Solicitation_Att 2_SOW.pdf

STATEMENT OF WORK

For

Immigration and Customs Enforcement (ICE) Homeland Security Investigations (HSI)

Gang Intelligence Application March 26, 2020

1.0 PURPOSE

This Statement of Work (SOW) is to procure software development, data analytic support, and cloud migration of a web-based application for use by Homeland Security Investigations (HSI) to identify, track, disrupt and dismantle Transnational Gangs in Virginia, West Virginia and Washington D.C. area of operations. The affected system will directly support HSI’s mission to target Transnational Criminal Organizations in support of Executive Order (EO) 13773.

2.0 BACKGROUND

The Lehigh County, Pennsylvania’s Regional Intelligence and Investigative Center (RIIC) originally developed the Gang Intelligence Application (GIA), a database repository of regional gang members and associated information, as a way for federal, State, and local law enforcement partners including ICE to collaborate and share data. HSI Washington DC uses the GIA to combat transnational gangs in and around the National Capitol Region, but HSI’s use of the GIA is limited by the scope of information that ICE can securely upload, share, and control within the GIA.

HSI, in-part through the HSI Innovation Lab, is streamlining, modernizing, and enhancing HSI’s investigative capabilities. In support of this effort, HSI requires expanded capability and information sharing from the GIA, including Cloud-based access, enhanced data-sharing security, and advanced data-analytics capabilities. This SOW defines the services and deliverables required to meet HSI’s need.

The GIA supports HSI’s Targeting efforts of Transnational Gangs by:

• Increasing intelligence gathering in the region which will foster greater communications

• Documenting known & suspected gang members

• Providing investigative leads

• Creating a singular, secure method for quickly accessing and disseminating gang related information to regional-based law enforcement partners

• Providing the ability to query multiple agencies’ data sets to provide an accurate assessment and identification of transnational gang trends and patterns

• Providing the ability to search for people, vehicles, weapons, property, and phone numbers across police and prison records to target criminal organizations

3.0 SCOPE

The GIA houses a large regional dataset, including segmented HSI-specific data that is available to an assortment of approved law enforcement users. ICE requires greater control over its data than is currently provided by the GIA, facial recognition analysis of HSI queries and data, and additional security measures that will enable the GIA to interface directly with ICE systems. In order to meet these requirements, ICE requires architectural modification of the GIA including migration to the GovCloud environment to enable secure integration of HSI gang specific data into a secure ICE compartmentalized tool, increased analytical and data support, and facilitation of secure sharing and future interfacing with ICE systems to further its mission to target transnational criminal organizations.

4.0 TASKS

The tasks required under this Statement of Work are as follows:

1. Provide Access Control for HSI Users: The Contractor shall develop access control for a compartmentalized HSI specific data and investigative tool set. The access control measures must permit HSI to maintain administrative control over who can access HSI’s compartmentalized portion of the system.

2. Data analyst resource support: The Contractor shall provide analyst support to develop and integrate HSI specific data into the ICE-specific portion of the GIA.

• The Contractor shall integrate intelligence information to disclose patterns, trends or evidence of gang activity; make recommendations and provide guidance and support to HSI users of the system;

• The Contractor will familiarize ICE/HSI on the compartmentalized tool.

• The Contractor shall develop an analytical capability to collect, collate, analyze and disseminate information concerning gang activity and/or gang investigations and curate the information stored on gang, clique, and member profile pages in the system such as but not limited to: social media, videos, audio files, documents, photos, facial recognition templates.

3. Data Management: The Contractor shall develop a data management capability for the HSI compartmentalized data to ensure data quality. The application shall ensure that HSI’s data is retained on three-year and five-year cycles to be compliant with both the state and federal regulations. The Contractor shall develop a dashboard overview of gang populations based on geography (county, state, region, or nation) as well as profiles on individual gangs, gang sets and gang members. Information tracked in this system includes personal identifiers, artifacts such as videos, documents, images, social media information, associates, weapons, locations, and vehicles. The Contractor shall develop graphing algorithms and data visualization techniques in the application to help show the complex relationships that exist between gang members, affiliates, criminal justice personnel, as well as links to locations of interest, vehicles, weapons, and events such as arrests, incarcerations and police incidents.

4. AWS GovCloud migration: The Contractor will migrate the GIA to the GovCloud environment to enable future integration and development of geospatial intelligence and tracking capabilities in concert with the HSI Innovation lab.

5. Integrate the Nobilis Horus Facial Recognition: The Contractor shall incorporate NOBLIS Horus facial recognition technology to enable application to the ICE-specific portion of the application in order to allow gang members themselves and relationships among gang members to be more easily identified by ICE. The Contractor shall provide an Application Program Interface (API) of the Horus facial recognition system. The API shall allow the facial recognition system to consume all images uploaded into the system and shall provide a facial template for each image stored within the GIA for retrieval.

In addition, the Contractor shall develop system-level configuration and managed roles and responsibilities of HSI and external law enforcement partners.

6. Security: The Contractor shall ensure that the system complies with security services and features and FedRamp controls as detailed in the Criminal Justice Information System (CJIS) Security Policy Requirements document. The Contractor shall ensure that the system complies with the following:

Activity logging. The Contractor shall ensure that the system logs the following events:

• Successful and unsuccessful system log-on attempts.

• Successful and unsuccessful attempts to change account passwords.

• Successful and unsuccessful attempts to change user permissions.

• Successful and unsuccessful actions by an authenticated user.

• Any updates, inserts, or deletes to any record in the system

Data Encryption. The Contractor shall ensure that all data transited between system servers and user machines is encrypted and that all data in transit and at rest is encrypted.

• Encryption of stored data (at rest) will meet the Federal Information Processing Standards (FIPS) 140-2 standard.

• All management access and authentication shall occur via FIPS compliant secure protocols (e.g. SFTP, HTTPS, SNMP over TLS, etc.). Encryption shall be a minimum of 128 bits.

Ensure that the repository integrates appropriate security rules and permissions. Ensure that the repository uses 2-Factor Authentication;

Comprehensive key management and protection.

• The Contractor shall ensure that a certificate policy and certification practice is documented and implemented for the issuance of public key certificates used in the system.

Integrated permission management and multi-factor authentication.

• Where technically feasible, the system shall enforce a limit of no more than five consecutive invalid access attempts by a user. The system shall automatically lock the account/node for a 20-minute time period unless released by an administrator.

• The system shall use a layered authentication scheme; in addition to providing a username and password, the system requires the user to provide a system-generated PIN (that is emailed to the user’s approved email account after the user’s credentials are verified).

Intelligent threat detection and data loss prevention.

• The Contractor shall ensure that intrusion detection systems are deployed to monitor events against a known set of parameters (i.e. malicious activity or policy violations) and shall make notifications of any event that violates any of those parameters.

Compliance Assessment

• The Contractor shall ensure that audit mechanisms and tools are implemented to ensure organizational practices are followed throughout the system lifecycle. Further documentation on the use of these mechanisms and tools will be provided prior to production deployment.

5.0 DELIVERABLES

Deliverables Frequency AWS Cloud Migration Completed no later than12 months after contract award.

Status reports shall be delivered quarterly.

Integration of the Noblis Facial Recognition Completed no later than 12 Months after contract award.

Invoice Submittal to Burlington Finance Center & HSI COR/Program Manager

Monthly, within 30 days of invoice period of performance.

https://d0.awsstatic.com/whitepapers/compliance/AWS_CJIS_Policy_Requirements.pdf https://d0.awsstatic.com/whitepapers/compliance/AWS_CJIS_Policy_Requirements.pdf

This schedule can be modified or changed only by written approval from the Contracting Officer.

5.1 ACCEPTANCE CRITERIA

HSI will accept or reject deliverables within fifteen (15) business days after delivery. If rejected, the Contractor shall make corrections as specified and resubmit the deliverable for review and approval within five (5) business days provided however that contractor is not dependent upon a third party for performance. If the government does not reply within the specific timeframe than the deliverable shall be determined acceptable.

6.0 PERIOD OF PERFORMANCE

The Period of Performance shall be 12 months from the date of award.

7.0 PLACE OF PERFORMANCE

All performance will occur at the Contractor’s facility.

8.0 GOVERNMENT FURNISHED PROPERTY (GFP)

There will be no Government Furnished Equipment or Property associated with the performance of this requirement.

9.0 TRAVEL

Contractor travel is not required for this requirement. Local meetings or activities planned outside of the defined place of performance are permitted, but all expenses incurred are the responsibility of the contractor.

10.0 ACCESS TO GOVERNMENT PROPERTY AND FACILITIES

As determined by ICE, the Contractor may be allowed limited access to ICE facility(s) for meetings and will be escorted by appropriate government personnel in accordance with ICE policy. ICE will arrange access to ICE data/systems as required to perform this requirement.

11.0 BUSINESS RELATIONS

The Contractor shall successfully integrate and coordinate all activity needed to execute the requirement. The Contractor shall effectively manage all staff, provide corrective action plans & identify issues timely. The Contractor shall seek to ensure customer satisfaction and professional and ethical behavior of all contractor personnel. The Contractor shall maintain the currency of their employees by providing initial and refresher systems training (as needed) to meet the SOW requirements. The Contractor shall be responsible for all management, supervision, transportation, training, and equipment for their employees unless identified otherwise within this SOW as being government furnished. The Contractor shall provide all necessary administrative support to its employees in a timely fashion (timekeeping, leave processing, pay, and emergency needs).

APPENDIX A. GENERAL CYBERSECURITY REQUIREMENTS

A.1 In accordance with ITAR 4.5.3.1 – Compliance with DHS Security Policy Terms and Conditions.

All hardware, software, and services provided under this task order must be compliant with DHS 4300A DHS Sensitive System Policy and DHS 4300A Sensitive Systems Handbook.

A.2 In accordance with ITAR 4.5.3.4 and ITAR 4.5.4.4 – Security Review Security Review Terms and Conditions The Government may elect to conduct periodic reviews to ensure that the security requirements contained in this contract are being implemented and enforced. The Contractor shall afford ICE, including the organization of ICE Office of the Chief Information Officer, the Office of the Inspector General, authorized Contracting Officer Technical Representative (COTR), and other government oversight organizations, access to the Contractor's facilities, installations, operations, documentation, databases and personnel used in the performance of this contract. The Contractor will contact ICE Chief Information Security Officer to coordinate and participate in the review and inspection activity of government oversight organizations external to ICE. Access shall be provided to the extent necessary 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 ICE data or the function of computer system operated on behalf of ICE, and to preserve evidence of computer crime.

A.3 In accordance with ITAR 4.5.3.7 – Supply Chain Risk Management Supply Chain Risk Management Terms and Conditions The Contractors supplying the Government hardware and software shall provide the manufacturer's name, address, state and/or domain of registration, and the Data Universal Numbering System (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 also be provided.

Subcontractors are subject to the same general requirements and standards as prime contractors.

Contractors employing subcontractors shall perform due diligence to ensure that these standards are met.

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.

Contractors shall provide, implement, and maintain a Supply Chain Risk Management Plan that addresses internal and external practices and controls employed to minimize the risk posed by counterfeits and vulnerabilities in systems, components, and software.

The Plan shall describe the processes and procedures that will be followed to ensure appropriate supply chain protection of information system resources developed, processed, or used under this contract.

The Supply Chain Risk Management Plan shall address the following elements:

(i) How risks from the supply chain will be identified;

(ii) What processes and security measures will be adopted to manage these risks to the system or system components; and

(iii) How the risks and associated security measures will be updated and monitored.

The Supply Chain Risk Management Plan shall remain current through the life of the contract or period of performance. The Supply Chain Risk Management Plan shall be provided to the Contracting Officer Representative (COR/CO) 30 days post award.

The Contractor acknowledges the Government's requirement to assess the Contractors Supply Chain Risk posture. The Contractor understands and agrees that the Government retains the right to cancel or terminate the contract, if the Government determines that continuing the contract presents a risk to national security.

The Contractor shall disclose, and the Government will consider, relevant industry standard certifications, recognitions and awards, and acknowledgments.

The Contractor shall provide only new equipment unless otherwise expressly approved, in writing, by the CO. Contractors 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.

The Contractor shall be excused from using new OEM (i.e. "grey market, "previously used) components only with formal Government approval. Such components shall be procured from their original source and have them shipped only from manufacturers authorized shipment points.

For software products, the contractor shall provide all OEM software updates to correct defects for the life of the product (i.e., until the “end of life"). Software updates and patches must be made available to the government for all products procured under this contract.

Contractors 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.

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.

These records must be readily available for inspection by any agent designated by the U.S.

Government as having the authority to examine them.

This transit process shall minimize the number of times en 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.

The Contractor 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. The Contractor shall provide a packing slip which shall accompany each container or package with the information identifying the contract number, the order number, a description of the hardware/software enclosed (Manufacturer name, model number, serial number), and the customer point of contact. The contractor shall send a shipping notification to the intended government recipient or contracting officer. This shipping notification shall be sent electronically and will state the contract 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.

A.4 In accordance with HSAR 3052.204-70 - Security requirements for unclassified IT resources, with ITAR 4.5.3.3 – Access to Unclassified Facilities, IT Resources, and Sensitive Information Requirement Clause Inclusion Instruction, with ITAR 4.5.3.9 – Security Requirements for Unclassified Information Technology Resources Clause, with ITAR 4.5.4.6 – Required Protections for DHS Systems Hosted in Non-DHS Data Centers, and with ITAR 4.5.4.7 – Contractor Employee Access Clause . As prescribed in (HSAR) 48 CFR 3004.470-3 Contract clauses:

Security Requirements For Unclassified Information Technology Resources (JUN 2006) The Contractor shall be responsible for IT security for all systems connected to a DHS network or operated by the Contractor for DHS, regardless of location. This clause applies to all or any part of the contract that includes information technology resources or services for which the Contractor must http://farsite.hill.af.mil/reghtml/regs/other/hsar/3004.htm#P27_2040 have physical or electronic access to sensitive information contained in DHS unclassified systems that directly support the agency’s mission.

The Contractor shall provide, implement, and maintain an IT Security Plan. This plan shall describe the processes and procedures that will be followed to ensure appropriate security of IT resources that are developed, processed, or used under this contract.

Within 30 days after contract award, the contractor shall submit for approval its IT Security Plan, which shall be consistent with and further detail the approach contained in the offeror's proposal. The plan, as approved by the Contracting Officer (CO), shall be incorporated into the contract as a compliance document.

The Contractor’s IT Security Plan shall comply with Federal laws that include, but are not limited to, the Computer Security Act of 1987 (40 U.S.C. 1441 et seq.); the Government Information Security Reform Act of 2000; and the FISMA of 2002; and with Federal policies and procedures that include, but are not limited to, OMB Circular A-130.

The security plan shall specifically include instructions regarding handling and protecting sensitive information at the Contractor’s site (including any information stored, processed, or transmitted using the Contractor’s computer systems), and the secure management, operation, maintenance, programming, and system administration of computer systems, networks, and telecommunications systems.

Examples of tasks that require security provisions include:

a) Acquisition, transmission or analysis of data owned by DHS with significant replacement cost should the contractor’s copy be corrupted; and

b) Access to DHS networks or computers at a level beyond that granted the public (e.g., such as bypassing a firewall).

At the expiration of the contract, the contractor shall return all sensitive DHS information and IT resources provided to the contractor during the contract, and certify that all non-public DHS information has been purged from any contractor-owned system. Components shall conduct reviews to ensure that the security requirements in the contract are implemented and enforced.

A.4.1 Contractor IT Security Accreditation Within 6 months after contract, the contractor shall submit written proof of IT Security accreditation to DHS for approval by DHS CO. Accreditation will proceed according to the criteria of DHS Sensitive System Policy Publication, 4300A (Version 2.1, July 26, 2004) or any replacement publication, which the CO will provide upon request. This accreditation will include a final security plan, risk assessment, security test and evaluation, and disaster recovery plan/continuity of operations plan. This accreditation, when accepted by the CO, shall be incorporated into the contract as a compliance document. The contractor shall comply with the approved accreditation documentation.

A.5 In accordance with HSAR 3052.204-71 - Contractor Employee Access Contractor Employee Access (Sep 2012) Sensitive Information, as used in this clause, means any information, which if lost, misused, disclosed, or, without authorization is accessed, or modified, could adversely affect the national or homeland security interest, 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:

a) 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);

b) 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);

c) 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

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

e) “Information Technology Resources” include, but are not limited to, computer equipment, networking equipment, telecommunications equipment, cabling, network drives, computer drives, network software, computer software, software programs, intranet sites, and internet sites.

Contractor employees working on this contract must complete such forms as may be necessary for security or other reasons, including the conduct of background investigations to determine suitability.

Completed forms shall be submitted as directed by the CO. Upon the CO's request, the Contractor's employees shall be fingerprinted, or subject to other investigations as required. All Contractor employees requiring recurring access to Government facilities or access to sensitive information or IT resources are required to have a favorably adjudicated background investigation prior to commencing work on this contract unless this requirement is waived under Departmental procedures.

The CO may require the Contractor to prohibit individuals from working on the contract if the Government deems their initial or continued employment contrary to the public interest for any reason. Including, but not limited to, carelessness, insubordination, incompetence, or security concerns.

Work under this contract may involve access to sensitive information. Therefore, the Contractor shall not disclose, orally or in writing, any sensitive information to any person unless authorized in writing by the CO. For those Contractor employees authorized access to sensitive information, the Contractor shall ensure that these persons receive training concerning the protection and disclosure of sensitive information both during and after contract performance.

The Contractor shall include the substance of this clause in all subcontracts at any tier where the subcontractor may have access to Government facilities, sensitive information, or resources.

A.6 In accordance with ITAR 4.5.3.10 – Contractor Employee Access Clause (use language from

HSAR 3052.204-70 and alternates at 3052.204-71).

A.6.1 Alternate II

Sensitive Information Limited to U.S. Citizens and Lawful Permanent Residents (JUN 2006)

1) Each individual employed under the contract shall be a citizen of the United States of America, or an alien who has been lawfully admitted for permanent residence as evidenced by a Permanent Resident Card (USCIS I-551). Any exceptions must be approved by the Department’s Chief Security Officer or designee.

2) Contractors shall identify in their proposals, the names, and citizenship of all non-U.S.

citizens proposed to work under the contract. Any additions or deletions of non-U.S.

citizens after contract award shall also be reported to the contracting officer

A.7 In accordance with White House Digital Government BYODTK – Privacy Expectations

Privacy Expectations Government contractor employees do not have a right, nor should they have an expectation, of privacy while using Government provided devices at any time, including accessing the Internet and using e-mail and voice communications. To the extent that employees wish that their private activities remain private, they should avoid using the Government provided device for limited personal use. By acceptance of the government provided device, employees imply their consent to disclosing and/or monitoring of device usage, including the contents of any files or information maintained or passed -through that device.

A.8 In accordance with HSAR Class Deviation 15-01, Special Clause, Safeguarding of Sensitive

Information (MAR 2015) 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, as any information, which if lost, misused, disclosed, or, without authorization is accessed, or modified, could adversely affect the national or homeland security interest, 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) 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.

c) 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 Sensitive Systems Policy Directive 4300A

(3) DHS 4300A Sensitive Systems Handbook and Attachments

(4) DHS Security Authorization Process Guide

(5) DHS Handbook for Safeguarding Sensitive Personally Identifiable Information

(6) DHS Instruction Handbook 121-01-007 Department of Homeland Security Personnel Suitability and Security Program

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

(8) DHS Privacy Incident Handling Guidance

(9) Federal Information Processing Standard (FIPS) 140-2 Security Requirements for Cryptographic Modules accessible at http://csrc.nist.gov/groups/STM/cmvp/standards.html

(10) 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

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

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

(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 statute or regulation. Examples of sensitive information that are categorized by statute or regulation are PCII, SSI, etc. The DHS Sensitive Systems Policy Directive 4300A and the DHS 4300A Sensitive Systems Handbook 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.

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

(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.

e) 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 CIO, or designee, in consultation with 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 Sensitive Systems Policy Directive 4300A (Version 11.0, April 30, 2014), or any successor publication, DHS 4300A Sensitive Systems Handbook (Version 9.1, July 24, 2012), 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 outlined 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 a 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 the 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.

(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 the 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.

f) 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 4300A Sensitive Systems Handbook Incident Response and Reporting 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 e-mail. 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 4300A Sensitive Systems Handbook Incident Response and Reporting, Contractors shall also provide as many of the following data elements that are available at the time 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.

g) 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…