SOW Final- Medicaid and Childrens Health Insurance (CHIP) Enrollment Program Integrity Technical Assistance Contract - Copy.docx

Medicaid and Children’s Health Insurance (CHIP) Enrollment Program Integrity Technical Assistance Contract

Statement of Work

(SOW)

April, 2024

I. SCOPE

The Centers for Medicare & Medicaid Services (CMS) is seeking a contractor to provide Medicaid and Children’s Health Insurance Program (CHIP) policy and program integrity expertise. This work focuses on state Medicaid agency structures, Medicaid and CHIP eligibility criteria, state enrollment systems and data architecture, state-specific unwinding processes, Medicaid unwinding Federal rules, regulations, and guidance in support of the Center for Program Integrity’s (CPI) Medicaid and CHIP eligibility audits.

The Contractor shall provide services such as, but not limited to:

· Participating in regular calls with CPI Center Leadership

· Reviewing and editing Medicaid and CHIP eligibility audit documents

A. Background CMS worked with all states and territories prior to the start of the unwinding period to assess compliance with Medicaid and CHIP renewal requirements and implement mitigations, and as appropriate, address areas of non-compliance. Generally, states were expected to adopt multiple strategies to address areas of non-compliance and, if necessary, pause procedural terminations until all other approved mitigations were implemented. Procedural terminations are cases where people are disenrolled because they did not respond to a request for information from the state. High procedural disenrollment rates are concerning because many people who are disenrolled for these paperwork reasons may still be eligible for Medicaid or CHIP coverage.

As a next step in ensuring state compliance with all federal requirements, CMS is conducting targeted unwinding audits of Medicaid and CHIP eligibility termination determinations. CMS will work with the states to review the supporting documentation needed to determine whether the terminations were made in accordance with federal and state regulations for the individuals selected in the audits. The information from these audits will provide CMS with actionable data that can be used to focus technical assistance or outreach to states, reinstate beneficiaries who are inappropriately terminated from Medicaid or CHIP, and determine whether administrative actions should be taken if a state is found to be out of compliance with CMS requirements.

B. Purpose The purpose of this contract is to provide technical policy and systems expertise related to state Medicaid agency structures, eligibility criteria, and state enrollment systems.

II. REQUIREMENTS

Independently, and not as an agent of the Government, the Contractor shall furnish all the necessary services, qualified personnel, material, equipment, and facilities not otherwise provided by the Government, as needed to perform the requirements described in this SOW.

The Contractor shall work with the appropriate contract team and other designated CMS staff to coordinate work that the Contractor needs to perform to fulfill the tasks under this SOW. The Contractor shall interact with the CMS Contracting Officer Representative (COR), Business Function Leads, and/or Subject Matter Experts (SME) within CPI and across CMS.

The Contractor shall adhere to the terms and conditions of the contract regarding the role of the CMS COR. All technical direction shall require either CMS COR approval or be given by the CMS COR prior to the Contractor taking any action. The Contractor shall maintain a record of all technical direction given under the contract. In the event, if any concerns or problems arise with regard to technical direction, the Contractor shall contact the CMS Contracting Officer and CMS COR immediately.

A. General Requirements/Tasks to be Performed The Contractor shall perform the following tasks:

1. Task 1: Weekly Activities The Contractor shall assume that activities on this contract shall not exceed six (6) hours per week. The Contractor shall participate in the following activities:

1.1. Weekly Status Meetings

The Contractor shall participate in weekly status meetings to discuss the ongoing Medicaid and CHIP eligibility policy issues; feedback on deliverables; new issues; new risks; incidents (if any); urgent new leads; and updates on the highest priority investigations.

1.2. Ad Hoc and Recurring Meetings

The Contractor shall participate in ad hoc and recurring meetings, such as those to explore issues and investigations in more detail than can occur during the Weekly Status Meetings.

1.3. Report Analysis

The Contractor shall review and analyze reports and documents provided by CMS upon request.

2. Task 2: Reporting The Contractor shall submit the following reports describing progress on work conducted on this Task Order:

2.1. Monthly Progress Report

The Contractor shall submit a Monthly Progress Report (MPR) in a MS Word document by the 20th of each month for the previous month’s activities. The COR and the Contractor shall agree upon the content of the MPR if information is required other than described below. The MPR shall include, at a minimum:

· Summaries of meetings

· Brief summary of significant decisions made

· Issues of concern that require the CMS action

· Any unresolved issues from the prior month(s)

· Cumulative list of open risks; include for each risk a description, likelihood of trigger event occurring, estimated severity, summary of mitigation efforts, description of contingency plans (if any), and total risk score

· Notable areas of focus for the upcoming month

· Cumulative list of suggested continuous improvements (Continuous Improvement Report) as an attachment B. Key Personnel The Contractor shall provide key personnel. Key personnel shall not serve dual responsibilities in key functions, unless approved by the CMS Contracting Officer. CMS reserves the right to add key personnel positions.

Unless otherwise approved by the CMS Contracting Officer, the key personnel noted below shall possess the following minimum work experience[footnoteRef:1] and educational requirements. [1: Relevant work experience shall, in whole or in part, be within the last five years.]

Lead Subject Matter Expert (SME) The Lead SME shall provide expert policy and program integrity guidance to decision makers regarding the laws, regulations, guidance, and operations of Medicaid and CHIP. The Lead SME will have expertise in state Medicaid agency structures, Medicaid and CHIP eligibility criteria, state enrollment systems and data architecture, state-specific unwinding processes, Medicaid unwinding Federal rules, regulations, and guidance.

Work Experience: Ten or more years of experience with a minimum of five years of experience working on publicly funded healthcare and state government. Individual must demonstrate knowledge and experience in providing expert guidance, regarding Marketplace laws, regulations, policies, or operations.

Educational Requirements: A bachelor’s degree from an accredited institution.

Location Requirements: None.

C. Technical Considerations

1. CMS Datasets, Systems, and Tools The Contractor shall interact with and utilize available CMS datasets and CMS-provided IT toolsets to perform its work rather than developing new systems. In general, the Contractor shall be prepared to use standard interfaces available in CMS systems to avoid duplication of information and data entry, and to assure the ease of accessibility of all information during contract performance.

1.1 Contractor Proposed Data, Software, and System Resources

Where the Contractor proposes to use resources in addition to the CMS resources listed above, the Contractor shall seek CMS approval of its proposal, including describing how the use of such resources aligns with CMS’ priorities. Any use of such independent resources will be subject to the same transparency, accountability, and reporting requirements as the use of CMS-provided resources, in order to enable full CMS and outside oversight of Contractor activities. Approval of Contractor proposed resources shall not impact the ability to carry out the work outlined in this SOW or in subsequent Task Orders (if any).

III. Appendices Appendix A- Deliverable Schedule Appendix B- Information Security and Privacy Language Appendix C- Section 508- Accessibility of Electronic and Information Technology Appendix D- Contractor Non-Disclosure Agreement

Appendix A Deliverable Schedule

Appendix B Information Security and Privacy Language The Contractor shall follow all CMS policies and guidelines to secure any private data or information, including protected health information (PHI) and personal identifiable information (PII), that may result during the course of this contract. For information related to CMS Information Security and Privacy, please reference the following link: https://www.cms.gov/research-statistics-data-and-systems/cms-information-technology/informationsecurity.

1. 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) will operate a federal system and information technology containing data that supports the HHS/CMS 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 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:

· 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;

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

· 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/CMS network or operated by the Contractor on behalf of HHS/CMS 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 and CMS Information Security and Privacy Group 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.

d. Obtain the HHS/CMS Information Security and Privacy Group security requirements, outlined in the HHS Information Security and Privacy Policy (IS2P) and the CMS Information Systems Security and Privacy Policy (IS2P2) by contacting the CO/COR or emailing CISO@cms.hhs.gov.

e. Comply with the Privacy Act requirements and applicable FAR clauses.

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, 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:

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:

[ ] No PII [ X ] Yes PII

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, Social Security number, date and place of birth, mother‘s maiden name, and biometric records.

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

4) 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 3 CFR, part 2002) when handling CUI. 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[footnoteRef:2]. All sensitive information[footnoteRef:3] that has been identified as CUI by a regulation or statute, handled by this solicitation/contract, shall be: [2: 32 C.F.R. 2002.4(aa) As implemented] [3: “Sensitive information” is information, the loss, misuse, or unauthorized access to or modification of, that could adversely affect the national interest or the conduct of federal programs, or the privacy to which individuals are entitled under 5 U.S.C. Section 552a (the Privacy Act), but that has not been specifically authorized under criteria established by an Executive Order or an Act of Congress to be kept classified in the interest of national defense or foreign policy. See NIST Special Publication 800-53 Rev 4, “Security and Privacy Controls for Federal Information Systems and Organizations”.]

a. marked appropriately;

b. disclosed to authorized personnel on a need-to-know basis;

c. protected in accordance with NIST SP 800-53, Security and Privacy Controls for Federal Information Systems and Organizations, under the applicable baseline, if handled by a Contractor system operated on behalf of the agency; or NIST SP 800-171 Rev 1, Protecting Controlled Unclassified Information in Nonfederal Information Systems and Organizations if handled by internal Contractor system; and

d. returned to HHS/CMS 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 Rev 1, Guidelines for Media Sanitization.

5) Confidentiality and Nondisclosure of Information. Any information provided to the Contractor (and/or any subcontractor) by HHS/CMS or collected by the Contractor on behalf of HHS/CMS 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/CMS 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 CMS policies. Unauthorized disclosure of information will be subject to the HHS/CMS 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).

6) 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).

7) 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.

8) Contract Documentation. The Contractor shall use provided templates, policies, and other agency documents which are located at https://www.cms.gov/Research-Statistics-Data-and-Systems/CMS-Information-Technology/TLC/index and https://www.cms.gov/Research-Statistics-Data-and-Systems/CMS-Information-Technology/InformationSecurity/Information-Security-Library.html to comply with contract deliverables as appropriate.

9) 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 information

c. Information (e.g., PII, protected health information [PHI], proprietary information) in transit (e.g., via email and network connections) and at rest (e.g., on servers, storage devices, mobile devices, and backup media) with FIPS 140-2 validated encryption solutions.

d. Secure all devices (i.e.: desktops, laptops, mobile devices, etc.) that store and process government information and ensure devices meet HHS and CMS -specific encryption standard requirements.

e. 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).

f. 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 at a date to be determined by CMS, prior to ATO.

g. 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 the COR upon request and at the conclusion of the contract.

10) 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 CMS 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.

See Attachment A.2 – Information Security Appendix C for the HHS Contractor Non-Disclosure Agreement.

11) Privacy Threshold Analysis (PTA)/Privacy Impact Assessment (PIA) – The Contractor shall assist the CMS Senior Official for Privacy (SOP) or designee with conducting a PTA for the information system and/or information handled under this contract to determine whether or not a full PIA needs to be completed.

a. If the results of the PTA show that a full PIA is needed, the Contractor shall assist the CMS SOP or designee with completing a PIA for the system or information at a date to be determined by CMS, occurring after completion of the PTA and in accordance with HHS policy, CMS policy and OMB M-03-22, Guidance for Implementing the Privacy Provisions of the E-Government Act of 2002.

b. The Contractor shall assist the CMS 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 agency that a review is required based on a major change to the system, or when new types of PII are collected that introduce new or increased privacy risks, whichever comes first.

1. 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/CMS 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 CMS Information Security Awareness, Privacy, and Records Management training at least annually, during the life of this contract. All provided training shall be compliant with CMS and 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 annually commensurate with their role and responsibilities in accordance with HHS/CMS 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/CMS 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.

1. 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, and any CMS system-specific 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 CMS Information 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.

1. Incident Response

The Contractor (and/or any subcontractor) shall respond to all alerts/Indicators of Compromise (IOCs) provided by the HHS Computer Security Incident Response Center (CSIRC)/CMS IRT & IMT teams within 24 hours, whether the response is positive or negative.

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

In the event of a suspected or confirmed incident or breach, the Contractor (and/or any subcontractor) shall:

1) 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.

2) NOT notify affected individuals unless so instructed by the Contracting Officer or designated representative. If so instructed by the Contracting Officer or representative, the Contractor shall send CMS-approved notifications to affected individuals in accordance with the CMS Breach Analysis Team (BAT) instruction.

3) Report all suspected and confirmed information security and privacy incidents and breaches to the CMS Incident Response Team (IRT) via the CMS Help Desk ((410) 786-2580), CMS IT Service Desk (cms_it_service_desk@cms.hhs.gov), COR, CO, CMS SOP (or his or her designee), and other stakeholders, including incidents involving PII, in any medium or form, including paper, oral, or electronic, as soon as possible and without unreasonable delay, no later than one (1) hour, and consistent with the applicable CMS and HHS policy and procedures, NIST standards and guidelines, as well as US-CERT notification guidelines. The types of information required in an incident report must include at a minimum: company and point of contact information, contract information, impact classifications/threat vector, and the type of information compromised. In addition, the Contractor shall:

a. cooperate and exchange any information, as determined by CMS, necessary to effectively manage or mitigate a suspected or confirmed breach;

b. not include any sensitive information in the subject or body of any reporting e-mail; and

c. encrypt sensitive information in attachments to email, media, etc.

4) Comply with OMB M-17-12, Preparing for and Responding to a Breach of Personally Identifiable Information and HHS/CMS incident response policies when handling PII breaches.

5) Provide full access and cooperate on all activities as determined by the government to ensure an effective incident response, including providing all requested images, log files, and event information to facilitate rapid resolution of sensitive information incidents. This may involve disconnecting the system processing, storing, or transmitting the sensitive information from the Internet or other networks or applying additional security controls. This may also involve physical access to Contractor facilities during a breach/incident investigation.

1. 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). The following position sensitivity designation levels apply to this solicitation/contract:

1. 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, host, and/or maintain a government information system(s). The roster shall be submitted to the COR and/or CO within a timeframe to be determined by CMS. Any revisions to the roster as a result of staffing changes shall be submitted within a timeframe to be determined by CMS after the 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.

1. 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, and 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 CMS-SDLC, 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 and CMS-SDLC 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, in accordance with the CMS-SDLC, as amended, 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 [as soon as possible or as determined by CMS] 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 (e.g., government furnished equipment (GFE), 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 CMS policies.

6) The Contractor (and/or any subcontractor) shall perform and document the actions identified by the COR when an employee terminates work under this contract within 30 calendar days of the employee’s exit from the contract. All documentation shall be made available to the CO and/or COR upon request.

1. 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/CMS policies and shall not dispose of any records unless authorized by HHS/CMS.

In the event that the 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/CMS policies.

1. Privacy Act

It has been determined that this contract is subject to the Privacy Act of 1974, because this contract provides for the design, development, or operation of a system of records on individuals.

The System of Records Notice (SORN) that is applicable to this contract is: 78 FR 63211 (10/23/13), *83 FR 6591 (2/14/18)

The design, development, or operation work the Contractor is to perform is: To support Agency contractors, consultants, or CMS grantees who have been engaged by the Agency to assist in accomplishment of a CMS function relating to the purposes for this collection and who need to have access to the records in order to assist CMS. To assist appropriate Federal agencies and CMS contractors and consultants that have a need to know the information for the purpose of assisting CMS’ efforts to respond to a suspected or confirmed breach of the security or confidentiality of information maintained in this system of records, provided that the information disclosed is relevant and necessary for that assistance.

The disposition to be made of the Privacy Act records upon completion of contract performance is: These records will be maintained until they become inactive, at which time they will be retired or destroyed in accordance with published records schedules of the Centers for Medicare & Medicaid Services as approved by the National Archives and Records Administration.

For additional information concerning information security, see Attachment A.2 – Information Security Appendices D-F.

J. Section 508 - Accessibility of Electronic and Information Technology

General Exceptions

Electronic Content

Reports Technical Criteria:

· E205.1 General - Electronic content shall comply with E205.

Functional Performance Criteria:

· 301.1 Scope - The requirements of Chapter 3 shall apply to Information and Communication Technology (ICT) where required by 508 Chapter 2 (Scoping Requirements), 255 Chapter 2 (Scoping Requirements), and where otherwise referenced in any other chapter of the Revised 508 Standards or Revised 255 Guidelines.

· 302.1 Without Vision - Where a visual mode of operation is provided, ICT shall provide at least one mode of operation that does not require user vision.

· 302.2 With Limited Vision - Where a visual mode of operation is provided, ICT shall provide at least one mode of operation that enables users to make use of limited vision.

· 302.3 Without Perception of Color - Where a visual mode of operation is provided, ICT shall provide at least one visual mode of operation that does not require user perception of color.

· 302.4 Without Hearing - Where an audible mode of operation is provided, ICT shall provide at least one mode of operation that does not require user hearing.

· 302.5 With Limited Hearing - Where an audible mode of operation is provided, ICT shall provide at least one mode of operation that enables users to make use of limited hearing.

· 302.6 Without Speech - Where speech is used for input, control, or operation, ICT shall provide at least one mode of operation that does not require user speech.

· 302.7 With Limited Manipulation - Where a manual mode of operation is provided, ICT shall provide at least one mode of operation that does not require fine motor control or simultaneous manual operations.

· 302.8 With Limited Reach and Strength - Where a manual mode of operation is provided, ICT shall provide at least one mode of operation that is operable with limited reach and limited strength.

· 302.9 With Limited Language, Cognitive, and Learning Abilities - ICT shall provide features making its use by individuals with limited cognitive, language, and learning abilities simpler and easier.

Appendix C Section 508- Accessibility of Electronic and Information Technology

Functional Performance Criteria:

301.1 Scope - The requirements of Chapter 3 shall apply to ICT where required by 508 Chapter 2 (Scoping Requirements), 255 Chapter 2 (Scoping Requirements), and where otherwise referenced in any other chapter of the Revised 508 Standards or Revised 255 Guidelines.

302.1 Without Vision - Where a visual mode of operation is provided, ICT shall provide at least one mode of operation that does not require user vision.

302.2 With Limited Vision - Where a visual mode of operation is provided, ICT shall provide at least one mode of operation that enables users to make use of limited vision.

302.3 Without Perception of Color - Where a visual mode of operation is provided, ICT shall provide at least one visual mode of operation that does not require user perception of color.

302.4 Without Hearing - Where an audible mode of operation is provided, ICT shall provide at least one mode of operation that does not require user hearing.

302.5 With Limited Hearing - Where an audible mode of operation is provided, ICT shall provide at least one mode of operation that enables users to make use of limited hearing.

302.6 Without Speech - Where speech is used for input, control, or operation, ICT shall provide at least one mode of operation that does not require user speech.

302.7 With Limited Manipulation - Where a manual mode of operation is provided, ICT shall provide at least one mode of operation that does not require fine motor control or simultaneous manual operations.

302.8 With Limited Reach and Strength - Where a manual mode of operation is provided, ICT shall provide at least one mode of operation that is operable with limited reach and limited strength.

302.9 With Limited Language, Cognitive, and Learning Abilities - ICT shall provide features making its use by individuals with limited cognitive, language, and learning abilities simpler and easier.

Appendix D Contractor Non-Disclosure Agreement image1.jpeg image2.emf

NONDISCLOSURE AGREEMENT FOR CONTRACTOR EMPLOYEES

Subject: Contract No. __________________________________________

Reference: Contract Clause G-4, Dissemination, Publication and Distribution of

Information

I, ______________________________ (print or type name), as an employee of

______________________________ (insert name of company), a contractor acting under contract to the Centers for Medicare & Medicaid Services (CMS), pursuant to the subject contract, agree, as a condition of being granted access to information related to this contract, not to disclose to any individual business entity or anyone within

_____________________________ (insert name of company) or outside of the company who has not signed a nondisclosure agreement for the purposes of performing this contract: any sensitive, proprietary or source selection information contained or accessible through the subject contract. Proprietary information/data will be handled in accordance with Government regulations.

I understand that information/data I may be aware of, or possess, as a result of my assignment under this contract may be considered sensitive or proprietary by the Government. The

Contractor’s responsibility for proper use and protection from unauthorized disclosure of sensitive, proprietary and source selection information is described in Federal Acquisition

Regulation (FAR) section 3.104-4.

Pursuant to FAR 3.104-4, I agree not to appropriate such information for my own use or to release or discuss such information for my own use or to release it to or discuss it with third parties unless specifically authorized in writing to do so, as provided above. Should my work entail design, development or operation of a Federal system of records violations may result in the imposition of criminal penalties, See, HHSAR 352.224-70.

THIS CERTIFICATION CONCERNS A MATTER WITHIN THE JURISDICTION OF AN

AGENCY OF THE UNITED STATES AND THE MAKING OF A FALSE, FICTITIOUS,

OR FRAUDULENT CERTIFICATION MAY RENDER THE MAKER SUBJECT TO

PROSECUTION UNDER TITLE 18, UNITED STATES CODE, SECTION 1001.

Signature of Contractor Employee Date

Print Name

Contractor Employee Telephone https://www.acquisition.gov/far/current/html/Subpart%203_1.html#wp1139244 https://www.acquisition.gov/far/current/html/Subpart%203_1.html#wp1139244 http://www.hhs.gov/policies/hhsar/subpart352.html#352.224-70PrivacyAct.