Solicitation 75N97020R00005 Appendix - Information And Physical Access Security Statements.pdf

Appendix: Information and Physical Access Security

A. Baseline Security Requirements

Applicability. The following requirements apply whether the entire contract or order (hereafter “contract”), or portion thereof, includes either or both of the following:

1. Access (Physical or Logical) to Federal Information: A Contractor (and/or any subcontractor) employee will have or will be given the ability to have, physical or logical (electronic) access to federal information that is not in the public domain.

2. Operate a Federal System Containing Information: A Contractor (and/or any subcontractor) will operate a federal system and information technology containing data that directly supports the HHS mission. In addition to the FAR Subpart 2.1 definition of “information technology” (IT), the term as used in this section, includes computers, ancillary equipment (including imaging peripherals, input, output, and storage devices necessary for security and surveillance), peripheral equipment designed to be controlled by the central processing unit of a computer, software, firmware and similar procedures, services (including support services) and related resources.

This section does not apply to national security systems as defined by the Federal Information Security Modernization Act (FISMA) (as amended).

Safeguarding Information and Information Systems. The Contractor (and/or any subcontractor) is responsible for the following:

1. On behalf of HHS/OpDiv/StaffDiv, protecting federal information and information systems in order to ensure:

a. Confidentiality, which means preserving authorized restrictions on access and disclosure, including means for protecting personal privacy and proprietary information;

b. Integrity, which means guarding against improper information modification or destruction, and ensuring information non-repudiation and authenticity; and

c. Availability, which means ensuring timely and reliable access to and use of information.

2. Providing security of any Contractor systems, and information contained therein, connected to an HHS network or operated by the Contractor on behalf of HHS regardless of location per clause 52.239-1 of the Federal Acquisition Regulation (FAR) (https://www.acquisition.gov/content/part- 52-solicitation-provisions-and-contract-clauses#i1049272).

a. The Contractor is prohibited from subcontracting to companies to conduct HHS business in which foreign governments that support international terrorism have a “significant interest” per 10 U.S.C. § 2327 (https://www.gpo.gov/fdsys/pkg/USCODE-2011-title10/html/USCODE- 2011-title10-subtitleA-partIV-chap137-sec2327.htm).

3. Adopting, and implementing the policies, procedures, controls, and standards required by HHS Information Security Program to ensure the confidentiality, integrity, and availability of federal information and federal information systems for which the Contractor is responsible under this contract or to which the Contractor may otherwise have access under this contract. The HHS Information Security Program security requirements are outlined in the HHS IS2P, which is accessible on the HHS Office of the Chief Information Officer’s (OCIO) website (https://www.hhs.gov/about/agencies/asa/ocio/cybersecurity/index.html).

a. The Information Security Solicitation Checklist and Certification Form (See Appendix A, for https://www.acquisition.gov/content/part-52-solicitation-provisions-and-contract-clauses#i1049272 https://www.acquisition.gov/content/part-52-solicitation-provisions-and-contract-clauses#i1049272 https://www.gpo.gov/fdsys/pkg/USCODE-2011-title10/html/USCODE-2011-title10-subtitleA-partIV-chap137-sec2327.htm https://www.gpo.gov/fdsys/pkg/USCODE-2011-title10/html/USCODE-2011-title10-subtitleA-partIV-chap137-sec2327.htm http://www.hhs.gov/ocio/policy/index.html the Information Security Solicitation Checklist and Certification Form) must be completed when the acquisition requires contractor personnel to develop or access federal information systems.

Information Security Categorization. The Contractor/subcontractor will coordinate with the system owner, Contracting Officer Representative (COR) and/or Contracting Officer to categorize the system and information to determine applicable information type(s) and the overall level of risk in accordance with FIPS-199 (http://csrc.nist.gov/publications/fips/fips199/FIPS-PUB-199-final.pdf) and the Federal Information Processing Standard NIST SP 800-60, “Volume II: Appendices to Guide for Mapping Types of Information and Information Systems to Security Categories”, Appendix C, Table C-2 at Vol 2 (http://csrc.nist.gov/publications/nistpubs/800-60-rev1/SP800-60_Vol2-Rev1.pdf). The security categories and risk level shall be documented in the designated System Security Plan (SSP) for all systems within the proposal.

Internet Protocol Version 6 (IPv6). All acquisitions using Internet Protocol must comply with FAR sections: FAR 7.105(b)(5), FAR 11.002(g), and FAR 12.202(e) (https://www.acquisition.gov/?q=browsefar).

Roster. The Contractor (and/or any subcontractor) shall submit a roster by name, position, e-mail address, phone number and responsibility, of all staff working under this acquisition where the Contractor will develop, have the ability to access, or host and/or maintain a federal information system(s). The roster shall be submitted to the Contracting Officer’s Representative (COR), with a copy to the Contracting Officer, within one month of the effective date of this contract. Any revisions to the roster as a result of staffing changes shall be submitted within one month of the change. The COR will notify the Contractor of the appropriate level of investigation required for each staff member.

Contract Documentation. The Contractor shall contact the Contracting Officer and/or COR for any NLM templates, policies, forms and other documents necessary to comply with the requirements of this section. All contract deliverables shall be compliant with Section 508 (http://www.hhs.gov/ocio/policy/508_policy.html#3Scope).

Standard for Encryption

1. The Contractor (and/or any subcontractor) shall comply with the HHS Standard for Encryption

Language in HHS Contracts (http://www.hhs.gov/ocio/policy/2009-0002.001s.html) to prevent unauthorized access to HHS information.

2. The Contractor (and/or any subcontractor) shall use FIPS 140-2, Security Requirements for

Cryptographic Module (http://csrc.nist.gov/publications/fips/fips140-2/fips1402.pdf) compliant encryption to protect all instances of HHS sensitive information during storage and transmission

(NOTE: The HHS Standard for the Definition of Sensitive Information (http://intranet.hhs.gov/it/cybersecurity/docs/policies_guides/HM/dept_standard_for_def_of_sens_i nfo-051809.pdf), latest revision, must be used to determine if information under this contract is sensitive).

3. The Contractor (and/or any subcontractor) shall verify that the selected encryption product has been validated under the Cryptographic Module Validation Program (http://csrc.nist.gov/groups/STM/cmvp/) to confirm compliance with FIPS 140-2. The Contractor shall provide a written copy of the validation documentation to the COR and/or Contracting Officer.

http://csrc.nist.gov/publications/fips/fips199/FIPS-PUB-199-final.pdf http://csrc.nist.gov/publications/nistpubs/800-60-rev1/SP800-60_Vol2-Rev1.pdf http://csrc.nist.gov/publications/nistpubs/800-60-rev1/SP800-60_Vol2-Rev1.pdf http://csrc.nist.gov/publications/nistpubs/800-60-rev1/SP800-60_Vol2-Rev1.pdf https://www.acquisition.gov/?q=browsefar http://www.hhs.gov/ocio/policy/508_policy.html#3Scope http://www.hhs.gov/ocio/policy/2009-0002.001s.html http://csrc.nist.gov/publications/fips/fips140-2/fips1402.pdf http://csrc.nist.gov/publications/fips/fips140-2/fips1402.pdf http://intranet.hhs.gov/it/cybersecurity/docs/policies_guides/HM/dept_standard_for_def_of_sens_info-051809.pdf http://intranet.hhs.gov/it/cybersecurity/docs/policies_guides/HM/dept_standard_for_def_of_sens_info-051809.pdf http://csrc.nist.gov/groups/STM/cmvp/ http://csrc.nist.gov/publications/fips/fips140-2/fips1402.pdf

4. The Contractor (and/or any subcontractor) shall use the Key Management Key (http://csrc.nist.gov/publications/fips/fips201-1/FIPS-201-1-chng1.pdf) on the HHS personal identification verification (PIV) card; or alternatively, the Contractor (and/or any subcontractor) shall establish and use a key recovery mechanism to ensure the ability for authorized personnel to decrypt and recover all encrypted information (OMB Encryption Guidance at http://csrc.nist.gov/drivers/documents/ombencryption-guidance.pdf ). The Contractor shall notify the COR and/or Contracting Officer of personnel authorized to decrypt and recover all encrypted information.

5. The Contractor (and/or any subcontractor) shall ensure that their equipment and devices meet

HHS and OpDiv specific encryption standard requirements or establish a separate procedure to account for all laptop computers, desktop computers, and other mobile devices and portable media that store or process sensitive HHS information (including PII).

6. The Contractor (and/or any subcontractor) shall ensure that encryption keys are provided to the

COR and/or Contracting Officer upon request and at the conclusion of the contract.

Protection of Sensitive Information. All federal information that may be sensitive (as defined in the Departmental Standard for the Definition of Sensitive Information) shall be protected in accordance with Office of Management and Budget (OMB) Memorandum (M) 06-16 (https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/memoranda/2006/m06-16.pdf), Protection of Sensitive Agency Information and encrypted with Federal Information Processing Standard (FIPS) 140-2 compliant solution.

Contractor Agreement. The Contractor (and/or any subcontractor), performing under this contract, shall not release, publish, or disclose non-public federal information to unauthorized individuals. The confidentiality, integrity, and availability of such information shall be protected by the Contractor in accordance with the governing laws and regulations listed as follows:

- 18 U.S.C. 641 (Criminal Code: Public Money, Property or Records) (https://www.gpo.gov/fdsys/granule/USCODE-2011-title18/USCODE-2011-title18-partI-chap31-sec641/content-detail.html)

- 18 U.S.C. 1905 (Criminal Code: Disclosure of Confidential Information) (https://www.gpo.gov/fdsys/pkg/USCODE-2014-title18/pdf/USCODE-2014-title18-partI-chap93-sec1905.pdf)

- Public Law 96-511 (Paperwork Reduction Act) (https://www.govinfo.gov/content/pkg/STATUTE-94/pdf/STATUTE-94-Pg2812.pdf#page=14)

Note: “Non-public” in this document refers to information only to be used by authorized individuals including authorized contractors.

Contractor Employee Non-Disclosure Agreement (NDA). Each Contractor (and/or any subcontractor) employee having access to non-public federal information under this contract shall complete the OpDiv Commitment to Protect Non-Public Information – Contractor Employee Agreement.

Contractor Employee Non-Disclosure Agreement (NDA) is embedded in the mandatory NIH Information Security and Information Management Training for all Contractors https://irtsectraining.nih.gov/. If applicable, a copy of each signed and witnessed NDA shall be submitted to the COR and/or Contracting Officer prior to performing any work under this acquisition (See Appendix C for the HHS Contractor Non-Disclosure Agreement).

Privacy or Security Safeguards (FAR Clause 48 CFR § 52.239-1). The Contractor (and/or any subcontractor) shall comply with FAR Clause 48 CFR § 52.239-1 privacy and security requirements, which can be located at: https://www.acquisition.gov/?q=browsefar. If new or unanticipated threats or http://csrc.nist.gov/publications/fips/fips201-1/FIPS-201-1-chng1.pdf http://csrc.nist.gov/drivers/documents/ombencryption-guidance.pdf https://www.gpo.gov/fdsys/granule/USCODE-2011-title18/USCODE-2011-title18-partI-chap31-sec641/content-detail.html https://www.gpo.gov/fdsys/granule/USCODE-2011-title18/USCODE-2011-title18-partI-chap31-sec641/content-detail.html https://www.gpo.gov/fdsys/pkg/USCODE-2014-title18/pdf/USCODE-2014-title18-partI-chap93-sec1905.pdf https://www.gpo.gov/fdsys/pkg/USCODE-2014-title18/pdf/USCODE-2014-title18-partI-chap93-sec1905.pdf https://irtsectraining.nih.gov/ https://www.acquisition.gov/?q=browsefar hazards are discovered by either the agency or contractor, or if existing safeguards have ceased to function, the discoverer shall immediately, within one (1) hour or less, bring the situation to the attention of the other party.

Confidential Information (HHSAR Clause 48 CFR § 352.224-71). The Contractor (and/or any subcontractor) shall comply with HHSAR Clause 48 CFR § 352.224-71 requirements, which can be located at: http://www.hhs.gov/grants/contracts/contract-policies-regulations/hhsar/index.html.

(Note: Refer to the Departmental Standard for the Definition of Sensitive Information for assistance in tailoring section b. of this clause).

Privacy Threshold Analysis (PTA) – due within three months after contract award.

1. The Contractor shall assist the Senior Agency Official for Privacy (SAOP) (or his or her designee)1 with conducting a PTA (using the Privacy Impact Assessment [PIA] form) for the information system and/or information collection project to determine whether or not a full PIA needs to be completed (http://intranet.hhs.gov/it/cybersecurity/fisma/sport/faq_pia/).

Note: HHS Privacy Officers are listed here:

http://intranet.hhs.gov/it/cybersecurity/privacy/#header1. Some of them may also be HHS Privacy Act Contacts, mentioned in Section 3.

a. If the results of the PTA show that a full PIA is needed, the Contractor shall assist the SAOP

(or his or her designee) and other designated authorities with completing a PIA for the system or project within three months after completion of the PTA.

b. The PIA shall be completed in accordance with HHS policy, OMB M-03-22, Guidance for Implementing the Privacy Provisions of the E-Government Act of 2002 (https://www.whitehouse.gov/omb/memoranda_m03-22) and shall be revised at each milestone during the system development lifecycle (SDLC).

c. PIAs and PTAs are required in the early stages of system development. PIAs must be reviewed within 3 years of the last PIA approval date and/or updated as needed based on a major change to the system or when new types of PII are collected, that introduces new or increased privacy risks.

Note: At HHS, the same form (i.e., the PIA form) is used for both the Privacy Threshold Analysis (PTA) and the Privacy Impact Assessment (PIA). More questions on the form must be answered when the threshold answers indicate PII is involved.

B. Training

Mandatory Training for All Contractor Staff. All Contractor (and/or any subcontractor) employees shall complete the applicable HHS/OpDiv/Contractor Information Security Awareness, Privacy, and Records Management training [https://irtsectraining.nih.gov/] before performing any work under this contract. Thereafter, the employees shall complete OpDiv specified Information Security Awareness, Privacy, and Records Management training at least annually, during the life of this contract. All Contractor/subcontractor provided training shall be compliant with HHS training policies.

1 HHS Privacy Officers are listed here: http://intranet.hhs.gov/it/cybersecurity/privacy/#header1. Some of them may also be HHS Privacy Act Contacts, mentioned in Section 3.

http://www.hhs.gov/grants/contracts/contract-policies-regulations/hhsar/index.html http://intranet.hhs.gov/it/cybersecurity/fisma/sport/faq_pia/ http://intranet.hhs.gov/it/cybersecurity/privacy/#header1

1. Security Awareness and Privacy Training need not be issued by HHS or the OpDiv. These courses may be issued by the contractor.

2. Records Management Training must be issued by HHS/OpDiv.

Role-based Training. All Contractor (and/or any subcontractor) employees with significant security responsibilities must complete role-based training commensurate with their role and responsibilities in accordance with HHS policy and the HHS Memorandum on Role-Based Training Requirement (http://intranet.hhs.gov/it/cybersecurity/policies/index.html), which provides further guidance on the user roles that have significant security responsibilities.

Training Records. The Contractor (and/or any subcontractor) shall maintain training records for all information security and privacy training completed by all its employees working under this contract, taken at HHS/OpDiv and outside the Department and/or OpDiv training system. The training records shall be provided to the COR and/or Contracting Officer in conjunction with contract award and annually thereafter or upon request and any OpDiv specific rules as applicable. NIH Information Security and Information Management Training – Administration website maintains all training records.

The NLM information security compliance team and Information Systems Security Officer (ISSO) can provide the latest training records to COR and/or Contracting Officer if needed.

Note: All training records must be available for the COR and/or the Contracting Officer before contractors (and subcontractors) start performing any work under this contract.

C. Rules of Behavior

1. The Contractor (and/or any subcontractor) shall ensure that all employees comply with the HHS Information Technology General Rules of Behavior (http://intranet.hhs.gov/it/cybersecurity/policies/index.html), and NIH Information Technology General Rules of Behavior is embedded in the mandatory NIH Information Security and Information Management Training for all Contractors https://irtsectraining.nih.gov/.

2. All Contractor employees must read and adhere to the Rules of Behavior before accessing

Department data or other information, systems, and/or networks that store/process HHS information initially and at least annually thereafter, which may be done as part of annual OpDiv Information Security Awareness Training. If the training is provided by the contractor, the signed ROB must be provided as a separate deliverable.

D. Incident Response

Per FAR 52.239-1, if new or unanticipated threats or hazards are discovered by either the Government or the Contractor, or if existing safeguards have ceased to function, the discoverer shall immediately bring the situation to the attention of the other party.

The Contractor (and/or any subcontractor) shall report all suspected and confirmed information security and privacy incidents to the NIH Information Security Program <NIHInfoSec@mail.nih.gov>, NIH NLM ISSO nihnlmisso@mail.nih.gov, COR, Contract Officer, SAOP (or his or her designee), and other stakeholders, including incidents involving personally identifiable information (PII), in electronic or physical form, within 1 hour of discovery. The types of information required in an incident report must include at a minimum: company and point of contact information, contract information, impact classifications/threat vector, and the type of information compromised.

http://intranet.hhs.gov/it/cybersecurity/policies/index.html http://intranet.hhs.gov/it/cybersecurity/policies/index.html https://irtsectraining.nih.gov/ mailto:nihnlmisso@mail.nih.gov

1. Pursuant to 45 C.F.R. § 164.308(a)(6), Business Associates must implement policies and procedures to address security incidents; identify and respond to suspected or known security incidents; mitigate, to the extent practicable, harmful effects of security incidents that are known to the Business Associates; document security incidents and their outcomes; and require their subcontractors to do the same.

Note: More information about Business Associate security requirement within HHS may be found at http://www.hhs.gov/hipaa/for-professionals/security/guidance/guidance-risk-analysis/index.html.

2. Pursuant to 45 C.F.R. § 164.314(a)(2)(i)(C), Business Associates must report to Covered Entities any security incident of which they become aware, including breaches of unsecured protected health information as required by 45 C.F.R. § 164.410. Pursuant to 45 C.F.R. § 164.410(c), such notification must include, to the extent possible, the identification of each individual whose unsecured protected health information has been, or is reasonably believed by the Business Associate to have been accessed, acquired, used, or disclosed during the breach.

Note: More information about Business Associate security requirement within HHS may be found at http://www.hhs.gov/hipaa/for-professionals/security/guidance/guidance-risk-analysis/index.html.

In the event of an information security or privacy incident, the Government may suspend or revoke an existing Authority to Operate (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 (and/or any subcontractor) to take additional security measures to secure sensitive information. These measures may include restricting access to sensitive information on the Contractor (and/or any subcontractor) 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.

The Contractor (and/or any subcontractor) 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. Incident response activities determined to be required by the Government may include, but are not limited to, the following:

1. Inspections,

2. Investigations,

3. Forensic reviews,

4. Containment and damage assessment, and

5. Data analysis and processing.

E. Position Sensitivity Designations

All Contractor (and/or any subcontractor) employees must obtain a security clearance commensurate with their position sensitivity designation that complies with Parts 1400 and 731 of Title 5, Code of Federal Regulations (CFR) (https://www.opm.gov/investigations/background-investigations/position-designation-tool/). The following position sensitivity designations apply to this contract:

[X] Tier 1: Non-Sensitive Contractor (and/or any subcontractor) employees assigned to Tier 1 positions shall undergo a Suitability Determination and National Agency Check and Inquiry Investigation (NACI).

(formerly NACI Level1)

[ ] Tier 1 with Child Care – non-sensitive [ formerly CNACI Level 1]

[X] Tier 2: Public Trust - Moderate Risk. Contractor (and/or any subcontractor) employees assigned to Tier 2 positions with no previous investigation and approval shall undergo a Suitability Determination and a Minimum Background Investigation (MBI), or a Limited Background Investigation (LBI). Formerly MBI Level 5B

[ ] Tier 3: Non – Critical Sensitive, Contractor (and/or any subcontractor) employees assigned to Tier 2 positions with no previous investigation and approval shall undergo a Suitability Determination and a Access National Agency Check, Inquiries (ANACI) [ Formerly ANACI Level 2]

[ ] Tier 4 - High risk. Contractor (and/or any subcontractor) employees assigned to Tier 4 positions shall undergo a Suitability Determination and Background Investigation (BI).

[ ] Tier 5: Critical sensitive or special access (formerly SSBI Levels 3 &4) C

All Contractor (and/or any subcontractor) employees shall comply with the conditions established for their designated position sensitivity levels prior to performing any work under this contract (See Appendix B).

Suitability Investigations are required for contractors (and/or any subcontractor) who will need access to federal information systems and/or to federally controlled physical space.

F. Personnel Security Responsibilities

The Contractor, within one month (before an employee begins working on this contract), shall provide the COR and/or Contracting Officer, and Information System Security Officer (ISSO) the name, position title, e-mail address, and phone number of all contract employees working under the contract per the National Industrial Security Program Operating Manual (NISPOM) Section 2-200 (http://intranet.hhs.gov/security/ossi/documents/nispom.pdf), the HHS Contract Closeout Guide (2012) (http://intranet.hhs.gov/abouthhs/contracts-grants-support/acquisition-policies-guidance/acquisition-worktools/contract-closeout-tableofcontents/), and the HHS Personnel Security & Suitability Policy, Section 7.6 (http://intranet.hhs.gov/security/ossi/documents/pssp.pdf).

1. If the employee is filling a new position, the Contractor shall provide a position description and the Government will determine the appropriate suitability level.

2. If the employee is filling an existing position, the Contractor shall provide the name, position title and suitability determination level held by the former incumbent.

The Contractor shall notify the COR and/or Contracting Officer and system ISSO within one month before an employee stops working under this contract.

1. The Contractor shall provide the name, position title, and suitability determination level held by or pending for departing employees to the COR and/or Contracting Officer.

http://intranet.hhs.gov/security/ossi/documents/nispom.pdf http://intranet.hhs.gov/abouthhs/contracts-grants-support/acquisition-policies-guidance/acquisition-worktools/contract-closeout-tableofcontents/ http://intranet.hhs.gov/abouthhs/contracts-grants-support/acquisition-policies-guidance/acquisition-worktools/contract-closeout-tableofcontents/ http://intranet.hhs.gov/security/ossi/documents/pssp.pdf

2. The Government will stop pending background investigations for employees that no longer work under this acquisition.

The Contractor (and/or any subcontractor) shall perform and document the actions identified in the NLM Contractor Employee Separation Checklist when a Contractor (and/or any subcontractor) employee terminates work under this contract within 30 days of the employee’s exit from the contract. All documentation shall be made available to the COR and/or Contracting Officer upon request.

Within one month after the Government’s final acceptance of the work under this contract, or in the event of a termination of this contract, the Contractor shall return all identification badges to the Contracting Officer or designee.

G. Homeland Security Presidential Directive (HSPD)-12

To gain routine physical access to an HHS facility, logical access to an HHS-controlled information system, and/or access to sensitive data or information, the Contractor (and/or any subcontractor) and its employees shall comply with Homeland Security Presidential Directive (HSPD)-12, Policy for a Common Identification Standard for Federal Employees and Contractors; Office of Management and Budget (OMB) Memorandum (M)05-24; and Federal Information Processing Standards Publication (FIPS PUB) Number 201, Federal Acquisition Regulation (FAR) Subpart 4.13 (https://www.acquisition.gov/sites/default/files/current/far/html/Subpart 4_13.html), FAR Subpart 52.204-9 (https://www.acquisition.gov/sites/default/files/current/far/pdf/FAR.pdf); and with the personal identity verification and investigation procedures contained in the following documents:

1. HHS Information Security and Privacy Policy (IS2P) (http://intranet.hhs.gov/it/cybersecurity/policies/index.html)

2. HHS Personnel Security and Suitability Policy (http://intranet.hhs.gov/security/ossi/documents/pssp.pdf).

3. HSPD-12 Implementation Policy for the Use of the Personal Identity Verification (PIV) Card for Strong Authentication (http://intranet.hhs.gov/security/ossi/hspd-12/implementation-policy.html).

This includes foreign national Contractor/subcontractor employees that perform work under this acquisition and meet the requirements to complete a NACI background investigation as residents of the United States for three (3) or more of the last five (5) years (http://intranet.hhs.gov/security/ossi/hspd- 12/implementation-policy.html).

H. Fingerprinting

All Contractor (including any subcontractor) employees must have a successfully adjudicated fingerprint check before gaining access to HHS-controlled information systems in compliance with FAR Subpart 52.204-2 Security Requirements (including Alternate II) (https://www.acquisition.gov/?q=/browse/far/52).

To gain logical access to HHS-controlled information systems, contract employees working under the contract are subject to a fingerprint check.

If a Contractor (and/or any subcontractor) must appear at an HHS facility to be fingerprinted, any costs associated with getting to that facility are to be borne by the Contractor.

I. Background Investigations https://www.acquisition.gov/sites/default/files/current/far/html/Subpart%204_13.html https://www.acquisition.gov/sites/default/files/current/far/pdf/FAR.pdf http://intranet.hhs.gov/it/cybersecurity/policies/index.html http://intranet.hhs.gov/security/ossi/documents/pssp.pdf http://intranet.hhs.gov/security/ossi/hspd-12/implementation-policy.html http://intranet.hhs.gov/security/ossi/hspd-12/implementation-policy.html http://intranet.hhs.gov/security/ossi/hspd-12/implementation-policy.html http://intranet.hhs.gov/security/ossi/hspd-12/implementation-policy.html https://www.acquisition.gov/?q=/browse/far/52

All Contractor (including any subcontractor) personnel must undergo a background investigation based on the position designation and type of investigation required as determined by the agency (See the Position Sensitivity Designations Section) in compliance with FAR Part 52.222-54 -- Employment Eligibility Verification (https://www.acquisition.gov/?q=/browse/far/52) and FAR Subpart 22.18— Employment Eligibility Verification (https://www.acquisition.gov/?q=/browse/far/22).

Based upon information provided by the Contractor (including any subcontractor), the Contracting Officer shall insert references to HHS/OpDiv procedural guideline(s), if any; indicate if they are readily accessible to the public; and, if so, specify where they may be found. If they are not readily accessible, the Contracting Officer shall attach a copy to the solicitation and contract and reference the guideline(s) here.

All positions within the contract shall be designated a sensitivity level in the solicitation. At the time of solicitation, based upon information provided by the Contractor (including any subcontractor), the Contracting Officer shall specify all known levels. If the position sensitivity levels are not known at that time, the Contracting Officer shall insert the words “To Be Determined at the Time of Award.” However, the Contracting Officer must include the definitive position sensitivity levels in the awarded contract/order.

The personnel investigation procedures for Contractor personnel (and/or any subcontractor) require that the Contractor (and/or any subcontractor) prepare and submit background check/investigation forms based on the type of investigation required. The minimum Government investigation for a non-sensitive position is a National Agency Check and Inquiries (NACI) with fingerprinting. More restricted positions

– i.e., those above non-sensitive, require more extensive documentation and investigation.

1. The Contractor shall notify the CO/COR of its proposed personnel who will be subject to a background check/investigation.

2. The Contractor shall notify the CO/COR whether any of its proposed personnel who will work under the contract have previously been the subject of national agency checks or background investigations.

Investigations are expansive and may delay performance, regardless of the outcome of the investigation.

Delays associated with rejections and consequent re-investigations shall not be an excusable delay in accordance with the FAR section, Excusable Delays – see FAR 52.249-14, if applicable (https://www.acquisition.gov/sites/default/files/current/far/html/52_248_253.html).

The Contractor shall ensure that the employees it proposes for work under this contract have a reasonable chance for approval.

The Government may investigate personnel at no cost to the Contractor. However, multiple investigations for the same position may, at the Contracting Officer’s discretion, justify reduction(s) in the contract price of no more than the cost of the additional investigation(s).

J. Contract Initiation and Close Out

General Security Requirements. IT security requirements must be incorporated into all phases of program planning and execution, from budgeting to close-out and the implementation of those requirements should align with the HHS Enterprise Performance Life Cycle (EPLC) or NIH Enterprise Performance Life Cycle (EPLC) https://ocio.nih.gov/PM/Pages/EPLC.aspx. The Contractor (and/or any subcontractor) shall comply with security requirements, EPLC processes, and HHS Enterprise Architecture requirements, to ensure proper and confidential handling of data and https://www.acquisition.gov/?q=/browse/far/52 https://www.acquisition.gov/?q=/browse/far/22 https://www.acquisition.gov/sites/default/files/current/far/html/52_248_253.html https://ocio.nih.gov/PM/Pages/EPLC.aspx information (including privacy data and information). All IT systems development or enhancement tasks supported by the contractor shall follow the HHS EPLC framework and methodology (http://www.hhs.gov/ocio/eplc-lifecycle-framework.pdf) and the HHS Contract Closeout Guide (2012).

Providing System Documentation at Contract Close Out. Contractors (and/or any subcontractors) must follow and adhere to National Institute of Standards and Technology NIST SP 800-64, Security Considerations in the System Development Life Cycle (latest revision), at a minimum, for system development. This requirement may include providing system documentation at designated intervals (specifically, at the close out of the contract) within the EPLC that require artifact review.

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/or Contracting Officer following the template provided in NIST SP 800-88, Guidelines for Media Sanitization (http://www.nist.gov/manuscript-publication-search.cfm?pub_id=50819).

Contractor Responsibilities Upon Physical Completion of the Contract. The contractor (and/or any subcontractors) shall return all HHS provided information and IT resources (to include contractor-owned and/or sub-contractor systems and backup systems) for this contract at completion of contractor performance to the CO and/or COR. Additionally, the Contractor shall certify that all HHS information has been properly sanitized and purged, in accordance with HHS and/or NLM policies, from Contractor-owned (and/or any subcontractor) systems, including backup systems, used during contract performance.

Failure to Comply. Failure on the part of the Contractor (and/or any subcontractor) to comply with the terms and conditions stated within this document may be grounds for the Contracting Officer to terminate this contract.

K. Audit Record Retention

The Contractor (and/or any subcontractor) shall support a system in accordance with the requirement for federal agencies to manage their electronic records in accordance with 36 CFR § 1236.20 (http://www.gpo.gov/fdsys/granule/CFR-2011-title36-vol3/CFR-2011-title36-vol3-sec1236-20) &

1236.22 (http://www.ecfr.gov/cgi-bin/text-idx?rgn=div5&node=36:3.0.10.2.25) (ref. a), including but not limited to capabilities such as those identified in:

1. NARA Bulletin 2013-02, August 29, 2013, Guidance on a New Approach to Managing Email Records (https://www.archives.gov/records-mgmt/bulletins/2013/2013-02.html),

2. NARA Bulletin 2010-05 September 08, 2010 (http://www.archives.gov/records-mgmt/bulletins/2010/2010-05.html), Guidance on Managing Records in Cloud Computing Environments (ref 8).

These provide requirements for maintaining records to retain functionality and integrity throughout the records’ full lifecycle including:

1. Maintenance of links between records and metadata, and

2. Categorization of records to manage retention and disposal, either through transfer of permanent records to NARA or deletion of temporary records in accordance with NARA-approved retention schedules.

http://www.hhs.gov/ocio/eplc-lifecycle-framework.pdf http://www.nist.gov/manuscript-publication-search.cfm?pub_id=50819 http://www.gpo.gov/fdsys/granule/CFR-2011-title36-vol3/CFR-2011-title36-vol3-sec1236-20 http://www.ecfr.gov/cgi-bin/text-idx?rgn=div5&node=36:3.0.10.2.25 https://www.archives.gov/records-mgmt/bulletins/2013/2013-02.html http://www.archives.gov/records-mgmt/bulletins/2010/2010-05.html http://www.archives.gov/records-mgmt/bulletins/2010/2010-05.html