SOW.pdf

STATEMENT OF WORK

Title of Project: On-duty Fire Fighter Fatality Investigations and Reports –Western/Wildland

Purchase Request: #HCCKB-2020-42631

Background and Need:

Approximately 35 fire fighters suffer on-duty CVD (cardiovascular disease) fatalities each year. Sudden cardiovascular events (mostly sudden cardiac deaths) are the leading cause of on-the-job or LODD (line-of-duty-deaths) among fire fighters in the U.S. (United States). These CVD deaths comprise around

40%–45% of the 80 or so fire fighter fatalities each year, a proportion much higher than any other occupation (similar figures among police and EMS [emergency medical services] workers are 22% and

11%, respectively).

In 1998, Congress mandated and funded NIOSH to investigate the circumstances of these fatalities.

NIOSH conducts independent investigations of fire fighter fatalities as a public health program. The investigation collects information about the circumstances of the death and the deceased fire fighter such as: the fire fighter’s activities 24–72 hours before the incident; exposures to hazardous chemicals, such as carbon monoxide from fire suppression; exposures to physical activity, such as heavy exertion in full protective gear; responding to alarm calls, which is associated with a surge of “fight or flight” stress hormones; and other exposures, duties, or personal activities that might have contributed to the CVD event in some way.

NIOSH Fire Fighter Fatality Investigation and Prevention Program (FFFIPP) investigations have historically focused on the eastern two-thirds of the U.S. where approximately 90% of fire fighter fatalities occur, most of which involve structural fire fighters. While the western one-third of the U.S.

experiences fewer overall duty-related fire fighter fatalities, half of all wildland fire fighter fatalities occur in this region of the U.S. This area is also notable for newer construction, development near wildfire-prone areas, and hot summers (exertional and heat-related illness is of particular risk to wildland fire fighters). A recent FFFIPP program review by an Epidemic Intelligence Officer revealed that NIOSH investigations have been relatively under-represented among wildland fire fighters (versus structural), fire fighters from the West and Midwest (versus the East), and volunteers (versus career).

NIOSH seeks to address some of the disparities by procuring investigation of western/wildland fire fighter fatalities to better understand these incidents and inform prevention strategies.

References (abridged):

▪ Soteriades et al. [2011]. CVD in U.S. Firefighters: A Systematic Review http://dx.doi.org/doi:10.1097/CRD.0b013e318215c105

▪ NIOSH FFFIPP

o Case investigation prioritization algorithm https://www.cdc.gov/niosh/fire/pdfs/FFFIP_DecisionChart.pdf o Completed investigations in California and other states (online map tool) o https://www.cdc.gov/niosh/fire/investigations/completedinvestigations/completedinvestigations.

html http://dx.doi.org/doi:10.1097/CRD.0b013e318215c105 https://www.cdc.gov/niosh/fire/pdfs/FFFIP_DecisionChart.pdf https://www.cdc.gov/niosh/fire/investigations/completedinvestigations/completedinvestigations.html https://www.cdc.gov/niosh/fire/investigations/completedinvestigations/completedinvestigations.html o Program brochure and explanation of investigation process https://www.cdc.gov/niosh/docs/2012-169/pdfs/2012-169.pdf

▪ U.S. Fire Administration (USFA)/FEMA o Fatality notification reports https://www.usfa.fema.gov/data/statistics/ff_fatality_reports.html.

(Note: USFA-defined fatalities include “Hometown Heroes”, which refers to fire fighters who died post-shift but within 24 hours of participating in emergency duties.)

o FEMA fire fighter autopsy protocol [2008] https://www.usfa.fema.gov/downloads/pdf/publications/firefighter_autopsy_protocol.pdf

Project Objective:

A. The chief objective is to conduct 2 investigations of fire fighters who died from CVD or another medical issue (e.g., exertional heat stroke) on duty. Investigations will characterize the environmental, organizational, and personal circumstances of the death to generate individual fatality reports for the fire service. The overall program goal is reduction of morbidity and mortality from CVD and other incapacitating conditions on duty. However, given that CVD typically develops over years to decades, we expect that, even with fire department/agency compliance with recommendations to implement fitness-wellness programs, these on-duty deaths may take decades to decline.

B. The second objective is creation of a prevention-focused educational tool based on NIOSH

FFFIPP medical investigations/reports. The tool will use incident details, characteristics of the death, and recommendations to highlight ways to prevent future similar deaths. The product will be delivered to NIOSH in a format that can be disseminated to the fire service as a prevention strategy (preferably a document, narrated powerpoint, podcast, video, or another file type that can be posted on the NIOSH website). The product should be useful as a training tool by fire fighters, departments, and academies to enhance awareness and prevention of incapacitating medical conditions.

Scope of Work:

A. Conduct on-site investigations of 2 fire fighter fatalities that occurred in state or territory in the wildland/western region of the U.S. Examples of possible states include CA, AZ, NM, NV, UT, OR, WA, ID, or MT.

B. Create an educational product based on NIOSH FFFIPP medical investigations/reports.

Tasks to Be Performed:

A. Each of the 2 investigations will require the following of the contractor:

1. Telephone contacts to set up on-site investigation.

2. Conduct on-site interviews of relevant individuals, which could include the following:

Fire Chief, Safety Officer, on-scene crew members, colleagues who spent time with the deceased in the 24–72 hours before the incident, IAFF local President, medics transporting the deceased, fire department physician, treating physician during resuscitation, personal physician, close family member/friend (phone interview if key individual unavailable).

https://www.cdc.gov/niosh/docs/2012-169/pdfs/2012-169.pdf https://www.usfa.fema.gov/data/statistics/ff_fatality_reports.html https://www.usfa.fema.gov/downloads/pdf/publications/firefighter_autopsy_protocol.pdf

3. Review relevant records, such as department incident report; co-worker statements;

respirator/medical clearance; dispatch records; ambulance encounter form; emergency department, hospital, and personal physician records; death certificate; autopsy report.

4. Email out the pdf files of the NIOSH FFFIPP Core and Cardiovascular Disease (CVD)

Surveys to the Fire Departments and copy the FFFIPP Medical Team Lead on that email for tracking purposes.

5. Draft the investigation report. The report should include discussion and citation of relevant scientific/medical literature. The style and content should be very similar to reports on the FFFIPP website.

6. Send the draft report to NIOSH project officers (Judi Eisenberg and Rob Saunders) for review and comment.

7. Address comments from NIOSH reviewers to produce final draft report.

8. Provide the fire department, local union (if applicable), and other key investigation participant (if any) with final draft report to review for technical accuracy.

9. Address comments from NIOSH reviewers and discuss with NIOSH project officer.

i. Submit 508-compliant final report to NIOSH for web posting.

ii. At the same time, mail final report copies to fire department, to union (and other participant) if applicable.

10. Include a follow-back survey and return envelope (NIOSH will provide) with each mailed final report. Payment should be made after the final report is delivered.

B. The educational product will require the following of the contractor:

1. Create a draft educational tool. The content should include key incident details to provide sufficient context to recommendations and prevention messages. The product style should be similar to educational materials posted on the FFFIPP website.

2. The draft educational tool should be sent to the NIOSH project officers (Judi Eisenberg and Rob Saunders) for review and comment.

3. Address comments and suggestions from NIOSH reviewers and discuss with NIOSH project officers.

4. Submit final educational product to NIOSH to make 508 compliant and post on website.

(After posting, a link may be placed on CDPH website to increase visibility to fire service.)

Deliverables/Reporting Schedule:

Items Description # of

Copies Delivery Date Deliver To

Investigation #1 Deliver case #1 to be investigated

N/A 9/4/2020 Contractor (PHI)

Opening teleconference with NIOSH

(contractor to arrange)

N/A Complete call by

9/8/2020

Participants: NIOSH, contractor

Monthly updates by e-mail on investigation #1

1 Monthly starting on or before 9/28/2020

Judi Eisenberg and Rob

Saunders

Report Draft Investigation results, discussion, and recommendations

1 On or before

12/7/2020

Judi Eisenberg and Rob

Saunders

Final Report Investigation results, discussion, and recommendations

1 On or before

3/6/2021

Judi Eisenberg and Rob

Saunders

Fire Department

Union (if present)

Survey Follow-back surveys distributed to FD and

Union (if present)

1 or 2 On or before

3/5/2021

Fire Department

Union (if present)

Items Description

Copies Delivery Date Deliver To

Investigation #2 Deliver case #2 to be investigated

N/A 9/4/2020 Contractor (PHI)

Teleconference with

NIOSH, if needed

(contractor to arrange)

N/A Complete call by

3/9/2021, if needed

Participants: NIOSH, contractor

Monthly updates by e-mail on investigation #2

1 Monthly starting on or before 3/26/2021

Judi Eisenberg and Rob

Saunders

Report Draft Investigation results, discussion, and recommendations

1 On or before

6/5/2021

Judi Eisenberg and Rob

Saunders

Final Report Investigation results, discussion, and recommendations

1 On or before

9/3/2021

Judi Eisenberg and Rob

Saunders

Fire Department

Union (if present)

Survey Follow-back surveys distributed to FD and

Union (if present)

1 or 2 On or before

9/3/2021

Fire Department

Union (if present)

Item Description

Copies Delivery Date Deliver To

Educational tool for public website

Teleconference with

NIOSH to determine topic/theme for educational tool

(contractor to arrange)

N/A Complete call by

6/8/2021

Participants: NIOSH, PHI/contractor

NIOSH identifies relevant fatalities (e.g., FFFIPP reports) to use as basis for educational tool

N/A 6/12/2021 Contractor (PHI)

Monthly updates by e-mail on educational product

1 Monthly starting on or before 6/25/2021

Judi Eisenberg and Rob

Saunders

Educational

Product Draft

1 On or before

8/6/2021

Final Educational

Product (suitable for posting to

NIOSH website)

1 On or before

9/3/2021

Reporting Schedule:

A. The contractor will keep NIOSH project officer informed of the progress of each investigation by e-mail on a monthly basis. All investigations and reports (2 cases) are to be completed no later than 9/3/2021. Individual tasks (reports) can be submitted and, with approval of the project officer, can be paid.

B. The educational product suitable for posting to NIOSH website is to be completed no later than

9/3/2021.

Special Considerations:

HHSAR Provision, 352.239-73: Electronic and Information Technology Accessibility Notice

(a) Section 508 of the Rehabilitation Act of 1973 (29 U.S.C. 794d), as amended by the Workforce Investment Act of 1998 and the Architectural and Transportation Barriers Compliance Board Electronic and Information (EIT) Accessibility Standards (36 CFR part 1194), require that when Federal agencies develop, procure, maintain, or use electronic and information technology, Federal employees with disabilities have access to and use of information and data that is comparable to the access and use by Federal employees who are not individuals with disabilities, unless an undue burden would be imposed on the agency. Section 508 also requires that individuals with disabilities, who are members of the public seeking information or services from a Federal agency, have access to and use of information and data that is comparable to that provided to the public who are not individuals with disabilities, unless an undue burden would be imposed on the agency.

(b) Accordingly, any offeror responding to this solicitation must comply with established HHS EIT accessibility standards. Information about Section 508 is available at http://www.hhs.gov/web/508. The complete text of the Section 508 Final Provisions can be accessed at http://www.access-board.gov/sec508/standards.htm.

(c) The Section 508 accessibility standards applicable to this contract are: 1194.

205 WCAG 2.0 Level A & AA Success Criteria 302 Functional Performance Criteria

502 Inoperability with Assistive Technology

504 Authoring Tools

602 Support Documentation

603 Support Services

In order to facilitate the Government's determination whether proposed EIT supplies meet applicable Section 508 accessibility standards, offerors must submit an HHS Section 508 Product Assessment Template, in accordance with its completion instructions. The purpose of the template is to assist HHS acquisition and program officials in determining whether proposed EIT supplies conform to applicable Section 508 accessibility standards. The template allows offerors or developers to self-evaluate their supplies and documentation detail -whether they conform to a specific Section 508 accessibility standard, and any underway remediation efforts addressing conformance issues. Instructions for preparing the HHS Section 508 Evaluation Template are available under Section 508 policy on the HHS Web site http://hhs.gov/web/508.

http://www.hhs.gov/web/508 http://www.access-board.gov/sec508/standards.htm http://hhs.gov/web/508

In order to facilitate the Government's determination whether proposed EIT services meet applicable Section 508 accessibility standards, offerors must provide enough information to assist the Government in determining that the EIT services conform to Section 508 accessibility standards, including any underway remediation efforts addressing conformance issues.

(d) Respondents to this solicitation must identify any exception to Section 508 requirements. If a offeror claims its supplies or services meet applicable Section 508 accessibility standards, and it is later determined by the Government, i.e., after award of a contract or order, that supplies or services delivered do not conform to the accessibility standards, remediation of the supplies or services to the level of conformance specified in the contract will be the responsibility of the Contractor at its expense.

(e) Electronic content must be accessible to HHS acceptance criteria. Checklist for various formats are available at http://508.hhs.gov/, or from the Section 508 Coordinator listed at https://www.hhs.gov/web/section-508/additional-resources/section-508-contacts/index.html. Materials that are final items for delivery should be accompanied by the appropriate checklist, except upon approval of the Contracting Officer or Representative.

Government Furnished Property:

NA

References:

Many are provided in the reference section of the previous NIOSH fire fighter fatality reports posted on the NIOSH website.

Period of Performance: 9/4/2020 to 9/3/2021

Place of Performance:

A. On-site investigations will be completed in states or territories in the western region of the U.S., such as CA, AZ, WA, etc.

B. Educational product is to be completed at the contractor’s choice of worksite.

Point of Contact:

The Point of Contact for this procurement is:

Dr. Judith Eisenberg

NIOSH, CDC

1090 Tusculum Ave R-9

Cincinnati, OH 45226

Telephone: 513-841-4468

Fax: 513-841-4488

E-mail: JNE7@cdc.gov

Deliverables:

See technical requirements.

http://508.hhs.gov/ https://www.hhs.gov/web/section-508/additional-resources/section-508-contacts/index.html https://www.hhs.gov/web/section-508/additional-resources/section-508-contacts/index.html

A. All (2) investigations and all (2) reports are to be completed by 9/3/2021.

B. The educational product suitable for posting to NIOSH website is to be completed by 9/3/2021.

Evaluation Criteria:

The contractor must have:

1) At least 10 years of experience in health education/public health education.

2) At least 5 years of public health practice involving collaboration with public health personnel in a western state.

3) At least 5 years of experience working directly with a state FACE program, preferably in a western state.

4) At least 5 years in a leadership, supervisory, or management role (including project or program management).

5) Completion of at least three educational products (video, PowerPoint presentation, etc.) on occupational health and safety topics that were posted on a public website (such as YouTube, government health agency, etc.).

6) Presentation of a completed occupational health-related educational outreach product (e.g., video) at one or more national public health/occupational health conference(s).

7) Familiarity with the fire service (health and safety issues, culture, operations, etc. related to structural and/or wildland fire fighting) is highly preferable.

8) Access to personnel with experience in structural and/or wildland fire fighting.

APPENDIX

A. Baseline Security Requirements

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

a) Access (Physical or Logical) to Government Information: A Contractor (and/or any subcontractor) employee will have or will be given the ability to have, routine physical (entry) or logical (electronic) access to government information.

b) Operate a Federal System Containing Information: A Contractor (and/or any subcontractor) employee will operate a federal system and information technology containing data that supports the HHS mission.

In addition to the Federal Acquisition Regulation (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.

2) Safeguarding Information and Information Systems. In accordance with the Federal Information

Processing Standards Publication (FIPS)199, Standards for Security Categorization of Federal Information and Information Systems, the Contractor (and/or any subcontractor) shall:

a) Protect government information and information systems in order to ensure:

a) Confidentiality, which means preserving authorized restrictions on access and disclosure, based on the security terms found in this contract, 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.

b) Provide security for any Contractor systems, and information contained therein, connected to an HHS network or operated by the Contractor on behalf of HHS regardless of location. In addition, if new or unanticipated threats or 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.

c) Adopt and implement the policies, procedures, controls, and standards required by the HHS Information

Security Program to ensure the confidentiality, integrity, and availability of government information and government information systems for which the Contractor is responsible under this contract or to which the Contractor may otherwise have access under this contract. Obtain the HHS Information Security

Program security requirements, outlined in the HHS Information Security and Privacy Policy (IS2P), by contacting the CO/COR or emailing fisma@hhs.gov.

d) Comply with the Privacy Act requirements and tailor FAR clauses as needed.

3) Information Security Categorization. In accordance with FIPS 199 and National Institute of Standards and

Technology (NIST) Special Publication (SP) 800-60, Volume II: Appendices to Guide for Mapping Types of

Information and Information Systems to Security Categories, Appendix C, and based on information provided by the ISSO, CISO, or other security representative, the risk level for each Security Objective and the Overall

Risk Level, which is the highest watermark of the three factors (Confidentiality, Integrity, and Availability) of the information or information system are the following:

Confidentiality: [X ] Low [ ] Moderate [ ] High

Integrity: [X ] Low [ ] Moderate [ ] High

Availability: [X ] Low [ ] Moderate [ ] High

Overall Risk Level: [X ] Low [ ] Moderate [ ] High

Based on information provided by the ISSO, Privacy Office, system/data owner, or other security or privacy representative, it has been determined that this solicitation/contract involves:

[ X] No PII [ ] Yes PII

4) Personally Identifiable Information (PII). Per the Office of Management and Budget (OMB) Circular A-

130, “PII is information that can be used to distinguish or trace an individual's identity, either alone or when combined with other information that is linked or linkable to a specific individual.” Examples of PII include, but are not limited to the following: social security number, date and place of birth, mother‘s maiden name, biometric records, etc.

PII Confidentiality Impact Level has been determined to be: [X ] Low [ ] Moderate [ ] High

5) Controlled Unclassified Information (CUI). CUI is defined as “information that laws, regulations, or

Government-wide policies require to have safeguarding or dissemination controls, excluding classified information.” The Contractor (and/or any subcontractor) must comply with Executive Order 13556, Controlled Unclassified Information, (implemented at 32 CFR, part 2002) when handling CUI. 32 C.F.R.

mailto:fisma@hhs.gov

2002.4(aa) As implemented the term “handling” refers to “…any use of CUI, including but not limited to marking, safeguarding, transporting, disseminating, re-using, and disposing of the information.” 81 Fed. Reg.

63323. All sensitive information that has been identified as CUI by a regulation or statute, handled by this solicitation/contract, shall be:

a. marked appropriately;

2) disclosed to authorized personnel on a Need-To-Know basis;

3) protected in accordance with NIST SP 800-53, Security and Privacy Controls for Federal Information

Systems and Organizations applicable baseline if handled by a Contractor system operated on behalf of the agency, or NIST SP 800-171, Protecting Controlled Unclassified Information in Nonfederal Information

Systems and Organizations if handled by internal Contractor system; and

4) return to HHS control, destroyed when no longer needed, or held until otherwise directed.

Destruction of information and/or data shall be accomplished in accordance with NIST SP 800-88, Guidelines for Media Sanitization.

6) Protection of Sensitive Information. For security purposes, information is or may be sensitive because it requires security to protect its confidentiality, integrity, and/or availability. The Contractor (and/or any subcontractor) shall protect all government information that is or may be sensitive in accordance with OMB

Memorandum M-06-16, Protection of Sensitive Agency Information by securing it with a FIPS 140-2 validated solution.

7) Confidentiality and Nondisclosure of Information. Any information provided to the contractor (and/or any subcontractor) by HHS or collected by the contractor on behalf of HHS shall be used only for the purpose of carrying out the provisions of this contract and shall not be disclosed or made known in any manner to any persons except as may be necessary in the performance of the contract. The Contractor assumes responsibility for protection of the confidentiality of Government records and shall ensure that all work performed by its employees and subcontractors shall be under the supervision of the Contractor. Each Contractor employee or any of its subcontractors to whom any HHS records may be made available or disclosed shall be notified in writing by the Contractor that information disclosed to such employee or subcontractor can be used only for that purpose and to the extent authorized herein.

The confidentiality, integrity, and availability of such information shall be protected in accordance with HHS and [CDC] policies. Unauthorized disclosure of information will be subject to the HHS/[CDC] sanction policies and/or governed by the following laws and regulations:

a. 18 U.S.C. 641 (Criminal Code: Public Money, Property or Records);

b. 18 U.S.C. 1905 (Criminal Code: Disclosure of Confidential Information); and

c. 44 U.S.C. Chapter 35, Subchapter I (Paperwork Reduction Act).

8) Internet Protocol Version 6 (IPv6). All procurements using Internet Protocol shall comply with OMB

Memorandum M-05-22, Transition Planning for Internet Protocol Version 6 (IPv6). .

9) Government Websites. All new and existing public-facing government websites must be securely configured with Hypertext Transfer Protocol Secure (HTTPS) using the most recent version of Transport Layer Security

(TLS). In addition, HTTPS shall enable HTTP Strict Transport Security (HSTS) to instruct compliant browsers to assume HTTPS at all times to reduce the number of insecure redirects and protect against attacks that attempt to downgrade connections to plain HTTP. For internal-facing websites, the HTTPS is not required, but it is highly recommended.

10) Contract Documentation. The Contractor shall use provided templates, policies, forms and other agency documents to comply with contract deliverables as appropriate.

11) Standard for Encryption. The Contractor (and/or any subcontractor) shall:

a. Comply with the HHS Standard for Encryption of Computing Devices and Information to prevent unauthorized access to government information.

b. Encrypt all sensitive federal data and information (i.e., PII, protected health information [PHI], proprietary information, etc.) in transit (i.e., email, network connections, etc.) and at rest (i.e., servers, storage devices, mobile devices, backup media, etc.) with FIPS 140-2 validated encryption solution

c. Secure all devices (i.e.: desktops, laptops, mobile devices, etc.) that store and process government information and ensure devices meet HHS and CDC-specific encryption standard requirements. Maintain a complete and current inventory of all laptop computers, desktop computers, and other mobile devices and portable media that store or process sensitive government information (including PII).

d. Verify that the encryption solutions in use have been validated under the Cryptographic Module

Validation Program to confirm compliance with FIPS 140-2. The Contractor shall provide a written copy of the validation documentation to the COR.

e. Use the Key Management system on the HHS personal identification verification (PIV) card or establish and use a key recovery mechanism to ensure the ability for authorized personnel to encrypt/decrypt information and recover encryption keys. Encryption keys shall be provided to CDC Office of Chief

Information Security Officer (OCISO).

12) Contractor Non-Disclosure Agreement (NDA). Each Contractor (and/or any subcontractor) employee having access to non-public government information under this contract shall complete the CDC non-disclosure agreement, as applicable. A copy of each signed and witnessed NDA shall be submitted to the

Contracting Officer (CO) and/or CO Representative (COR) prior to performing any work under this acquisition.

13) Privacy Threshold Analysis (PTA)/Privacy Impact Assessment (PIA) – The Contractor shall assist the

CDC Senior Official for Privacy (SOP) or designee with conducting a PTA for the information system and/or information handled under this contract in accordance with HHS policy and OMB M-03-22, Guidance for

Implementing the Privacy Provisions of the E-Government Act of 2002.

a. The Contractor shall assist the CDC SOP or designee in reviewing the PIA at least every three years throughout the system development lifecycle (SDLC)/information lifecycle, or when determined by the

CDC SOP that a review is required based on a major change to the system (e.g., new uses of information collected, changes to the way information is shared or disclosed and for what purpose, or when new types of PII are collected that could introduce new or increased privacy risks), whichever comes first.

B. Training

1) Mandatory Training for All Contractor Staff. All Contractor (and/or any subcontractor) employees assigned to work on this contract shall complete the applicable HHS/CDC Contractor Information Security

Awareness, Privacy, and Records Management training (provided upon contract award) before performing any work under this contract. Thereafter, the employees shall complete CDC Security Awareness Training

(SAT), Privacy, and Records Management training at least annually, during the life of this contract. All provided training shall be compliant with HHS training policies.

2) Role-based Training. All Contractor (and/or any subcontractor) employees with significant security responsibilities (as determined by the program manager) must complete role-based training (RBT) within

60 days of assuming their new responsibilities. Thereafter, they shall complete RBT at least annually in accordance with HHS policy and the HHS Role-Based Training (RBT) of Personnel with Significant

Security Responsibilities Memorandum.

3) Training Records. The Contractor (and/or any subcontractor) shall maintain training records for all its employees working under this contract in accordance with HHS policy. A copy of the training records shall be provided to the CO and/or COR within 30 days after contract award and annually thereafter or upon request.

C. Rules of Behavior

1) The Contractor (and/or any subcontractor) shall ensure that all employees performing on the contract comply with the HHS Information Technology General Rules of Behavior.

2) All Contractor employees performing on the contract must read and adhere to the Rules of Behavior before accessing Department data or other information, systems, and/or networks that store/process government information, initially at the beginning of the contract and at least annually thereafter, which may be done as part of annual CDC Security Awareness Training. If the training is provided by the contractor, the signed ROB must be provided as a separate deliverable to the CO and/or COR per defined timelines above.

D. Incident Response

FISMA defines an incident as “an occurrence that (1) actually or imminently jeopardizes, without lawful authority, the integrity, confidentiality, or availability of information or an information system; or (2) constitutes a violation or imminent threat of violation of law, security policies, security procedures, or acceptable use policies.

The HHS Policy for IT Security and Privacy Incident Reporting and Response further defines incidents as events involving cybersecurity and privacy threats, such as viruses, malicious user activity, loss of, unauthorized disclosure or destruction of data, and so on.

A privacy breach is a type of incident and is defined by Federal Information Security Modernization Act (FISMA) as the loss of control, compromise, unauthorized disclosure, unauthorized acquisition, or any similar occurrence where (1) a person other than an authorized user accesses or potentially accesses personally identifiable information or (2) an authorized user accesses or potentially accesses personally identifiable information for an other than authorized purpose.

OMB Memorandum M-17-12, “Preparing for and Responding to a Breach of Personally Identifiable Information” (03 January 2017) states:

Definition of an Incident:

An occurrence that (1) actually or imminently jeopardizes, without lawful authority, the integrity, confidentiality, or availability of information or an information system; or (2) constitutes a violation or imminent threat of violation of law, security policies, security procedures, or acceptable use policies.

Definition of a Breach:

The loss of control, compromise, unauthorized disclosure, unauthorized acquisition, or any similar occurrence where (1) a person other than an authorized user accesses or potentially accesses personally identifiable information or (2) an authorized user accesses or potentially accesses personally identifiable information for an other than authorized purpose.

It further adds:

A breach is not limited to an occurrence where a person other than an authorized user potentially accesses PII by means of a network intrusion, a targeted attack that exploits website vulnerabilities, or an attack executed through an email message or attachment. A breach may also include the loss or theft of physical documents that include PII and portable electronic storage media that store PII, the inadvertent disclosure of PII on a public website, or an oral disclosure of PII to a person who is not authorized to receive that information. It may also include an authorized user accessing PII for other than authorized purpose.

The HHS Policy for IT Security and Privacy Incident Reporting and Response further defines a breach as “a suspected or confirmed incident involving PII”.

Contracts with entities that collect, maintain, use, or operate Federal information or information systems on behalf of CDC shall include the following requirements:

1) The contractor shall cooperate with and exchange information with CDC officials, as deemed necessary by the CDC Breach Response Team, to report and manage a suspected or confirmed breach.

2) All contractors and subcontractors shall properly encrypt PII in accordance with OMB Circular

A-130 and other applicable policies, including CDC-specific policies, and comply with HHS-specific policies for protecting PII. To this end, all contractors and subcontractors shall protect all sensitive information, including any PII created, stored, or transmitted in the performance of this contract so as to avoid a secondary sensitive information incident with FIPS 140-2 validated encryption.

3) All contractors and subcontractors shall participate in regular training on how to identify and report a breach.

4) All contractors and subcontractors shall report a suspected or confirmed breach in any medium as soon as possible and no later than 1 hour of discovery, consistent with applicable CDC IT acquisitions guidance, HHS/CDC and incident management policy, and United States Computer

Emergency Readiness Team (US-CERT) notification guidelines. To this end, the Contractor

(and/or any subcontractor) shall respond to all alerts/Indicators of Compromise (IOCs) provided by HHS Computer Security Incident Response Center (CSIRC) or CDC Computer Incident

Response Team (CSIRT) within 24 hours via email at csirt@cdc.gov or telephone at 866-655-

2245, whether the response is positive or negative.

5) All contractors and subcontractors shall be able to determine what Federal information was or could have been accessed and by whom, construct a timeline of user activity, determine methods and techniques used to access Federal information, and identify the initial attack vector.

6) All contractors and subcontractors shall allow for an inspection, investigation, forensic analysis, and any other action necessary to ensure compliance with HHS/CDC Policy and the HHS/CDC

Breach Response Plan and to assist with responding to a breach.

7) Cloud service providers shall use guidance provided in the FedRAMP Incident Communications

Procedures when deciding when to report directly to US-CERT first or notify CDC first.

8) Identify roles and responsibilities, in accordance with HHS/CDC Breach Response Policy and the HHS/CDC Breach Response Plan. To this end, the Contractor shall NOT notify affected individuals unless and until so instructed by the Contracting Officer or designated representative.

If so instructed by the Contracting Officer or representative, all notifications must be pre-approved by the appropriate CDC officials, consistent with HHS/CDC Breach Response Plan, and the Contractor shall then send CDC- approved notifications to affected individuals; and,

9) Acknowledge that CDC will not interpret report of a breach, by itself, as conclusive evidence that the contractor or its subcontractor failed to provide adequate safeguards for PII.

E. Position Sensitivity Designations

All Contractor (and/or any subcontractor) employees must obtain a background investigation commensurate with their position sensitivity designation that complies with Parts 1400 and 731 of Title 5, Code of Federal Regulations (CFR).

F. Homeland Security Presidential Directive (HSPD)-12

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; OMB M-05-24; FIPS

201, Personal Identity Verification (PIV) of Federal Employees and Contractors; HHS HSPD-12 policy; and Executive

Order 13467, Part 1 §1.2.

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 government information system(s). The roster shall be submitted to the

COR and/or CO by the effective date of this contract. Any revisions to the roster as a result of staffing changes shall be submitted immediately upon change. The COR will notify the Contractor of the appropriate level of investigation required for each staff member.

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

G. Contract Initiation and Expiration

1) General Security Requirements. The Contractor (and/or any subcontractor) shall comply with information security and privacy requirements, Enterprise Performance Life Cycle (EPLC) processes, HHS Enterprise

Architecture requirements to ensure information is appropriately protected from initiation to expiration of the contract. All information systems development or enhancement tasks supported by the contractor shall follow the HHS EPLC framework and methodology and in accordance with the HHS Contract Closeout Guide

(2012).

2) System Documentation. Contractors (and/or any subcontractors) must follow and adhere to NIST SP 800-64, Security Considerations in the System Development Life Cycle, at a minimum, for system development and provide system documentation at designated intervals (specifically, at the expiration of the contract) within the EPLC that require artifact review and approval.

3) Sanitization of Government Files and Information. As part of contract closeout and at expiration of the contract, the Contractor (and/or any subcontractor) shall provide all required documentation to the CO and/or

COR to certify that, at the government’s direction, all electronic and paper records are appropriately disposed of and all devices and media are sanitized in accordance with NIST SP 800-88, Guidelines for Media

Sanitization.

4) Notification. The Contractor (and/or any subcontractor) shall notify the CO and/or COR and system ISSO before an employee stops working under this contract.

5) Contractor Responsibilities Upon Physical Completion of the Contract. The contractor (and/or any subcontractors) shall return all government information and IT resources (i.e., government information in non-government-owned systems, media, and backup systems) acquired during the term of this contract to the

CO and/or COR. Additionally, the Contractor shall provide a certification that all government information has been properly sanitized and purged from Contractor-owned systems, including backup systems and media used during contract performance, in accordance with HHS and/or CDC policies.

6) The Contractor (and/or any subcontractor) shall perform and document the actions identified in the CDC Out-

Processing Checklist (http://intranet.cdc.gov/od/hcrmo/pdfs/hr/Out_Processing_Checklist.pdf) when an employee terminates work under this contract. All documentation shall be made available to the CO and/or

COR upon request.

H. Records Management and Retention

The Contractor (and/or any subcontractor) shall maintain all information in accordance with Executive Order

13556 -- Controlled Unclassified Information, National Archives and Records Administration (NARA) records retention policies and schedules and HHS policies and shall not dispose of any records unless authorized by HHS.

In the event that a contractor (and/or any subcontractor) accidentally disposes of or destroys a record without proper authorization, it shall be documented and reported as an incident in accordance with HHS policies.

Potential Supplier:

Rebecca Silva

Director of Grants & Contracts

Public Health Institute

555 12th Street, 10th Floor

Oakland, CA 94607-4046

Work: 510-285-5561

Mobile: 510-682-0400

Email: rebecca.silva@phi.org mailto:rebecca.silva@phi.org