NO.

15JA0521Q00000041

2. DATE ISSUED

07/30/2021

3. REQUISITION/PURCHASE REQUEST NO. 4. CERT. FOR NAT. DEF.

UNDER BDSA REG. 2 AND/

OR DMS REG. 1

RATING

Executive Office for United States Attorney 175 N Street NE 6th Floor Washington, DC 20530

5a. ISSUED BY 6. DELIVER BY (Date)

7. DELIVERY

OTHER

(See Schedule)X FOB DESTINATION

9. DESTINATION

5b. FOR INFORMATION CALL (NO COLLECT CALLS) a. NAME OF CONSIGNEE

Executive Office for United States Attorney

NAME TELEPHONE NUMBER

AREA CODE NUMBER

Ext.:

8. TO:

175 N Street NE Sunil Ohri, sunil.ohri@usdoj.gov, 202-252-6238

b. STREET ADDRESS

c. CITY

Washington

a. NAME b. COMPANY

c. STREET ADDRESS

d. CITY e. STATE f. ZIP CODE d. STATE

DC

e. ZIP CODE

20002

10. PLEASE FURNISH QUOTATIONS TO THE

ISSUING OFFICE IN BLOCK 5a ON OR BEFORE CLOSE OF BUSINESS (Date)

08/13/2021 12:00 ET

IMPORTANT: This is a request for information, and quotations furnished are not offers. If you are unable to quote, please so indicate on this form and return it to the address in Block 5a. This request does not commit the Government to pay any costs incurred in the preparation of the submission of this quotation or to contract for supplies or service. Supplies are of domestic origin unless otherwise indicated by quoter. Any representations and/or certifications attached to this Request for Quotation must be completed by the quoter.

11. SCHEDULE (Include applicable Federal, State and local taxes)

ITEM NO.

(a)

SUPPLIES/SERVICES

(b)

QUANTITY

(c)

UNIT

(d)

UNIT PRICE

(e)

AMOUNT

(f)

SaaS Document Management Solution (DMS)

See Continuation Sheet(s)

12. DISCOUNT FOR PROMPT PAYMENT

a. 10 CALENDAR DAYS (%)

0.00 %

b. 20 CALENDAR DAYS (%)

0.00 %

c. 30 CALENDAR DAYS (%)

0.00 %

d. CALENDAR DAYS

NUMBER

PERCENTAGE

0.00 NOTE: Additional provisions and representations [ ] are [ X ] are not attached.

13. NAME AND ADDRESS OF QUOTER 14. SIGNATURE OF PERSON AUTHORIZED TO SIGN

QUOTATION

15. DATE OF

QUOTATION

a. NAME OF QUOTER

b. STREET ADDRESS 16. SIGNER

a. NAME (Type or print) b. TELEPHONE

c. COUNTY AREA CODE

d. CITY e. STATE f. ZIP CODE c. TITLE (Type or print) NUMBER

AUTHORIZED FOR LOCAL REPRODUCTION

Previous edition not usable

STANDARD FORM 18 (REV. 6-95)

Prescribed by GSA-FAR (48 CFR) 53.215-1(a)

X

15JA0521Q00000041 Page 2 of 37

Section 2 - Commodity or Services Schedule

SCHEDULE OF SUPPLIES/SERVICES

CONTINUATION SHEET

ITEM NO. SUPPLIES/SERVICES QUANTITY UNIT UNIT PRICE AMOUNT

0001 SaaS Document Management Solution (DMS)

Firm Fixed Price

PSC: DA10

Line Period of Performance: 09/30/2021 - 09/29/2022

Base Period

5,000 EA $________ $_________________

ITEM NO. SUPPLIES/SERVICES QUANTITY UNIT UNIT PRICE AMOUNT

1001 SaaS Document Management Solution (DMS)

Firm Fixed Price

PSC: DA10

Line Period of Performance: 09/30/2022 - 09/29/2023

Option Period 1

5,000 EA $________ $_________________

15JA0521Q00000041 Page 3 of 37

Section 3 - Contract Clauses

This Section Is Intentionally Left Blank

15JA0521Q00000041 Page 4 of 37

Section 4 - List of Attachments

15JA0521Q00000041 Page 5 of 37

Section 5 - Solicitation Provisions

15JA0521Q00000041 Page 6 of 37 Section B Supplies or Services and Price/Cost

B.1 Agency Mission/Background

There are 94 United States Attorneys’ Offices (USAOs) districts that are comprised of approximately 250 staffed offices located throughout the United States, Puerto Rico, the Virgin Islands, Guam, and the Northern Mariana Islands. The Executive Office for United States Attorneys (EOUSA) provides administrative support for the USAOs. Such support includes legal education, administrative oversight, technical support, and the creation of uniform policies. EOUSA’s Office of the Chief Information Officer (OCIO) provides information technology (IT) systems, services, and support to USAOs.

The USAOs have piloted a Document Management Solution (DMS) in a small portion of its organization. The USAOs are interested in acquiring a DMS to continue the expansion of a DMS into the Enterprise. The USAOs do not have, apart from the pilot group, a DMS.

At present, the vast majority of the USAOs store the common productivity files (e.g., Microsoft Word, Microsoft Excel, Microsoft PowerPoint, Email and Adobe PDF) they create and modify in connection with their cases and certain case-related emails on Microsoft Windows-based shared drives.

Stakeholders within the USAO community have identified a need for a legally focused DMS. USAOs have cited a need for a DMS system that will enable USAOs to (among other things): (i) store common productivity files and emails in a centralized, case-centric paradigm; (ii) create, store, and track iterative versions of documents; and (iii) search for documents using both simple and more advanced text and metadata-based searching techniques.

The USAOs are a component of the Department of Justice (DOJ). As such, the USAOs are subject to the DOJ’s Datacenter Consolidation and Transformation Initiative (DCTI). Pursuant to DCTI, USAOs are required to migrate existing applications or develop new applications in the cloud, or (if the cloud is not a viable option) to host all applications in one of three DOJ Core Enterprise Facilities (CEFs). The DOJ’s directive is congruent with the US Government’s overarching Cloud Smart Strategy (formerly Cloud First). As a result, in seeking to deploy any new system, including a DMS, the USAOs are duty bound to pursue a cloud-based system.

At present, personal computers (PCs) used by USAO personnel run a standard image. OCIO uses Microsoft System Center Configuration Manager to re-image PCs and deploy application updates. The USAOs current desktop operating system is Windows 10 Enterprise (Version 1909 Build 18363). The USAOs currently use Microsoft Office 365, and Adobe Acrobat Pro DC. The OCIO operates an on-premise deployment of Microsoft Exchange to provide the USAOs email service. The USAOs currently use Outlook 365.

The USAOs have a custom-developed case management system called CaseView. CaseView is an Oracle-backend system that is developed and operated by OCIO.

To meet USAO requirements, a DMS must integrate with the USAOs’: (1) desktop productivity applications (Microsoft Word, Microsoft Excel, Microsoft PowerPoint, and Adobe Acrobat Pro); (2) email; and (3) CaseView.

Section C Description of Services

-The contractor shall provide a SaaS Document Management Solution (DMS) residing in a secured Government Cloud environment which meets our multiple-level Security requirements. The contractor shall provide up to 5000 seat licenses of this SaaS Document Management Solution (DMS).

-The Contractor shall be FedRAMP Authorized (defined as being designated in the FedRAMP.gov’s marketplace (marketplace.fedramp.gov) as being authorized at the Moderate level or higher and having one or more Agency Authorizations at the time of award.)

-The contractor shall have a cloud-based Software as a Service capable of end-to-end control of the Document Management Life Cycle process. The cloud-based DMS Software as a Service shall meet the following requirements:

-Be a cloud-native Software as a Service (SaaS) capable of quickly scaling up or down to meet the demands of multiple USAOs utilizing the system concurrently;

-Be FedRamp Cloud Service Provider - authorized at the time of award ;

-Be FedRAMP Authorized at a Moderate Impact level and be available within the Government Community Cloud;

-Have a DOJ Authority to Operate (ATO) at the time of the award.

-The contractor shall have Document Management be the principal focus of the vendor by demonstration of the items below:

-Have more than five years of DMS experience in the legal industry;

-Have more than 100 law firms as DMS customers;

-DMS offering be used by more than 10,000 attorneys;

-Store data in a manner which provides data redundancy, data durability, and disaster recovery including protection from regional disaster events;

-Enable unique encryption keys use to control, access, and isolate different sets of content from other documents by offering customers the option of using Customer Managed Keys (CMK);

-Use Hardware Security Modules that are FIPS 140-2 Level 3 certified for encryption for data at rest;

15JA0521Q00000041 Page 7 of 37

-Offer automatic geo-aware storage to meet various compliance mandates;

-Be a Microsoft Cloud Storage Partner to offer integration with Office 365;

-Have ability to integrate with MDM Air Watch to provide a secure mobile experience;

-Be able to organize content by folders, metadata, or a combination of both;

-Provide the ability for a user to create a favorites list for one-click access to documents, links, folder, filters, and case-containers;

-Provide the ability for a user to create custom views of data within the DMS;

-Provide the ability to dynamically display metadata fields based on specific criteria;

-Provide the ability to upload content from the DMS to a court website without first having to export the data locally;

-Provide a native, embedded solution to enforce Multi-factor Authentication when sharing content with external users;

-Be able to provide analytics dashboards for activity across all users and content within the DMS;

-Be able to gather and organize documents into structured, customizable set;

-Be able to convert the documents in the structured, customized sent into a single hyperlinked PDF file and simultaneously create a set-level index – e.g., a table of contents for the single hyperlinked PDF file;

-Be able to clone the structured, customized set across similar projects;

-Have the ability to create, using no code/low code architecture, automated workflows to facilitate end user and administrator tasks;

-Have the ability to implement policy-based security controls and auditability;

-Have the ability to share content across business components with external users while mainlining document integrity and security without generating additional fees, e.g., licenses;

-Have the ability to perform, and report via data visualization, usage metrics at a District-level and case-level to enable targeted interaction with low usage Districts and case teams;

-Have the ability to integrate with Microsoft Teams to enable document selection/sharing from the DMS and filing of Teams chats directly to the DMS.

-The contractor shall have the ability to create and manage customizable workflows through the functions below:

-Be able to create visual task boards with linked documents;

-Be able to create checklists;

-Be able to assign tasks and/or sub-tasks to individuals;

-Be able to track and organize the tasks and/or sub-tasks and the stages of each task and/or sub-task;

-Be able to track deadlines for each task and/or sub-task;

-Be able to track the degree of progress for each task and/or sub-task;

-Integrate with Microsoft Office Suite applications (Word, Excel, PowerPoint, Outlook) and Adobe Acrobat to enable the following functions from within the Native application;

-Open files stored within the DMS;

-Save files to the DMS– as the same version or a new version;

-Have a native Compare function for documents – where compared documents are both in Word - stored within the DMS which can link the resulting document to the original documents;

-Be able to upload documents via a drag and drop methodology;

-Be able to upload more than 100 documents simultaneously;

-Have the ability to enable users, non-administrator, to bulk refile or reclassify content;

-Provide user-modifiable (non-administrator user) security at container, folder and document level to other users and groups;

-Enable document synchronization between local PC and Cloud for working offline;

-Automatically synchronize documents between local PC and Cloud when user resumes working online;

-Provide background synching when a user is online and connected to the DMS;

-Perform a conflict check when offline content is merged with live content;

-Have the ability to quickly preview, annotate, and mark up documents without having to download to the desktop;

-Have the ability to store and track multiple, iterative versions (minor and major) of each document;

-Have the ability to store tens of thousands of versions per document;

-Have support for storing/searching/retrieving multiple values within a single metadata field;

-Support an unlimited number of customer-useable, customer-customizable, customer-editable, and customer-accessible metadata fields;

-Have the ability to use pre-configured container/folder templates;

-Have the ability to create ad-hoc folders after a case container is created.

-The contractor shall support all of the following searching functionality:

-Key word;

-Boolean;

-Proximity;

-Wildcards, including leading wildcards;

-Multi-attribute – metadata and text simultaneously;

-Full text;

-Metadata restricted searches – such as date range, file extension, user name;

-Saving searches;

15JA0521Q00000041 Page 8 of 37

-Display search results with snippet of search result with surrounding text;

-Have the ability to preview a file stored in the DMS without opening the native application;

-Highlight search hits in the preview mode;

-Have the ability for users to, from within the preview mode, copy content from the document and paste it elsewhere;

-Have the ability to identify any flat files upon uploading and OCR them to support full text searching;

-Have the ability to track, and display, most recently accessed documents.

-The contractor shall have the ability to perform the following in connection with Microsoft Outlook integration:

-Map a folder from Outlook to a specified folder or filter in a case container in the DMS so that anything filed in the Outlook folder is automatically uploaded to the DMS;

-When uploading emails, user can choose to upload as a single file (email with attachments) or multiple files (email and attachments all as separate files);

-Provide predictive filing of emails based upon metadata and content analysis of an email and its attachments;

-Provide a notation in Outlook notifying all DMS users, with the appropriate access authorization, that a particular email has already been filed;

-Create a link, in the email, to a file stored within the DMS that will take a user to the most recent version of the linked document;

-Attach a file, for files, stored in the DMS to an email and take the following actions on the file or files so attached;

-Convert the attached file(s) to PDF from its native file format;

-Change the name of the attached file(s) without changing the name as stored in the DMS;

-Changing the order of the attachments;

-Compress, into a Zip file, the attached file(s);

-Have the ability for multiple users to simultaneously edit a document in real time, i.e., co-authoring.

-The contractor shall have an interface/application for IOS mobile devices – iPhones and iPads which provide the following functionality:

-Download and work with/modify documents offline on the mobile device which will automatically upload when back online;

-Modify documents, while online, and save changes back to the DMS;

-Search for documents;

-Review documents;

-Approve documents;

-File emails to the DMS from the mobile device.

-The contractor shall have the following security-related abilities and enable the following functions:

-Object-based and Role-based access control;

-Individual and Group security;

-Access controls at District-level containers, Case-level containers, Folder level, Filter level, and document level to enable and deny access thereto;

-Customizable access level to restrict to view only, edit, or fully deny access at all of the above referenced levels under the District-level containers;

-User searching the DMS will only see search results that she has the right to view/edit.

-The contractor shall have the ability to perform/provide the following auditing details, which must be fully accessible to the customer via a built-in reporting function:

-Tracks every time a user views a document;

-Tracks every time a user edits a document;

-Tracks every time a user emails a document (link and attachment);

-Tracks every time a user opens a document;

-Tracks every time a user previews a document;

-Tracks every time a user prints a document;

-All end users, not limited to administrators, can view the audit history and download it if needed;

-Ability to prohibit end-user actions, e.g. printing, downloading, emailing, copying or sending;

- Implement and manage Need-to-Know (aka Zero Trust) security models;

-Externally shared content can be audited;

-Externally shared content can be restricted by passwords and expiration dates;

-Be compatible with Okta for single sign-on authentication;

-Be a multi-tenant SaaS – meaning a single instance of the application can service multiple customers;

-The DMS have the ability to provide a virtual private cloud to ensure logical and physical separation of data;

-The DMS have the ability to enable EOUSA to have control of organizational settings, upgrade schedules for client access software, and authentication/access settings;

-The DMS be configurable to satisfy requirements for a variety of USAO use cases while including the ability to create templatized containers with customizable security groups;

-The DMS be multi-tenancy allowing for multiple USAOs to utilize the DMS in a manner where their documents can be secured by individual users at a document-level, folder-level and case-level bases;

15JA0521Q00000041 Page 9 of 37

-The DMS have the ability to create separate District-level containers for each USAO District with the ability for the administrators to self-manage container configurations;

-The DMS have the ability for each District to self-manage case-level containers within each District-level container;

-The DMS have the ability to fully integrate with the Microsoft Office Suite (Word, Excel, PowerPoint, Outlook), Acrobat Adobe and multiple web browsers;

-All DMS development be reviewed, validated and deployed by United States citizens, and must continue to be performed in this manner throughout the period of performance;

-The DMS provide automated Server-side updates and patches during off hours that do not require testing and corresponding updates on the end-user’s workstation.

-The contractor shall provide/meet the following compliance-related requirements:

-All content be encrypted at rest and in transit;

-Have to the ability to implement/meet SAS70 Type II / SSAE 16 standards;

-Have the ability to implement/meet DoD 5015.2;

-Have the ability to implement/meet Section 508.

-Have the ability to integrate with the following:

-Thomson Reuters Westlaw and WestKM;

-RELX LexisNexis;

-PACER;

-Records management platforms;

-Microsoft Power Automate.

End User Support: The Contractor shall receive and respond to support requests from designated users submitted via email, phone or support portal Monday through Friday, 8:00 AM to 9:00 PM Eastern, excluding Federal Holidays (Support Hours).

Section D Packaging and Marking

All information and submittals, including receipts, forms, reports, and other materials provided to the CO or the COR shall be clearly marked with the contract number as follows:

CONTRACT NUMBER: 15JA05-21-P-000000xx

Section E Inspection and Acceptance

Final inspection and acceptance of work performed, reports, and other deliverables will be performed by the COR.

Section F Deliveries or Performance

F.1 Type of Contract:

Firm fixed price

F.2 Period of Performance:

The period of performance will be a base year and 1 one-year options. The total project period is anticipated to be a maximum of 24 months if the option years are exercised.

Base Year: September 30, 2021 through September 29, 2022 Option Year 1: September 30, 2022 through September 29, 2023

Exercising Options

The EOUSA reserves the sole right to exercise option(s). Option periods are contingent upon: 1) continued requirement of services; 2) successful performance by Contractor; and 3) availability of appropriated funds by the Congress.

F.3 Place of Performance:

Executive Office for United States Attorneys 175 N Street, NE Washington, DC 20530

15JA0521Q00000041 Page 10 of 37

Section G Contract Administration Data

G.1 Justice Acquisition Regulation (JAR) 2852.201-70 Contracting Officer's Representative (COR) – (EOUSA modified, March 2014)

Sunil Ohri, sunil.ohri@usdoj.gov, 202-252-6238, is hereby designated to act as Contracting Officer's Representative (COR) under this contract.

(a) The COR is responsible, as applicable, for: receiving all deliverables, inspecting and accepting the supplies or services provided hereunder in accordance with the terms and conditions of this contract; providing direction to the contractor which clarifies the contract effort, fills in details or otherwise serves to accomplish the contractual Scope of Work; evaluating performance; and certifying all invoices/vouchers for acceptance of the supplies or services furnished for payment.

(b) The COR does not have the authority to alter the contractor's obligations under the contract, and/or modify any of the expressed terms, conditions, specifications, or cost of the agreement. If as a result of technical discussions, it is desirable to alter/change contractual obligations or the Scope of Work, the Contracting Officer shall issue such changes.

G.2 Contracting Officer (CO)

The Contracting Officer for this contract is:

Terri Long-Miller Executive Office for US Attorneys Acquisitions Staff 175 N Street NE, 6th floor Washington, DC 20002

Written communication shall make reference to the contract number and shall be emailed to terri.long-miller@usdoj.gov or mailed to the above address. Any action taken by the Contractor outside the terms and conditions of this order shall be deemed to have been for the Contractor’s convenience and therefore shall not obligate the Government to pay the Contractor for those efforts.

G.3 Invoice Requirements

All invoices shall be submitted to via email to: USAEO.OCIOAcctPayable@usdoj.gov.

Prompt Payment Act B In accordance with the Federal Prompt Payment Act, the U.S. Attorney’s Office is authorized 30 days from the date on which a complete, correct invoice is received to make payment.

Invoices shall be submitted with the following information:

Tax Identification Number Name and address of the contractor;

Invoice date and number;

Purchase Order /Contract number: 15JA0521P000000xx Description, price, and quantity of services/supplies actually rendered/delivered;

Delivery date/Period of Performance covered by the invoice;

Payment terms;

Name and address of the contractor’s official to whom payment is to be sent. The “Remit To” address must correspond to the remittance address in this delivery order;

Name, title, phone number, and mailing address of contact person to be notified in the event of a defective invoice;

Invoices that are not properly submitted, or that contain incorrect data, will be returned for revision.

G.4 Section 508

All electronic and information technology (EIT) procured through this performance work statement must meet the applicable accessibility standards at 36 CFR 1194, unless an agency exception to this requirement exists. 36 CFR 1194 implements Section 508 of the Rehabilitation Act of 1973, as amended in 1998, and is viewable at: http://www.access-board.gov/508.htm.

mailto:sunil.ohri@usdoj.gov http://www.access-board.gov/508.htm

15JA0521Q00000041 Page 11 of 37

Section H Special Contract Requirements

EOUSA AI-10-1B Security of Department Information and Systems (April 2015)

Security of Department Information and Systems (April 2015)

I. Applicability to Contractors and Subcontractors

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

II. General Definitions

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

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

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

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

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

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

III. Confidentiality and Non-disclosure of DOJ Information

A. Preliminary and final deliverables and all associated working papers and material generated by Contractor containing DOJ Information are the property of the U.S. Government and must be submitted to the Contracting Officer (“CO”) or the CO’s Representative (“COR”) at the conclusion of the contract. The U.S. Government has unlimited data rights to all such deliverables and associated working papers and materials in accordance with FAR 52.227-14.

B. All documents produced in the performance of this contract containing DOJ Information are the property of the U.S.

Government and Contractor shall neither reproduce nor release to any third-party at any time, including during or at expiration or termination of the contract without the prior written permission of the CO.

C. Any DOJ information made available to Contractor under this contract shall be used only for the purpose of performance of this contract and shall not be divulged or made known in any manner to any persons except as may be necessary in the performance of this contract. In performance of this contract, Contractor assumes responsibility for the protection of the confidentiality of any and all DOJ Information processed, stored, or transmitted by the Contractor. When requested by the CO (typically no more than annually), Contractor shall provide a report to the CO identifying, to the best of Contractor’s knowledge and belief, the type, amount, and level of sensitivity of the DOJ Information processed, stored, or

15JA0521Q00000041 Page 12 of 37 transmitted under the Contract, including an estimate of the number of individuals for whom PII has been processed, stored or transmitted under the Contract and whether such information includes social security numbers (in whole or in part).

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

A. For all Covered Information Systems, Contractor shall comply with all security requirements, including but not limited to the regulations and guidance found in the Federal Information Security Management Act of 2014 (“FISMA”), Privacy Act of 1974, E-Government Act of 2002, National Institute of Standards and Technology (“NIST”) Special Publications (“SP”), including NIST SP 800-37, 800-53, and 800-60 Volumes I and II, Federal Information Processing Standards (“FIPS”) Publications 140-2, 199, and 200, OMB Memoranda, Federal Risk and Authorization Management Program (“FedRAMP”), DOJ IT Security Standards, including DOJ Order 2640.2, as amended. These requirements include but are not limited to:

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

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

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

4. Maintaining authorizations to operate any Covered Information System;

5. Performing continuous monitoring on all Covered Information Systems;

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

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

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

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

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

11. [Reserved]

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

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

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

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

15JA0521Q00000041 Page 13 of 37

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

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

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

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

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

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

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

1. Media must be encrypted using a NIST FIPS 140-2 approved product;

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

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

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

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

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

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

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

I. Contractor must remove all DOJ Information from Contractor media and return all such information to the DOJ within 15 days of the expiration or termination of the contract, unless otherwise extended by the CO, or waived (in part or whole)

15JA0521Q00000041 Page 14 of 37 by the CO, and all such information shall be returned to the DOJ in a format and form acceptable to the DOJ. The removal and return of all DOJ Information must be accomplished in accordance with DOJ IT Security Standard requirements, and an official of the Contractor shall provide a written certification certifying the removal and return of all such information to the CO within 15 days of the removal and return of all DOJ Information.

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

V. Cloud Computing

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

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

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

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

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

VI. Information System Security Breach or Incident

A. Definitions

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

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

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

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

C. Potential Breach.

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

15JA0521Q00000041 Page 15 of 37 procedures for identification, investigation and mitigation of Security Incidents and (b) determined that there has been no Confirmed Breach.

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

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

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

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

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

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

VII. Personally, Identifiable Information Notification Requirement

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

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

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

(end of clause)

15JA0521Q00000041 Page 16 of 37

EOUSA AI-10-1D Continuing Contract Performance During a Pandemic Influenza or other National Emergency (October 2007)

Continuing Contract Performance During a Pandemic Influenza or other National Emergency (October 2007) During a Pandemic or other emergency, we understand that our contractor workforce will experience the same high levels of absenteeism as our federal employees. Although the Excusable Delays and Termination for Default clauses used in government contracts list epidemics and quarantine restrictions among the reasons to excuse delays in contract performance, we expect our contractors to make a reasonable effort to keep performance at an acceptable level during emergency periods.

The Office of Personnel Management (OPM) has provided guidance to federal managers and employees on the kinds of actions to be taken to ensure the continuity of operations during emergency periods. This guidance is also applicable to our contract workforce.

Contractors are expected to have reasonable policies in place for continuing work performance, particularly those performing mission critical services, during a pandemic influenza or other emergency situation.

The types of actions a federal contractor should reasonably take to help ensure performance are:

Encourage employees to get inoculations or follow other preventive measures as advised by the public health service.

Contractors should cross-train workers as backup for all positions performing critical services. This is particularly important for work such as guard services where telework is not an option.

Implement telework to the greatest extent possible in the workgroup so systems are in place to support successful remote work in an emergency.

Communicate expectations to all employees regarding their roles and responsibilities in relation to remote work in the event of a pandemic health crisis or other emergency.

Establish communication processes to notify employees of activation of this plan.

Integrate pandemic health crisis response expectations into telework agreements.

With the employee, assess requirements for working at home (supplies and equipment needed for an extended telework period).

Security concerns should be considered in making equipment choices; agencies or contractors may wish to avoid use of employees' personal computers and provide them with PCs or laptops as appropriate.

Determine how all employees who may telework will communicate with one another and with management to accomplish work.

Practice telework regularly to ensure effectiveness.

Make it clear that in emergency situations, employees must perform all duties assigned by management, even if they are outside usual or customary duties.

Identify how time and attendance will be maintained.

It is the contractor's responsibility to advise the government contracting officer if they anticipate not being able to perform and to work with the Department to fill gaps as necessary.